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Henning Glaser - Constitutional Jurisprudence

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Henning Glaser (ed.)

Constitutional Jurisprudence

Series: CPG Series of Comparative Constitutional Law, Politics and Governance

Volume 3 2016

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Robert Esser Independence and Impartiality of Courts – Human Rights Standards: Reflections on European Union Law, the Jurisprudence of the ECtHR and the “soft law” of the Council of Europe S. 89-122

„… Council of Europe. While the European Union is developing into a “supranational” organization requiring …” „… Union Law, the Jurisprudence of the ECtHR and the “soft law” of the Council of Europe Robert Esser A …” „… . Introduction The advanced political and cultural merging of the 28 member states of the European Union in …”

Javier García Roca New Challenges of the Spanish Constitutional Jurisdiction and Judicial Communication S. 151-178

„… inside the European Union, which is already smaller and more cooperative than the Council of Europe …” „… the Law of the European Union and that of the Council of Europe really drawing closer, as Giuseppe …” „… article 9 of the Charter of Fundamental Rights of the European Union of 2000, does not refer to women and …”

Son Soubert The Constitutional Courts and Councils: Which Future Direction? S. 281-288

„… human rights. In this regard, the reasons behind the creation of the French Constitutional Council in …” „… essential role of the Constitutional Council was to avoid the return to a regime of pre-eminence of the …” „… . The Question of the Independence of the Constitutional Courts and Councils The composition of the …”

Ingwer Ebsen Constitutional Jurisdiction – Functions and Operational Conditions of a Court Controlling the Constitutionality of State Action in a Democratic Constitutional State S. 67-88

„… the website of the European Commission for Democracy through Law („Venice Commission)” hosting the …” „… European model in the second half of the 20th century, including the German Federal Constitutional Court …” „… Constitution of the 5th Republic in 1958. The French Constitutional Council (Conseil Constitutionel) is an …”

Mirosław Wyrzykowski 10 Lessons in Constitutional Resilience S. 123-150

„… obviously Protocol (No 30) on the application of the Charter of Fundamental Rights of the European Union to …” „… , * Reprint from European-Asian Journal of Law and Governance, 2 (2011), published by the German-Southeast …” „… National Council of the Judiciary related “acts of pressuring the judicial power by the executive”: Right …”

Titelei/Inhaltsverzeichnis S. 1-10

„… European Union Law, the Jurisprudence of the ECtHR and the “soft law” of the Council of Europe Robert …” „… number of states adopting the continental European model of specialized constitutional review, many of …” „… Constitutional Law, Politics and Governance Edited by the German-Southeast Asian Center of Excellence for …”

Bartosz Makowicz The Constitutionalization of Polish Law Through the Jurisdiction of the Polish Constitutional Tribunal S. 201-214

„… international treaties. Thus, the Tribunal ruled in 2007 that the Charter of Fundamental Rights of the European …” „… pointed to the judgments of the European Court of Human Rights, which grant freedom of assembly even if …” „… , which considers – on the basis of common European democracy standards – a rescission or a prohibition …”

Slavica Banić Activism and Self-Restraint of the Croatian Constitutional Court in the Constitutionalization of the Legal Order S. 179-200

„… continental European legal order. B. Legal Order of the Republic of Croatia A turbulent history which …” „… European continental law. Historically, it belongs to the sphere of interest and influence of German law …” „… under the influence of the former Soviet Union. Although the Croatian legal order functioned within the …”

doi.org/10.5771/9783845247373

Matthias Lehmann, Christoph Kumpan - European Financial Services Law

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Matthias Lehmann (ed.), Christoph Kumpan (ed.)

European Financial Services Law

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2019

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Article 16 Transitional provisionsAmended by Art. 1 of the Regulation (EU) No 248/2014 of the European Parliament and of the Council of 26 February 2014 amending Regulation (EU) No 260/2012 as regards the migration to Union-wide credit transfers and direct debits [2014] OJ L84/1. S. 1778-1782

„… be made by a majority of the European Parliament and Council. The last sentence in Art 14(3) makes …” „… Regulation (EU) No 248/2014 of the European Parliament and of the Council of 26 February 2014 amending …” „… the payment mar- 1. 2 Regulation (EU) No 248/2014 of the European Parliament and of the Council of 26 …”

Introduction S. 941-951

„… of the Council of 22 October 2013 amending Directive 2004/109/EC of the European Parliament and of …” „… /2015/0583 final – 2015/0268 (COD). Regulation (EU) 2017/1129 of the European Parliament and of the Council …” „… Directive 2003/71/EC of the European Parliament and of the Council as regards financial information in …”

Article 1 Subject matter and scope S. 1745-1751

„… European Parliament and of the Council of 14 March 2012 establishing technical and business requirements …” „… Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up …” „… the European Parliament and of the Council of 13 November 2007 on payment services in the internal …”

Article 24 a Exercise of the delegation S. 1027-1028

„… implementing powers and present a report to the European Parliament and to the Council on the functioning of …” „… published in the Official Journal of the European Union. Article 24 c Objections to delegated acts 1. The …” „… European Parliament or the Council may object to a delegated act within a period of 3 months from the date …”

Article 24 c Objections to delegated acts S. 1028-1029

„… already in force. It shall be published in the Official Journal of the European Union. Article 24 c …” „… published in the Official Journal of the European Union and shall enter into force on the date stated …” „… therein. The delegated act may be published in the Official Journal of the European Union and enter into …”

Article 27 a Revocation of the delegation S. 1214-1215

„… Union and enter into force before the expiry of that period if the European Parliament and the Council …” „… already in force. It shall be published in the Official Journal of the European Union. I. Purpose Article …” „… Commission to the European Parliament and the Council on the exercise of the power to adopt delegated acts …”

Article 30 Administrative sanctions and other administrative measures S. 852-863

„… (263); 55, 144 (152); 71, 108 (114); 81, 132 (135); 87, 399 (411). 9 See Council of the European Union …” „… European Union, Proposal for a Regulation of the European Parliament and of the Council on insider dealing …” „… Member State decides to inflict both criminal and ad- 17 See Council of the European Union, Working Party …”

Article 24 b Revocation of the delegation S. 1028

„… already in force. It shall be published in the Official Journal of the European Union. Article 24 c …” „… published in the Official Journal of the European Union and shall enter into force on the date stated …” „… therein. The delegated act may be published in the Official Journal of the European Union and enter into …”

Articles 14 to 20 S. 1284-1288

„… 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with …” „… March 2012, Official Journal of the European Union L 90, p. 6. Commission Delegated Regulation (EU) No …” „… credit rating agencies, 30 May 2012, Official Journal of the European Union L 140, p. 32. Level 3: ESMA …”

Article 44 Authorisation and applicable law S. 247-252

„… Council, the European economic and social committee and the committee of the regions, Action Plan on …” „… for a Directive of the European Parliament and of the Council on markets in financial instruments …” „… repealing Directive 2004/39/EC of the European Parliament and of the Council’ (recast) COM(2011)0656 – C …”

Article 81 Transparency and data availability S. 1676-1678

„… established by Regulation (EC) No 713/2009 of the European Parliament and of the Council; (m) the resolution …” „… authorities designated under Article 3 of Directive 2014/59/EU of the European Parliament and the Council); (n …” „… the Official Journal of the European Union or on a later date specified therein. It shall not affect …”

Article 22 Access to regulated information at Union level S. 1199-1200

„… European Parliament and of the Council.1 ESMA shall submit those draft regulatory technical standards to …” „… the public in the 3 Directive 2012/17/EU of the European Parliament and of the Council of 13 June 2012 …” „… amending Council Directive 89/666/EEC and Directives 2005/56/EC and 2009/101/EC of the European Parliament …”

Articles 21 to 25 a S. 1288-1291

„… of the European Parliament and of the Council on credit rating agencies by laying down regulatory …” „… Journal of the European Union L 140, p. 14. Commission Delegated Regulation (EU) No 449/2012 of 21 March …” „… 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with …”

Titelei/Inhaltsverzeichnis

„… Regulation (MiFIR) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 …” „… ) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (OJ L 173 …” „… /EC of the European Parliament and of the Council of 4 November 2003 on the prospectus to be …”

Article 5 a Over-reliance on credit ratings by financial institutions S. 1248-1249

„… (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical …” „… supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to …” „… and of the Council, the European Supervisory Authority (European Insurance and Occupational Pensions …”

Article 1 Subject matter and scope S. 392-396

„… European Parliament and of the Council when providing investment services and/or performing investment …” „… Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency …” „… (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending Regulation (EU …”

Article 6 Exemption for monetary and public debt management activities and climate policy activities S. 670-673

„… European Parliament and of the Council as regards an exemption for certain third countries public bodies …” „… ; (b) a special purpose vehicle of one or several Member States; (c) the European Investment Bank; (d …” „… allowances and which is undertaken in pursuit of the Union’s climate policy in accordance with Directive …”

Article 5 c Over-reliance on credit ratings in Union law S. 1249-1252

„… the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system …” „… Regulation (EU) No 1093/2010 of the European Parliament and of the Council, the European Supervisory …” „… 1094/2010 of the European Parliament and of the Council and ESMA shall not refer to credit ratings in their …”

Introduction S. 1563-1574

„… (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives …” „… 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central …” „… European Parliament and of the Council of 15 May 2014 establishing a framework for the recovery and …”

Introduction and overview S. 874-881

„… European Parliament and the Council on short selling and certain aspects of Credit Default Swaps (ESMA …” „… evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and …” „… final); European Commission, Proposal for a Regulation of the European Parliament and of the Council on …”

Article 21 a European electronic access point S. 1197-1199

„… information referred to in Directive 2004/109/EC of the European Parliament and of the Council [2007] OJ L …” „… European Parliament and of the Council with regard to regulatory technical standards on access to regulated …” „… of 19 May 2016 supplementing Directive 2004/109/EC of the European Parliament and of the Council with …”

Article 27 b Objections to delegated acts S. 1215-1216

„… shall be published in the Official Journal of the European Union and shall enter into force on the date …” „… stated therein. The delegated act may be published in the Official Journal of the European Union and …” „… enter into force before the expiry of that period if the European Parliament and the Council have both …”

Article 34 S. 1097-1099

„… following that of its publication in the Official Journal of the European Union. It shall apply from 31 …” „… Regulation (EU) No. 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key …” „… Publication in the Official Journal of the European Union occurred on 9 December 2014. 7 Regulation (EU …”

Article 112 Involvement of European Securities Committee S. 1464-1465

„… European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power …” „… Official Journal of the European Union or at a later date specified therein. It shall not affect the …” „… period of three months of notification of that act to the European Parliament and the Council or if …”

Article 5 b Reliance on credit ratings by the European Supervisory Authorities and the European Systemic Risk Board S. 1249

„… the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system …” „… Regulation (EU) No 1093/2010 of the European Parliament and of the Council, the European Supervisory …” „… 1094/2010 of the European Parliament and of the Council and ESMA shall not refer to credit ratings in their …”

Article 1 Subject matter and scope S. 623-624

„… ) of Article 4(1) of Directive 2014/65/EU of the European Parliament and of the Council (8); (2) ‘spot …” „… to 27 of Directive 2012/30/EU of the European Parliament and of the Council (9); (4) ‘inside …” „… Article 2 of Regulation (EU) No 1227/2011 of the European Parliament and of the Council (10); (14) ‘issuer …”

Article 43 Withdrawal of authorisations S. 246-247

„… and of the Council on markets in financial instruments repealing Directive 2004/39/EC of the European …” „… elements of the Short Selling Regulation, ESMA70-145-386, 21 December 2017; European Commission …” „… , ‘Communication from the Commission to the European Parliament, the Council, the European economic and social …”

Article 3 Intragroup transactions S. 1579-1584

„… /EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing …” „… Council Directive 93/22/EEC [2004] OJ L 145/1. 2 Directive 2014/65/EU of the European Parliament and of …” „… debt in other jurisdictions’ legal frameworks and informing the European Parliament and the Council of …”

Article 7 Procedures for granting and refusing requests for authorisation S. 38-41

„… European Union. Further, the authorisation covers the countries of the European Economic Area where the …” „… 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on …” „… European Parliament and of the Council. Other regulatory texts ESMA, Questions and Answers Relating to the …”

Article 23 Third countries S. 1200-1204

„… the 3 Directive 2012/17/EU of the European Parliament and of the Council of 13 June 2012 amending …” „… Council Directive 89/666/EEC and Directives 2005/56/EC and 2009/101/EC of the European Parliament and of …” „… 2016 supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to …”

Article 28 Obligation to trade on regulated markets, MTFs or OTFs S. 503-511

„… the United States and the European Union’, 37 University of Pennsylvania Journal of International Law …” „… Conclusions from the United States and the European Union’, 37 University of Pennsylvania Journal of …” „… ) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with …”

Article 2 Exemptions S. 10-18

„… Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on …” „… European Parliament and of the Council with regard to regulatory technical standards for the criteria to …” „… /EU of the European Parliament and of the Council on markets in financial instruments with regard to …”

Article 33 S. 1096-1097

„… initiative of the European Parliament or of the Council. Article 31 Where the Commission adopts regulatory …” „… in the Official Journal of the European Union. It shall apply from 31 December 2016. Commentary …” „… Council may object to those regulatory technical standards shall, by way of derogation from the second …”

Article 1 S. 1680-1684

„… Council of the European Union, Having regard to the Treaty establishing the European Community, and in …” „… Settlement Finality Directive (SFD) Directive 98/26/EC of the European Parliament and of the …” „… Europeanisation of Contract Law (Routlege 2013); Vardi N, The Integration of European Financial Markets …”

Article 11 a European rating platform S. 1281-1283

„… Securities and Markets Authority, 6 January 2015, Official Journal of the European Union L 2, p. 1 II …” „… ) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical …” „… September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with …”

Introduction to MiFID II and MiFIR Matthias Lehmann S. 1-6

„… directly throughout the European Union. This marks a significant strengthening of the uniformity of the …” „… application. 1 Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets …” „… Accompanying the Document ‘Proposal for a Directive of the European Parliament and of the Council on Markets in …”

Article 4 Use of credit ratings S. 1242-1246

„… the European Parliament and of the Council, that the conduct of the credit rating activities by the …” „… registered in the European Union may only endorse such a credit rating if the requirements of Art 4(3)(a …” „… ) 2016/1800. 8 Recital 2 Proposal for a Regulation of the European Parliament and of the Council amending …”

Article 14 Exercise of the delegation S. 1777-1778

„… Official Journal of the European Union or on a later date specified therein. It shall not affect the …” „… European Parliament or the Council within a period of 3 months of notification of that act to the European …” „… Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council …”

Article 2 Definitions S. 396-403

„… European Central Bank annexed to the Treaty on European Union. 13 Art 14(a) of the Commission Delegated …” „… 4(1)(1) of Regulation (EU) No 575/2013 of the European Parliament and of the Council; (20) ‘branch’ means …” „… of the Council, Directive 2009/65/EC of the European Parliament and of the Council, Directive 2003/41 …”

Article 11 S. 1067-1072

„… of the European Parliament and of the Council on key information documents for packaged retail and …” „… the KID in a civil claim. c) d) 8 Directive 2003/71/EC of the European Parliament and of the Council …” „… (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be …”

Article 2 Scope S. 650-654

„… , Section C Directive 2014/65/EU of the European Parliament and of the Council on markets in financial …” „… allowances pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a …” „… pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for …”

Article 46 General provisions S. 560-566

„… Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial …” „… Union without the establishment of a branch where it is registered in the register of third-country …” „… applied for the provision of investment services or performance of activities throughout the Union in …”

Article 34 Publication of decisions S. 869-874

„… amend the register 2. 2 Council of the European Union, Proposal for a Regulation of the European …” „… Article 33 of Regulation (EU) No 596/2014 of the European Parliament and of the Council OJ L 167/ 22 …” „… the European Parliament and the Council of 14 March 2012 on short selling and certain aspects of …”

Article 112 a Implementing legislation by European Commission S. 1465-1466

„… for periods of an identical duration, unless the European Parliament or the Council opposes such …” „… the decision in the Official Journal of the European Union or at a later date specified therein. It …” „… Parliament or the Council within a period of three months of notification of that act to the European …”

Article 13 Delegation of power S. 1776-1777

„… of the decision in the Official Journal of the European Union or on a later date specified therein …” „… been expressed either by the European Parliament or the Council within a period of 3 months of …” „… notification of that act to the European Parliament and the Council or if, before the expiry of that period …”

Article 30 S. 1095-1096

„… the decision in the Official Journal of the European Union or at a later date specified therein. It …” „… period of three months of notification of that act to the European Parliament and the Council or if …” „… , before the expiry of that period, the European Parliament and the Council have both informed the 4 …”

Article 5 Volume Cap Mechanism S. 417-423

„… 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to …” „… volume of trading in that financial instrument on all trading venues across the Union over the previous …” „… use of those waivers across the Union for a period of six months. 4. ESMA shall publish within five …”

Articles 36 to 39 S. 1301-1303

„… supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to rules of …” „… (EU) No 513/2011 of the European Parliament and of the Council of 11 May 2011 amending Regulation (EC …” „… European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating …”

Article 35 a Civil Liability S. 1294-1301

„… 2013, p. 2385 (2389). 30 Regulation (EC) No 864/2007 of the European Parliament and of the Council of …” „… European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating …” „… temporal provisions, 16 October 2012, Official Journal of the European Union L 282, p. 23. Level 3: ESMA …”

Article 50 a Investment in securitisation positions S. 1385-1386

„… (EU) No 1092/2010 of the European Parliament and of the Council of 24 November 2010 on European Union …” „… ) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating …” „… common definition of European money market funds will be replaced by the new rules of the MMFR which is …”

Article 1 Subject matter S. 1231-1234

„… Credit Rating Agency Regulation (CRAR) Regulation (EC) No 1060/2009 of the European Parliament and …” „… the Council of 16 September 2009 on credit rating agencies (OJ L 302, 17.11.2009, p. 1-31 …” „… the ROC curve’, Central European Journal of Operations Research Sept. 2012, Vol. 20 Issue 3, 529-557 …”

Article 82 Exercise of the delegation S. 1678-1679

„… European Union or on a later date specified therein. It shall not affect the validity of any delegated acts …” „… been expressed by either the European Parliament or the Council within a period of three months of …” „… notification of the act to the European Parliament and the Council or if, before the expiry of that period, the …”

Article 6 Conditions for taking up activities as AIFM S. 1478-1480

„… /EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council …” „… introduces a licensing requirement for AIFM domiciled in the European Union, which generally implies that no …” „… AIFM in the European Union can engage in the activities regulated under AIFMD without having …”

Article 27 Committee procedure S. 1211-1214

„… extended for periods of an identical duration, unless the European Parliament or the Council revokes it in …” „… et seq. 2 Directive 2008/22/EC of the European Parliament and of the Council of 11 March 2008 …” „… already in force. It shall be published in the Official Journal of the European Union. I. Purpose Article …”

Introduction S. 1466-1467

„… 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to …” „… domiciled in the European Union and the marketing of alternative investment funds in the European Union. II …” „… Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU of the European …”

Articles 83 to 91 S. 1679-1680

„… commented. 2. 3. 1 Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on …” „… 98/26/EC of the European Parliament and of the Council of 19 May 1998 on settlement finality in payment …” „… Regulation and Compliance 107 (cited as “Vereecken”). The European Parliament and the Council of the European …”

Article 51 Risk management, exposure limits, reliance on credit rating agencies S. 1386-1389

„… and of the Council of 24 November 2010 on European Union macro-prudential oversight of the financial …” „… agencies as defined in Article 3(1)(b) of Regulation (EC) No 1060/2009 of the European Parliament and of …” „… the Council of 16 September 2009 on credit rating agencies, for assessing the creditworthiness of the …”

Article 33 Addressees S. 1032-1033

„… enter into force on the day of its publication in the Official Journal of the European Union. Article 33 …” „… 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for …” „… (EU) No 1286/2014 of the European Parliament and of the Council ‘on Key Information Documents for …”

Article 1 Scope and UCITS definition S. 1304-1317

„… ) Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of …” „… European Parliament and of the Council of 14 June 2017 on money market funds (’MMFR’), OJ 2017 L 169/8. Cf …” „… Directive 2001/108/EC of the European Parliament and of the Council of 21 January 2002 amending Council …”

Article 49 Withdrawal of registration S. 572-574

„… ) Directive 2001/34/EC of the European Parliament and the Council of 28 May 2001 on the admission of …” „… documented evidence to believe that, in the provision of investment services and activities in the Union, the …” „… of a revocation justify that ESMA informs the European Commission about a revokal (Art 49(2) MiFIR …”

Article 1 S. 1033-1036

„… 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for …” „… (EU) No 1286/2014 of the European Parliament and of the Council ‘on Key Information Documents for …” „… Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of …”

Introduction S. 1710-1711

„… enactment of Directive 2002/47/EC of the European Parliament and of the Council of 6 June 2002 on Financial …” „… Financial Collateral Directive (FCD) Directive 2002/47/EC of the European Parliament and of the …” „… Protection of Payment and Securities Settlement Systems and of Collateral Transactions in European Union …”

Article 4 Interoperability S. 1756-1759

„… 98/26/EC of the European Parliament and of the Council of 19 May 1998 on settlement finality in payment …” „… of the European Parliament and of the Council of 19 May 1998 on settlement finality in payment and …” „… participants of a retail payment system within the Union shall ensure that their payment system is technically …”

Article 17 Exemption for market making activities and primary market operations S. 924-929

„… 2004/39/EC, under Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on …” „… the European Parliament and of the Council as regards exemptions for buy-back programmes and …” „… /EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC [2004] OJ …”

Introduction S. 644-650

„… the European Parliament and of the Council of 16 April 2014 on criminal sanctions for market abuse …” „… Exchange Act 1934. 29 Council Regulation (EC) No 2157/2001 of 8 October 2001 on the Statute for a European …” „… Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 of the European Parliament and of the …”

Article 29 S. 1093-1095

„… of the European Parliament and of the Council of 26 November 2014 on key information documents for …” „… the decision in the Official Journal of the European Union or at a later date specified therein. It …” „… period of three months of notification of that act to the European Parliament and the Council or if …”

Article 2 Definitions S. 1104-1114

„… 2004/39/EC of the European Parliament and of the Council of 21 April 26 ESMA, Mapping of the Transparency …” „… , Mapping”). 27 Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the …” „… of Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider …”

Article 1 Subject matter and scope S. 1099-1104

„… Transparency Directive (TD) Directive 2004/109/EC of the European Parliament and of the Council of …” „… Funds and Risk- Decoupling – The Empty Voting Problem in the European Union’ (2013) 36 University of …” „… 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international …”

Article 13 Addressees S. 1744-1745

„… ) Regulation (EU) No 260/2012 of the European Parliament and of the Council of 14 March 2012 establishing …” „… enter into force on the day of its publication in the Official Journal of the European Communities …” „… electronic money as defined in point (2) of Article 2 of Directive 2009/110/EC of the European Parliament and …”

Article 1 Subject matter and scope S. 1574-1576

„… for a Regulation of the European Parliament and of the Council on a framework for the recovery and …” „… ) 2015/2365, COM(2016) 856 final. 63 Proposal for a Regulation of the European Parliament and of the Council …” „… functions and other Union public bodies charged with or intervening in the management of the public debt; (b …”

Article 13 Public disclosure fees S. 1283-1284

„… 1060/2009 of the European Parliament and of the Council with regard to fees charged by the European …” „… Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory …” „… , Official Journal of the European Union L 140, p. 32. Level 3: ESMA, ESMA’s supervision of credit rating …”

Article 17 S. 588-590

„… Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial …” „… Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse …” „… (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council …”

Article 10 Shareholders and members with qualifying holdings S. 50-53

„… 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on …” „… European Parliament and of the Council details the procedures for notification of changes to the membership …” „… 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to …”

Article 4 Definitions S. 22-34

„… out in Articles 9 and 10 of Directive 2004/109/EC of the European Parliament and of the Council …” „… European Parliament and of the Council, which is fully repayable at maturity on terms under which interest …” „… European Parliament and of the Council; Art. 4 MiFID II 1. Security Markets and Services 28 Matthias …”

Article 16 Exemption where the principal trading venue is in a third country S. 921-924

„… Directive 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation …” „… Directive 2003/6/EC of the European Parliament and of the Council as regards exemptions for buy-back …” „… venue in the Union where the principal venue for the trading of the shares is located in a third country …”

Article 26 S. 1092

„… the European Parliament and of the Council of 26 June 2013 on the annual financial statements …” „… 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and …” „… consolidated financial statements according to Directive 2013/34/EU of the European Parliament and of the …”

Article 25 S. 1092

„… the European Parliament and of the Council of 26 June 2013 on the annual financial statements …” „… 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and …” „… consolidated financial statements according to Directive 2013/34/EU of the European Parliament and of the …”

Article 33 Review S. 1228-1229

„… that of its publication in the Official Journal of the European Union. TD entering into Force The TD …” „… shall by 30 June 2009 report on the operation of this Directive to the European Parliament and to the …” „… Council including the appropriateness of ending the exemption for existing debt securities after the 10 …”

Article 2 Definitions S. 624-627

„… 4(1) of Directive 2014/65/EU of the European Parliament and of the Council (8); (2) ‘spot commodity …” „… Directive 2012/30/EU of the European Parliament and of the Council (9); (4) ‘inside information’ means …” „… ) No 1227/2011 of the European Parliament and of the Council (10); (14) ‘issuer’ means an issuer as …”

Article 2 Definitions S. 1751-1755

„… guidelines of Union-wide schemes for payment transactions falling within the scope of this Regulation; (18 …” „… scheme shall be reachable, in accordance with the rules of a Union-wide payment scheme, for direct debits …” „… guidelines agreed between PSPs for the execution of payment transactions across the Union and within Member …”

Articles 26 to 32 S. 1291-1293

„… representative of the European Banking Authority.26 The Council is chaired by a chairperson (in accordance with …” „… the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and …” „… (EC) No 1060/2009 of the European Parliament and of the Council with regard to fees charged by the …”

Article 1 Purpose and scope S. 951-958

„… 94/19/EC of the European Parliament and of the Council on deposit-guarantee schemes g. non-fungible …” „… Regulation of the European Parliament and of the Council on the prospectus to be published when securities …” „… Section I of Annex II to Directive 2004/39/EC of the European Parliament and of the Council of 21 April …”

Article 9 Waivers for non-equity instruments S. 432-441

„… obligations). 1. 2. 3. 1 Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June …” „… July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on …” „… European Parliament and of the Council on markets in financial instruments with regard to regulatory …”

Article 21 Access to regulated information S. 1193-1197

„… regulated information referred to in Directive 2004/109/EC of the European Parliament and of the Council …” „… the central storage of regulated information referred to in Directive 2004/109/EC of the European …” „… Parliament and of the Council [2007] OJ L267/16. 4 See → Art 2 mn 7 et seq. 5 For simplification purposes, we …”

Article 5 Equivalence and certification based on equivalence S. 1246-1248

„… European Parliament and of the Council with regard to regulatory technical standards on information for …” „… registration and certification of credit rating agencies, Official Journal of the European Union L 140, 30 May …” „… supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to …”

Article 10 Jurisdiction Jörn Axel Kämmerer S. 640-644

„… Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 of the European Parliament and of the Council …” „… the European Parliament and of the Council of 16 April 2014 on criminal sanctions for market abuse …” „… . Bibliography: Chan SSH, ‘InnoLux Corp v European Commission: establishment of the effects doctrine in …”

Article 2 Definitions S. 958-965

„… II to Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets …” „… Article 1(1)(a) of Directive 2000/12/EC of the European Parliament and of the Council of 20 March 2000 …” „… after the date of entry into force of Directive 2013/50/EU of the European Parliament and of the Council …”

Article 8 b Information on structured finance instruments S. 1271-1273

„… structured finance instruments, Official Journal of the European Union L 2, 6 January 2015, p. 57. II …” „… September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with …” „… , the originator and the sponsor of a structured finance instrument established in the Union shall, on …”

Article 25 Professional secrecy and cooperation between Member States S. 1208-1210

„… prejudice to the Article 258 of the Treaty on the Functioning of the European Union (TFEU), ESMA may, in …” „… Board (ESRB) established by Regulation (EU) No 1092/2010 of the European Parliament and of the Council …” „… of 24 November 2010 on European Union macro-prudential oversight of the financial system and …”

Article 33 Mechanism to avoid duplicative or conflicting rules S. 524-526

„… Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on …” „… Parliament and to the Council on the international application of principles laid down in Articles 28 and 29 …” „… report, at least on an annual basis, to the European Parliament and to the Council. Within 30 calendar …”

Article 4 Exemptions from the obligation to publish a prospectus S. 969-974

„… ) (hereinafter ‘ESMA’) established by Regulation (EU) No 1095/2010 of the European Parliament and of the Council …” „… into account the requirements of Union legislation; d) dividends paid out to existing shareholders in …” „… exemption under point (e), equivalent to the requirements resulting from Directive 2003/6/EC of the European …”

Article 3 Optional exemptions S. 18-22

„… 2(4) Directive 2009/73/EC. 41 Regulation EU No 909/2014 of the European Parliament and of the Council …” „… of 23 July 2014 on improving securities settlement in the European Union and on central securities …” „… ) investment companies with fixed capital, as defined in Article 17(7) of Directive 2012/30/EU of the European …”

Article 6 Report on payments to governments S. 1131-1135

„… undertakings, amending Directive 2006/43/EC of the European Parliament and of the Council and repealing Council …” „… Enforcement, Governance and Trade Action Plan of the European Union (EU FLEGT)10 and related requirements for …” „… (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the …”

Article 27 S. 1092-1093

„… the European Parliament and of the Council of 26 June 2013 on the annual financial statements …” „… 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and …” „… consolidated financial statements according to Directive 2013/34/EU of the European Parliament and of the …”

Article 24 S. 1091-1092

„… Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial …” „… Directive 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660 …” „… required to prepare consolidated financial statements according to Directive 2013/34/EU of the European …”

Article 25 Obligation to maintain records S. 494-495

„… of the European Parliament and of the Council. ESMA may request access to that information in …” „… Parliament and the Council of 24 November 2010 establishing a European Supervisory Authority (European …” „… context of the duties of the managerial body. 4 See Art 17 Regulation (EU) 1095/10 of the European …”

Article 5 Exemption for buy-back programmes and stabilisation S. 661-670

„… 2273/2003 of 22 December 2003 implementing Directive 2003/6/EC of the European Parliament and of the Council …” „… Stabilisation of the Share Price of IPOs in the United States and the European Union’ (2008) 8 EBOR 521. 8 …” „… present to the European Parliament and to the Council a report assessing the international treatment of …”

Commentary on Articles 25-27 Art. 25-27 S. 499-503

„… Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical …” „… June 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with …” „… Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical …”

Article 17 Public disclosure of inside information S. 778-799

„… Directive 2004/109/EC of the European Parliament and the Council. The issuer shall not combine the …” „… 2013/36/EU of the European Parliament and of the Council (25); (b) in cases other than those referred to …” „… 596/2014 of the European Parliament and of the Council [2016] OJ L173/47. 19 Commission Delegated …”

Article 3 Integration of securities markets S. 1114-1118

„… States pursuant to Article 4 of Directive 2004/25/EC of the European Parliament and of the Council of 21 …” „… European Commission, Proposal for a Directive of the European Parliament and of the Council amending …” „… last amended by Directive 2003/51/EC of the European Parliament and of the Council (OJ L 178, 17.7.2003 …”

Article 45 Position management powers of ESMA S. 555-558

„… under Regulation (EC) No 713/2009 of the European Parliament and of the Council before taking any …” „… part of the financial system in the Union or significantly improve the ability of competent authorities …” „… stability of the whole or part of the financial system in the Union as referred to in paragraph 2(a) taking …”

Article 32 Entry into force S. 1032

„… enter into force on the day of its publication in the Official Journal of the European Union. Article 33 …” „… shall make an assessment of the application of this Directive and present a report to the European …” „… Article 31 Review Five years after the date of entry into force of this Directive, the Commission …”

Article 31 a Staff and resources of ESMA S. 1032

„… enter into force on the day of its publication in the Official Journal of the European Union. Article 33 …” „… shall make an assessment of the application of this Directive and present a report to the European …” „… Article 31 Review Five years after the date of entry into force of this Directive, the Commission …”

Article 31 Review S. 1032

„… enter into force on the day of its publication in the Official Journal of the European Union. Article 33 …” „… shall make an assessment of the application of this Directive and present a report to the European …” „… Article 31 Review Five years after the date of entry into force of this Directive, the Commission …”

Article 17 Amendments to Regulation (EC) No 924/2009 S. 1782-1784

„… Regulation (EU) No 260/2012 of the European Parliament and of the Council of 14 March 2012 establishing …” „… Payments Regulation, p. 11. 4 Directive 2000/46/EC of the European Parliament and of the Council of 18 …” „… publication in the Official Journal of the European Union. The SEPA Regulation entered into force on 31 March …”

Article 4 Definitions S. 1471-1477

„… Directive 2006/49/EC of the European Parliament and of the Council of 14 June 2006 on the capital adequacy …” „… relationship between a parent undertaking and a subsidiary, as referred to in Article 1 of the Seventh Council …” „… company which has its registered office in the Union and the shares of which are not admitted to trading …”

Article 58 Position reporting by categories of position holders S. 334-339

„… Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements …” „… Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments, OJ …” „… ; Nield K and Pereira R, ‘Fraud on the European Union Emissions Trading Scheme: Effects, Vulnerabilities …”

Article 8 Exemptions S. 1137-1140

„… with the objective of preserving the financial stability of European monetary union by providing …” „… the European Parliament and of the Council of 24 November 2010 amending Directives 2003/71/EC on the …” „… 2006/49/EC of the European Parliament and of the Council of 14 June 2006 on the capital adequacy of …”

Article 7 Inside information S. 673-692

„… European Parliament and of the Council on insider dealing and market manipulation (market abuse) [2003] OJ …” „… ) through (4). 3. 1. 6 Directive 2004/39/EC of the European Parliament and of the Council on markets in …” „… the European Parliament and of the Council on markets in financial instruments [2014] OJ L173/349 …”

Article 1 Subject matter and scope S. 1711-1720

„… Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up …” „… 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial …” „… Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life …”

Article 24 Obligation to uphold integrity of markets S. 492-494

„… of the European Parliament and of the Council. ESMA may request access to that information in …” „… Parliament and the Council of 24 November 2010 establishing a European Supervisory Authority (European …” „… context of the duties of the managerial body. 4 See Art 17 Regulation (EU) 1095/10 of the European …”

Introduction to Articles 39-43 Intro Art. 39-43 S. 538-541

„… supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to …” „… , margin no 47, p. 14. 7 Commission, Proposal for a Regulation of the European Parliament and of the …” „… (c) the legal and supervisory framework of that third country provides for an effective equivalent …”

Articles 27 to 31 S. 934-937

„… . 2 For details, see Moloney, 568-569. 3 Case C-270/12 United Kingdom v Council of the European Union …” „… hours’ notice. 10 Case C-270/12 United Kingdom v Council of the European Union and European Parliament …” „… to short selling in the European Union).” Chapter V Powers of intervention Arts 27 to 31 SSR Klaus …”

Article 28 Administrative measures and sanctions S. 1216-1219

„… convinced that a broad divergence of enforcement methods across the Union might be problematic.2 In 2010 …” „… of appeal to the courts’. 2 See also Möllers, ‘Sources of Law in European Securities Regulation …” „… European Commission, Communication from the Commission to the European Parliament, the Council, the …”

Article 3 Definitions S. 654-657

„… ) No 575/2013 of the European Parliament and of the Council (18); (4) ‘financial institution’ means a …” „… accordance with Articles 21 to 27 of Directive 2012/30/EU of the European Parliament and of the Council (20 …” „… European Parliament and of the Council (21); (25) ‘person discharging managerial responsibilities’ means a …”

Article 14 S. 1709-1710

„… European Parliament and of the Council of 6 June 2002 on financial collateral arrangements (OJ L 168 …” „… /EC of the European Parliament and of the Council of 6 June 2002 on Financial Collateral Arrangements …” „… Journal of the European Communities. Article 14 This Directive is addressed to the Member States. 2 See …”

Article 74 Delegation of tasks by ESMA to competent authorities S. 1670-1672

„… of the European Parliament and of the Council with regard to fees charged by the European Securities …” „… ) No 667/2014 of 13 March 2014 supplementing Regulation (EU) No 648/2012 of the European Parliament and …” „… of the Council with regard to rules of procedure for penalties imposed on trade repositories by the …”

Article 102 Professional secrecy and confidentiality; supervisory cooperation and information exchange S. 1452-1453

„… ) established by Regulation (EU) No 1093/2010 of the European Parliament and of the Council, the European …” „… ) No 1094/2010 of the European Parliament and of the Council and the ESRB. In particular, paragraphs 1 …” „… persons receive in the course of their duties shall be divulged to any person or authority whatsoever …”

Article 32 Reporting of infringements S. 865-868

„… the European Union, Proposal for a Regulation of the European Parliament and of the Council on insider …” „… ) No 596/2014 of the European Parliament and of the Council as regards reporting to competent …” „… possibility of financial compensation for whistleblowers.1 It was suggested in the Council that whistleblowers …”

Article 13 Mechanism to avoid duplicative or conflicting rules S. 1611-1612

„… and preparing reports to the European Parliament and to the Council on the international application …” „… Parliament and the Council. Where the report reveals an insufficient or inconsistent application of the …” „… authorisation of a CCP Article 14 Authorisation of a CCP 1. Where a legal person established in the Union …”

Article 11 General and periodic disclosures S. 1280-1281

„… Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory …” „… supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to …” „… ongoing supervision by the European Securities and Markets Authority, 6 January 2015, Official Journal of …”

Article 13 Accepted market practices S. 756-767

„… Regulation of the European Parliament and of the Council on insider dealing market manipulation (market abuse …” „… ) and the Proposal for a Directive of the European Parliament and of the Council on criminal sanctions …” „… 2004/72/EC implementing Directive 2003/6/EC of the European Parliament and of the Council as regards …”

Article 24 Competent authorities and their powers S. 1204-1208

„… Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of …” „… Treaty on the Functioning of the European Union (TFEU), ESMA may, in situations referred to in the first …” „… Regulation (EU) No 1092/2010 of the European Parliament and of the Council of 24 November 2010 on European …”

Article 30 Transitional provision S. 1031-1032

„… the European Parliament and the Council, accompanied where appropriate by proposals for its review …” „… the European Parliament, the Council and the Commission in relation thereto Article 32 Entry into …” „… European Union. Article 33 Addressees This Directive is addressed to the Member States. Art. 33 PD 3 …”

Article 32 Trading obligation procedure S. 519-524

„… Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments …” „… Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments …” „… supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial …”

Introduction to Title VIII Intro Title VIII S. 558-560

„… , The (Uncertain) Impact of Brexit on the United Kingdom’s Membership in the European Economic Area …” „… , 27:7 European Business Law Review 921 (2016); Ringe WG, The Irrelevance of Brexit for the European …” „… apply for a European passport. The core of those conditions is the European Commission’s equivalence …”

Article 39 Market monitoring S. 541-542

„… Delegated Regulation (EU) 2017/567 of 18 May 2016 supplementing Regulation (EU) No 600/2014 of the European …” „… Parliament and of the Council with regard to definitions, transparency, portfolio compression and supervisory …” „… Union. (2) In accordance with Article 9(2) of Regulation (EU) No 1093/2010, EBA shall monitor the market …”

Article 8 Pre-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives S. 428-432

„… transparency calculations). 1. 2. 3. 1 Regulation (EU) 2016/1033 of the European Parliament and of the Council …” „… supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to …” „… June 2016 supplementing Regulation (EU) 600/2014 of the European Parliament and of the Council with …”

Article 113 S. 622-623

„… Directive (MAD) Directive 2014/57/EU of the European Parliament and of the Council of 16 April 2014 on …” „… Official Journal of the European Communities. Article 112 provides that the CARD shall enter into force on …” „… , activities in pursuit of the Union’s climate policy in accordance with Article 6(3) thereof, or activities in …”

Article 5 Half-yearly financial reports S. 1124-1131

„… Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application …” „… Directive of the European Parliament and of the Council amending Directive 2004/109/EC on the harmonisation …” „… 41(1) and (2) of Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on …”

Article 2 Definitions S. 1576-1578

„… 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation of …” „… holding company within the meaning of Article 2(15) of Directive 2002/87/EC of the European Parliament and …” „… of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance …”

Article 57 Position limits and position management controls in commodity derivatives S. 317-334

„… Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions, COM …” „… ), OJ 2014L 173/179; Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 …” „… the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial …”

Article 1 Scope S. 6-10

„… Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential …” „… Markets in Financial Instruments Directive (MiFID II) Directive 2014/65/EU of the European …” „… Parliament and of the Council of 15 May 2014 on markets in financial instruments (OJ L 173, 12.6.2014, p …”

Article 16 Organisational requirements S. 65-120

„… 7 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with …” „… Parliament and of the Councl, Directive 2013/36/EU of the European Parliament and of the Council or Directive …” „… 2014/59/EU of the European Parliament and of the Council, shall provide those clients with additional …”

Article 10 Unlawful disclosure of inside information S. 711-718

„… 2003/6/EC of the European Parliament and of the Council on insider dealing and market manipulation …” „… 2007/36/EC of the European Parliament and of the Council on the exercise of certain rights of shareholders …” „… occur, a disclosure cannot compromise the aim of the prohibition to prevent the 2. 3. 1. 1 Council …”

Article 20 Post-trade disclosure by investment firms, including systematic internalisers, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 472-478

„… ) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending Regulation (EU) 600/2014 on …” „… ) 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for …” „… Regulation (EU) 1095/2010 of the European Parliament and of the Council of 24 November 2010 (OJ EU L 331). 32 …”

Article 11 Notification of acquisitions and disposals of qualifying holdings S. 53-58

„… /EU of the European Parliament and of the Council with regard to regulatory technical standards on …” „… has been taken from Directive 2007/44/EC of the European Parliament and of the Council.1 As this …” „… 2007/44/EC of the European Parliament and of the Council of 5 September 2007 amending Council Directive …”

Article 43 Marketing of AIFs by AIFMs to retail investors S. 1561-1563

„… European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade …” „… the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties …” „… and Settlement European Markets Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012 of the …”

Article 35 Addressees S. 1230-1231

„… 1060/2009 of the European Parliament and the Council of 16 September 2009 on credit rating agencies (OJ L …” „… optimisation of the ROC curve’, Central European Journal of Operations Research Sept. 2012, Vol. 20 Issue 3 …” „… Article 35 Addressees This Directive is addressed to the Member States. Addressee of the TD As all …”

Article 10 Competent authorities S. 1771-1773

„… Commission of those rules and 2. 1 Regulation (EU) No 1093/2010 of the European Parliament and of the Council …” „… , the duty of cooperation includes cooperation with the European Banking Authority (EBA). But reference …” „… between the competent authorities of the Member States, the European Central Bank, and the EBA. From the …”

Article 2 Scope S. 1234-1236

„… ) of this Article. 3. 4 Recital 8 Regulation (EU) No 462/2013 of the European Parliament and of the …” „… Regulation”), 31 May 2013 (OJ EU L 146/1). 5 Regulation (EU) No 462/2013 of the European Parliament and of …” „… the Council of 21 May 2013 amending Regulation (EC) No 1060/2009 on credit rating agencies, 31 May …”

Article 21 Review and evaluation S. 1617-1621

„… classes and also highly interconnected. 4 Directive 98/26/EC of the European Parliament and Council of 19 …” „… ) initiate and coordinate Union-wide assessments of the resilience of CCPs to adverse market developments in …” „… amendments were necessary to accommodate the particularities of pan-European supervision. These …”

Article 5 The prospectus S. 974-984

„… the European Parliament and of the Council of 4 April 2001 on the reorganisation and winding up of …” „… Regulation (EU) No 596/2014 of the European Parliament and of the Council and Directive 2004/109/EC. Chapter …” „… . 3. 4. 2 Directive 2014/91/EU [2014] OJ L 257/186. 3 Regulation (EU) No 1286/2014 of the European …”

Article 4 Waivers for equity instruments S. 408-417

„… ) 1287/2006. 3 Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016 …” „… July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on …” „… European Parliament and of the Council with regard to regulatory technical standards on the specification …”

Article 47 Equivalence decision S. 566-571

„… Directives 2003/71/EC and 2004/109/EC of the European Parliament and of the Council; Art 47 Financial …” „… authorities of third countries concerned, including access to all information regarding the non-Union firms …” „… other Member States of the Union without the establishment of new branches. For that purpose, it shall …”

Article 14 S. 1081-1086

„… Regulation. 7 Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in …” „… → MiFID II Art 1 et seq. 8 Regulation (EU) No. 1286/2014 of the European Parliament and of the Council of …” „… part of the financial system in the Union; (b) regulatory requirements under Union law that are …”

Article 2 S. 1684-1691

„… institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council …” „… 4(1)(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets …” „… referred to in Article 1(4)(a) of Directive 2002/47/EC of the European Parliament and of the Council of 6 …”

Article 17 Information requirements for issuers whose shares are admitted to trading on a regulated market S. 1179-1183

„… European Parliament and of the Council of 11 July 2007 on the exercise of certain rights of shareholders in …” „… crossborder integration of the European capital markets. In some respects, the importance of Article 17 is …” „… listed companies [2007] OJ L184/17. 2 European Commission, Proposal for a Directive of the European …”

Article 22 Professional secrecy and cooperation between authorities S. 1023-1025

„… 1092/2010 of the European Parliament and of the Council of 24 November 2010 on European Union …” „… prejudice to Article 258 of the Treaty on the Functioning of the European Union (TFEU), ESMA may, in the …” „… macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (1) respectively …”

Article 34 Entry into force S. 1229-1230

„… that of its publication in the Official Journal of the European Union. TD entering into Force The TD …” „… – Impact Assessment Accompanying the Document Proposal for a Directive of the European Parliament and of …” „… the Council amending Directive 2004/109/EC on the Harmonisation of Transparency Requirements in …”

Article 8 Methodologies, models and key rating assumptions S. 1263-1269

„… supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council on CRA by laying down …” „… Journal of the European Union L 140 30 May 2012, p. 14. Level 3: ESMA, Q&As, Implementation of the …” „… of the European Parliament and of the Council on credit rating agencies by laying down regulatory …”

Article 7 Responsibility and liability S. 1135-1137

„… the European Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual …” „… with the objective of preserving the financial stability of European monetary union by providing …” „… serious, the minimum catalogue of Article 28b(1) sanctions must be available in each Member State …”

Article 33 SME growth markets S. 217-221

„… Capital Markets Union,1 the European Commission emphasized the importance of SMEs and the need to improve …” „… ) 2017/565 of 25.4.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council as …” „… Capital Markets Union, COM(2015) 468 final, Brussels, 30.9.2015. For an assessment of the Action Plan see …”

Article 54 Approval of interoperability arrangements S. 1655-1658

„… , ‘Report to European Commission on the systemic risk implications of CCP interoperability arrangements …” „… Recommendations on CCP Interoperability Arrangements, November, 2014. 4 Proposal for a Regulation of the European …” „… Parliament and of the Council on a framework for the recovery and resolution of central counterparties and …”

Article 70 Amendments to Annex II S. 1668

„… fines and periodic penalty payments shall be allocated to the general budget of the European Union …” „… Parliament, the Council, the Commission, and the competent authorities of the Member State concerned …” „… administrative nature. 3. Where ESMA decides to impose no fines or penalty payments, it shall inform the European …”

Article 69 Review by the Court of Justice S. 1668

„… fines and periodic penalty payments shall be allocated to the general budget of the European Union …” „… Parliament, the Council, the Commission, and the competent authorities of the Member State concerned …” „… administrative nature. 3. Where ESMA decides to impose no fines or penalty payments, it shall inform the European …”

Article 18 Obligation for systematic internalisers to make public firm quotes in respect of bonds, structured finance products, emission allowances and derivatives S. 465-471

„… 70-872942901-35. 1. 2. 3. 1 Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June …” „… 2016 supplementing Regulation (EU) 600/2014 of the European Parliament and of the Council with regard …” „… transmitted to ESMA. ESMA shall establish a list of all systematic internalisers in the Union. 5. Systematic …”

Article 12 Assessment procedures S. 58-61

„… the European Parliament and of the Council with regard to regulatory technical standards for an …” „… supplementing Directives 2004/39/EC and 2014/65/EU of the European Parliament and of the Council with regard to …” „… Sanctions (Art 11(4) MiFID) In the event of non-compliance, NCAs shall have the same enforcement …”

Article 19 Managers’ transactions S. 808-824

„… December 2015 supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council as …” „… ’ transactions in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council [2016 …” „… ) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in …”

Article 22 Annual report S. 1512-1514

„… audit accounts in accordance with Directive 2006/43/EC of the European Parliament and of the Council of …” „… the European Union. The annual report must be published within six months after the end of the …” „… in the Union make available to AIF investors, in accordance with the AIF rules or instruments of …”

Commentary to Articles 35-37 Art. 35-37 S. 532-537

„… 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets …” „… 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with 2. 3 …” „… request access to a trading venue in the Union subject to that CCP being recognised under Article 25 of …”

Article 101 Cooperation and information exchange of competent authorities and ESMA; on-site visits; ESMA’s dispute resolution powers S. 1449-1452

„… Treaty of on the Functioning of the European Union (TFEU), ESMA may, in situations referred to in the …” „… 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards the …” „… among regulators, which is a direct result of the reformation of the European supervisory system …”

Article 18 Trading process and finalisation of transactions in an MTF and an OTF S. 134-142

„… 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards …” „… and the Future of the European Financial Markets’, EBLR 2009, 63-99; Güllner M, ‘MiFID II: Die neue …” „… in the Capital Markets Union: The European Commission’s Proposals to Foster Financial Innovation in …”

Article 71 Withdrawal of registration S. 1668-1669

„… fines and periodic penalty payments shall be allocated to the general budget of the European Union …” „… Parliament, the Council, the Commission, and the competent authorities of the Member State concerned …” „… administrative nature. 3. Where ESMA decides to impose no fines or penalty payments, it shall inform the European …”

Article 68 Disclosure, nature, enforcement and allocation of fines and periodic penalty payments S. 1667-1668

„… shall inform the European Parliament, the Council, the Commission, and the competent authorities of the …” „… budget of the European Union. Article 69 Review by the Court of Justice The Court of Justice shall have …” „… payment shall be imposed for each day of delay. 3. Notwithstanding paragraph 2, the amount of the periodic …”

Articles 42 to 48 S. 939-941

„… Transparency Prospectus Directive (PD) Directive 2003/71/EC of the European Parliament and of the Council of 4 …” „… individuals with regard to the processing of personal data by the Union institutions (see Arts 39(1) and 40 …” „… purposes of the SSR where a provision references its Art 44 SSR. In this case, the European Securities …”

Article 14 Authorisation of a CCP S. 1612-1613

„… regularly report, at least on an annual basis, to the European Parliament and the Council. Where the report …” „… been adopted, of the requirements equivalent to those laid down in Articles 4, 9, 10 and 11 and …” „… reveals an insufficient or inconsistent application of the equivalent requirements by third country …”

Article 19 Monitoring by ESMA S. 471-472

„… ) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending Regulation (EU) 600/2014 on …” „… improving securities settlement in the European Union and on central securities depositories (OJ EU L 175/1 …” „… liquidity of a financial instrument falls below the threshold determined in accordance with Art 9(4) MiFIR …”

Article 14 Obligation for systematic internalisers to make public firm quotes in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 454-458

„… Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments …” „… June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard …” „… financial instrument shall be comprised of all orders executed in the Union in 24 Ibid. 25 Ibid. Art. 14 …”

Article 13 a Aggregation S. 1172-1174

„… in the European Union’ (2013) 36 University of Seattle Law Review 2017, 1088-9. Art. 13 a TD 3 …” „… 13 mn 30 et seq. 1 Directive (EU) 2017/1132 of the European Parliament and of the Council of 14 June …” „… the European Commission to ESMA. The latter published a ‘Call for Evidence’ in September of 2011 in …”

Article 2 Definitions S. 883-888

„… the meaning of point (7) of Article 4 of Directive 2006/48/EC of the European Parliament and of the …” „… Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions; (iii …” „… that Member State; (ii) in relation to sovereign debt of the Union or a credit default swap relating to …”

Article 1 Subject matter S. 650

„… well-functioning securities markets and economic growth and wealth. 2 Directive 2014/57/EU of the European …” „… Parliament and of the Council of 16 April 2014 on criminal sanctions for market abuse (Market Abuse Directive …” „… regulatory framework on insider dealing, the unlawful disclosure of inside information and market …”

Article 11 Risk-mitigation techniques for OTC derivative contracts not cleared by a CCP S. 1603-1611

„… and preparing reports to the European Parliament and to the Council on the international application …” „… derivative. Their activity therefore poses less of a systemic risk to the financial system than the …” „… activity of financial counterparties. While under the current regulation, non-financial counterparties must …”

Article 50 Synchronisation of business clocks S. 296-299

„… (EU) 2017/574 of 7 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the …” „… Council with regard to regulatory technical standards for the level of accuracy of business clocks (OJ EU …” „… liquidity band in the annex of the Commission Delegated Regulation (EU) 2017/588. The applicable liquidity …”

Article 66 Organisational requirements S. 351-357

„… Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical …” „… other sources, and is capable of being aggregated at Union level; (e) the concrete organisational …” „… Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European …”

Article 38 Peer review of authorisation and supervision of non-EU AIFMs S. 1550-1552

„… European Parliament, the Council and the Commission of the guidelines and recommendations issued pursuant …” „… AIFM may market the units or shares of an EU AIF it manages to professional investors in the Union with …” „… reference is the appointment of a legal representative (Art 37(3)). The role of the legal representative is …”

Article 25 Recognition of a third-country CCP S. 1623-1628

„… Directive (EU) 2015/849 of the European Parliament and of the Council, as having strategic deficiencies in …” „… threats to the financial system of the Union. 3. When assessing whether the conditions referred to in …” „… competent authorities responsible for the supervision of trading venues located in the Union, served or to …”

Article 9 Conflict of laws S. 1739-1743

„… Member States of the European Union as well as to the three Member States which are part of the European …” „… Commission shall present a report to the European Parliament and the Council on the application of this …” „… to harmonise the conflict of laws rules inside the European Economic Area and to supplement Art 9 of …”

Article 12 S. 1072-1073

„… Regulation (EU) No. 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key …” „… that all retail investors across the Union have the same right of redress,16 that restrictions or …” „… transactions, the question of where the loss may have occurred can give rise to controversy …”

Article 18 Information requirements for issuers whose debt securities are admitted to trading on a regulated market S. 1183-1187

„… See also → Art 8 mn 6 et seq. 12 Directive 2010/73/EU of the European Parliament and of the Council of …” „… interference with the tasks and duties conferred upon the European System of Central Banks (ESCB).16 …” „… purposes of strengthening crossborder integration of the European capital markets. According to Article 3(1 …”

Article 51 Admission of financial instruments to trading S. 299-303

„… the issuer of a transferable security complies with its obligations under Union law in respect of …” „… (EU) 2017/568 of 24 May 2016 supplementing Directive 2014/65/EU of the European Parliament and of the …” „… this point remains consistent.25 The compliance of the traceability system with Commission Delegated …”

Article 99 Sanctioning powers of competent authorities; minimum sanctions S. 1440-1442

„… accordance with Directive 2013/34/EU of the European Parliament and of the Council, the relevant total annual …” „… relevant Union law in the area of accounting according to the last available consolidated accounts approved …” „… (e) require the cessation of any practice that is contrary to the provisions adopted in the …”

Articles 18 to 26 S. 930-934

„… Moloney, 567. 2 For details, see Moloney, 568-569. 3 Case C-270/12 United Kingdom v Council of the …” „… European Union and European Parliament [2014] ECLI:EU:C:2014:18; for a critical review of this decision …” „… ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 2. Power to restrict short selling temporarily in the case of a significant fall in price (Art 23 …”

Article 99 a Minimum sanctioning S. 1442-1444

„… has to prepare consolidated financial accounts in accordance with Directive 2013/34/EU of the European …” „… Parliament and of the Council, the relevant total annual turnover shall be the total annual turnover or the …” „… corresponding type of income in accordance with the relevant Union law in the area of accounting according to …”

Article 5 Clearing obligation procedure S. 1588-1593

„… European Parliament and of the Council on a framework for the recovery and resolution of central …” „… competition across the Union. In order to ensure consistent application of this Article, ESMA shall develop …” „… of contracts that are subject to a clearing obligation, the European legislator embraced two …”

Article 22 Mandatory depositary; appointment and duties of depositary S. 1353-1357

„… Directive 2009/65/EC of the European Parliament and of the Council with regard to obligations of …” „… third party located in the Union to which custody of UCITS assets has been delegated, the assets of a …” „… notification, the supervision of the management company is split in a branch-based cross-border …”

Article 26 Obligation to report transactions S. 495-498

„… (2) The operator of a trading venue shall keep at the disposal of the competent authority, for at …” „… through their systems. The records shall contain the relevant data that constitute the characteristics of …” „… order and the details of which shall be reported in accordance with Article 26(1) and (3). ESMA shall …”

Article 13 Obligation to make pre-trade and post-trade data available on a reasonable commercial basis S. 451-454

„… supplementing Regulation (EU) 600/2014 of the European Parliament and of the Council with regard to definitions …” „… instrument shall be comprised of all orders executed in the Union in 24 Ibid. 25 Ibid. Art. 14 MiFIR 1 …” „… ) of the Commission Delegated Regulation (EU) 2017/572. The criteria are the following: the nature of …”

Article 17 Algorithmic trading S. 120-134

„… 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to …” „… provision specifically addressing high-frequency trading,3 the proportionality principle of Union law …” „… Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of …”

Chapter 1 Organisational requirements S. 1628-1637

„… 153/2013. 10 Proposal for a Regulation of the European Parliament and of the Council on a framework for the …” „… 73/239/EEC, Council Directive 92/49/EEC of 18 June 1992 on the coordination of laws, regulations and …” „… contain systemic risks that a CCP default would trigger in the EU financial markets. In view of the global …”

Article 15 Execution of client orders S. 458-463

„… Regulation (EU) 2017/567 of 18 May 2016 supplementing Regulation (EU) 600/2014 of the European Parliament and …” „… of the Council with regard to definitions, transparency, portfolio compression and supervisory …” „… equivalent volume of the same financial instrument on the most relevant market in terms of …”

Article 15 Review S. 1778

„… be made by a majority of the European Parliament and Council. The last sentence in Art 14(3) makes …” „… Regulation (EU) No 248/2014 of the European Parliament and of the Council of 26 February 2014 amending …” „… February 2017, the Commission shall present to the European Parliament, the Council, the European Economic …”

doi.org/10.5771/9783845279893

Sigita Urdze - Die externe Demokratieförderung der EU in den zentralasiatischen Staaten

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Sigita Urdze

Die externe Demokratieförderung der EU in den zentralasiatischen Staaten

Series: Demokratiestudien. Demokratie und Demokratisierung in Theorie und Empirie

Volume 1 2010

Results in this title

Literatur S. 239-278

„… Kazakhstan 2000: Second meeting of the Cooperation Council between the European Union and Kazakhstan …” „… Meeting of the Cooperation Council between the European Union and Kazakhstan, 17.07.2001, 10927/01 (Presse …” „… 285). Cooperation Council between the European Union and Kazakhstan 2002: Fourth Meeting of the …”

Schlussfolgerungen des Rates und Erklärungen des Rates S. 133-146

„… zentralasiatische Staaten geschickt wurden (vgl. z. B. Council of the European Union 2001; Council of the European …” „… Union 2004b; Council of the European Union 2008j), wurde an den Rat eine Anfrage bezüglich einer …” „… • While recognising • Continue his contacts Quelle: Council of the European Union 2005a; Council of the …”

Gemeinsame bzw. durchzuführende Aktionen S. 86-90

„… Rates mittels einer Datenbank (vgl. Council of the European Union o. J.-a), in der Ratsdokumente seit …” „… Aktion zum Sonderbeauftragten für Zentralasien ernannt worden war (vgl. Council of the European Union …” „… 2005g), wurde das Mandat 2006, 2008 und 2009 verlängert (vgl. Council of the European Union 2006l …”

Gemeinsame bzw. einzunehmende Standpunkte S. 90-96

„… 1.1.1999 (vgl. Council of the European Union o. J.-a). Recherchen bei beiden Quellen führen zu den gleichen …” „… unabhängigen Untersuchung und die Verurteilung der Verantwortlichen (vgl. z. B. Council of the European Union …” „… 2005i; Council of the European Union 2005n). Nachdem Usbekistan diesen Forderungen nicht nachgekommen …”

Im Rahmen der PKA formalisierter politischer Dialog S. 119-130

„… Datenbank auf den Internetseiten des Rates zu finden sind (vgl. Council of the European Union o. J.-a …” „… 2000; Cooperation Council between the European Union and the Republic of Uzbekistan 2001; Council of …” „… Union and Kazakhstan 2008; Council of the European Union 2008g). Beim entsprechenden turnusmäßigen …”

Beschlüsse – Partnerschafts- und Kooperationsabkommen (PKA) sowie Interimsabkommen S. 113-119

„… finanzielle Hilfe gewährt wird (vgl. z. B. Council of the European Union 2000b). All diese Abkommen sind, wie …” „… Gemeinschaften und Usbekistan (vgl. Council of the European Union o. J.-c; Council of the European Union o. J.-f …” „… ; Council of the European Union o. J.-i; Council of the European Union o. J.-k). Die Abkommen wurden …”

Bestimmung der Grundsätze und allgemeinen Leitlinien für die GASP S. 77-86

„… . European Parliament/Council of the European Union 2001). Ein Problem bei der Verwendung der Datenban- 78 …” „… Union or the governments of the Member States“ (Council of the European Union. General Secretariat 2007 …” „… (2007-2009): Energy Policy for Europe“ (Council of the European Union 2007k). Da es sich hierbei um …”

Verordnungen zur EIDHR S. 111-113

„… European Union 1999c; Council of the European Union 1999d). Eine der Verordnungen bezieht sich speziell auf …” „… Union 1999c; Council of the European Union 1999d) sind von der Finanzierung mittels der EIDHR zwar nicht …” „… Union 2004a; European Parliament/Council of the European Union 2004). 2006 wurden beide Förderstränge …”

Verordnungen zu TACIS S. 98-107

„… to economic reform and recovery in the Union of Soviet Socialist Republics“ (Council of the European …” „… assistance to a partner state“ (Council of the European Union 1996b). Zum anderen findet sich ein Unterschied …” „… rule of law in the partner States“ (Council of the European Union 1999a). Zudem wird an PKA angeknüpft …”

Instrumente der Europäischen Union zur externen Demokratieförderung und ihre Anwendung S. 23-45

„… auflisten (vgl. z. B. Council of the European Union 1999b; Council of the European Union 1999c). Dabei gibt …” „… Überschrift „External Relations“ (vgl. z. B. Council of the European Union 2007g: 17ff). Darüber hinaus …” „… Dokument im Juni 2007 angenommen hat (vgl. Council of the European Union 2007a; Council of the European …”

Externe Demokratieförderung als Konzept der EU-Politik S. 19-23

„… mögliche Vorgehensweisen der Demokratieförderung auflisten (vgl. z. B. Council of the European Union 1999b …” „… ; Council of the European Union 1999c). Dabei gibt es z. T. starke Überschneidungen zwischen den Übersichten …” „… : „In the Council’s view the process of ‚mainstreaming’ human rights and democratisation objectives into …”

Verordnungen zur Umsetzung von Sanktionen gegen Usbekistan S. 96-98

„… Ratsverordnungen sind (vgl. z. B. Council of the European Union 2004c; Council of the European Union 2004d), werden …” „… . Council of the European Union o. J.-a). 973.4.1 Verordnungen zur Umsetzung von Sanktionen gegen …” „… , and to equipment which might be used for internal repression“ (Council of the European Union 2005l …”

Verordnungen zum DCI S. 107-111

„… rights and fundamental freedoms“ (Council of the European Union 1999c; Council of the European Union 1999 …” „… rule of law“ (European Parliament/Council 2006). Gleichzeitig wird die Förderung der Demokratisierung …” „… consultations are refused or in cases of special urgency, the Council, acting by a qualified majority on a …”

Außerhalb der PKA formalisierter politischer Dialog S. 130-132

„… Menschenrechtsdialog mit Usbekistan insgesamt dreimal stattgefunden (vgl. Council of the European Union o. J.-m). Mit …” „… . Council of the European Union o. J.-m). Informationen zu den Inhalten der Gespräche oder zu den …” „… Ebene der Außenminister (vgl. Council of the European Union. General Secretariat 2007). Bereits im Mai …”

Normative Motivation der Europäischen Union in den Beziehungen zu den zentralasiatischen Staaten S. 155-161

„… im Rahmen von TACIS als direktes Ziel geführt (vgl. Council of the European Union 1996b). In der …” „… (vgl. Council of the European Union 2005k) und ab 2007 allgemein das Ziel einer Verbesserung des …” „… Zustandes von Menschenrechten und Demokratie hatten (vgl. Council of the European Union 2007o). Weiterhin …”

Sicherheitspolitische Interessen der Europäischen Union in den zentralasiatischen Staaten S. 176-184

„… dies der Hauptsicherheitsaspekt dieser Maßnahmen (vgl. Council of the European Union 1999a; Council of …” „… Luxembourg Presidency of the Council of the European Union 2005). Die zentralasiatischen Staaten ihrerseits …” „… the European Union 1996b). Da im Rahmen von TACIS für die nukleare Sicherheit auch Mittel zur …”

Nicht formalisierter politischer Dialog S. 132-133

„… erwähnte und verwendete Datenbank für Ratsdokumente (vgl. Council of the European Union o. J.-a). Eine …” „… zentralasiatischen Staaten zusammen (vgl. z. B. European Commission 2005c; EU High Representative for the CFSP 2005a …” „… ; EU High Representative for the CFSP 2005b; Official site of the Resident of the Republic of …”

Einflussfaktoren auf die Gestaltung der externen Demokratieförderungder Europäischen Union S. 45-54

„… Europäischen Nachbarschaftspolitik (vgl. Commission of the European Communities 2004) oder dem Strategiepapier …” „… of normative power is an attempt to suggest that not only is the EU constructed on a normative basis …” „… ‚civilizing power’, projecting its own understanding of norms on to the rest of the world?“ (Bicchi 2006: 287 …”

Zusammenhang zwischen normativer Motivation der Europäischen Union in den Beziehungen zu den zentralasiatischen Staaten und der Gestaltung der externen Demokratieförderung S. 161-176

„… , Präsidentschaftswahlen 10.1.1999 1/7 Deutliche Kritik Quelle: Council of the European Union 2005a; European Union 2005a …” „… ; Office for Democratic Institutions and Human Rights 2006; Presidency on behalf of the European Union 2004 …” „… anderen zentralasiatischen Staaten (vgl. Commission of the European Communities 1994b: 5). Ein …”

Zusammenhang zwischen sicherheits- und wirtschaftspolitischen Interessen der Europäischen Union in den zentralasiatischen Staaten und der Gestaltung der Demokratieförderung S. 199-215

„… Usbekistans, eine unabhängige Untersuchung dieser Ereignisse zuzulassen (vgl. Council of the European Union …” „… Aufforderung des Europäischen Rates im Vorfeld, eine entsprechende Strategie zu entwickeln (Council of the …” „… European Union 2006g). Formaler Auftraggeber war somit der Europäische Rat, als treibende Kraft hinter der …”

doi.org/10.5771/9783845226163

Matthias Vogl - Europäische Sicherheitspolitik in Afrika im Wandel

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Matthias Vogl

Europäische Sicherheitspolitik in Afrika im Wandel

Series: Schriften des Zentrum für Europäische Integrationsforschung (ZEI)

Volume 76 2015

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8 Quellenverzeichnis S. 379-400

„… from the Commission tothe Council: The European Union and the issue of conflicts in Africa …” „… &lang=en&annee=2013, (10.02.13).Council of the European Union: Council Common Position of 02.06.97 defined by …” „… theCouncil on the basis of Article J.2 of the Treaty on European Union, concerningconflict prevention and …”

4 Multidimensionale Sicherheitsperspektiven: Die Entwicklung der EU und ihrer Afrikapolitik vom Vertrag von Maastricht bis zum Vertrag von Lissabon S. 112-217

„… 02.06.97 defined by the Council on the basis of Article J.2 of the Treaty on European Union,concerning …” „… Security, S. 6.378 Vgl. Council of the European Union: Brussels European Council 14.12.07. Presidency …” „… weltpolitische Agenda, wie im Fall der Piraterie oder desStaatszerfalls.383 Vgl. Council of the European Union …”

5 Eine europäische Afrikapolitik des aufgeklärten Eigeninteresses im Bereich Frieden und Sicherheit? – Determinanten und Spannungsverhältnisse im Praxistest S. 218-321

„… : http://www.consilium.europa.eu/uedocs/cms_Data/docs/pressdata/EN/foraff/120072.pdf, (27.03.13). Sowie vgl. Council of the European Union:Council conclusions on Côte …” „… Rolle.7755.1.15.1.1.1772 Vgl. Council of the European Union: Tripoli Declaration – 3rd Africa EU Summit …” „… Vgl. Council of the European Union: Council conclusions on the Horn of Africa,3124th Foreign Affairs …”

6 Schlussfolgerungen und Ausblick S. 322-332

„… : European Council. 19 and 20.12.13. Part I paragraphs1-22 of the European Council conclusions (already …” „… Verbesserungsvorschlägenvorgelegt. Vgl. European Commission/High Representative of the EuropeanUnion Foreign and Security Policy …” „… EuropeanCouncil on Security and Defence. Interim Report by the High Representative,Brussels 24.07.13, in …”

Titelei/Inhaltsverzeichnis S. 1-22

„… Mission in support of the Security Sector ReformEUTM European Union Training MissionEUV Vertrag über die …” „… Union Mission on Capacity BuildingEUCO European CouncilEUFOR European Union ForceEU ISS European Union …” „… Sicherheitsstrategie/European Security StrategyEU Europäische UnionEUAVSEC European Mission on Aviation SecurityEUCAP European …”

1 Einleitung S. 23-37

„… . Council of the European Union: Lisbon Declaration – EU-Africa Summit,(Lisbon 08-09.12.07) (im Folgenden …” „… , Charlotte/Vogler, John: The European Union as a global actor, Londonu. a. 2003, S. 5 ff.8 Vgl. ebd., S. 5.9 Ebd., S …” „… hungen. Vgl. Hill, Christopher/Smith, Michael: International Relations and theEuropean Union: Themes and …”

doi.org/10.5771/9783845262413

Dominik Tolksdorf - Die EU und Bosnien-Herzegowina

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Dominik Tolksdorf

Die EU und Bosnien-Herzegowina

Series: Münchner Beiträge zur europäischen Einigung

Volume 23 2012

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Literaturverzeichnis S. 351-379

„… /CFSP, 2 Brüssel, 2.01.2001.Council of the EU 2002a: Council Joint Action on the European Union Police …” „… ,27.12.2002.Council of the EU 2002g: Declaration by the Presidency on Behalf of the European Union on …” „… .Council of the EU 2004h: Council Joint Action on the European Union Military operation in Bosniaand …”

Die Entwicklung einer außenpolitischen Identität S. 66-76

„… Programme for thePrevention of Violent Conflicts“ (European Council 2001), in dem der Verbesserungvon …” „… Sicherheitssektor-Reformen verabschiedet, vgl. Council of the EU 2005d. Im Mai 2005verabschiedete der Rat außerdem für die …” „… Mitarbeiter von ESVP-Missionen einen Verhaltenskodex mit Regeln für das Vorgehen im Feld, vgl. Council of the …”

Der Stabilisierungs- und Assoziierungsprozess S. 113-120

„… „The Union’s capacity to absorb new members,while maintaining the momentum of European integration, is …” „… an important consideration in the general interest of both the Union and the candidate countries …” „… to the most unstable parts of Europe. If we wereto go wobbly about the Western Balkans’ European …”

Die Fähigkeit zu Kontroll- und Lernprozessen S. 200-206

„… organized crime, without prejudice to the European UnionPolice Mission (EUPM)’s leading role in the …” „… “ und dem EUFOR-Befehlshaber „local political advice“ geben sollte (Council of the EU 2005i: Art. 3).479 …” „… . Council of the EU 2005h.478 Statt des bisherigen Ansatzes mit Ko-Lokationen sollte die Mission nun einen …”

Organisierte Kriminalität in Bosnien S. 142-146

„… EUROPOL in den „Annual EuropeanUnion Organized Crime Situation Reports“ verwendet wird, vgl. Council of …” „… Sichtweise der EU aufOK im westlichen Balkan (z.B. Council of the EU 2003g; Council of the EU 2004l;European …” „… Commission 2005c; Council of the EU 2006e). Die Forderung nach einereffektiven OK-Bekämpfung ist deshalb auch …”

Die strategische Ausrichtung und Arbeitsweise von EUPM S. 146-155

„… of command, along with the European Commission's institution-buildingprogrammes, gives the Union a …” „… Bosnien und ein Beweis für die kontinuierliche Entwicklung der externen Identität der EU (Council of the …” „… reform. Coordination, not duplication, is our goal (Council of the EU2002d).In diesem Sinne betonten …”

Die Entwicklung von geeigneten Koordinierungsverfahren S. 186-200

„… die Strukturen und Konzepte der EU informieren. Vgl. Council of theEU 2004c: 11.187EUFOR gelang …” „… Informationsaustauschs(unter anderem im Bereich der OK-Bekämpfung) zwischen EUFOR und Nato geprüft(Council of the EU 2004c: 14 …” „… . durch gemeinsamepolitische und Presse-Abteilungen und vermehrte Ko-Lokation (Council of the EU2004a: 4 …”

Die Strukturierung mit klaren Kompetenz-Zuweisungen S. 81-87

„… local authoritieswith the aims set out for the mission.“ Vgl. Council of the EU 2002b: 6.82als die EK …” „… das GASP-Kapitel (Council of the EU 2011a: 3).Der relativ geringe Etat erklärt sich aus dem Widerstand …” „… verbessert haben (European Parliament, the Council and the Commission 2006). Demnachmusste der Rat dem EP …”

Arbeitsteilung und Koordinierung S. 87-91

„… Notwendigkeit von CMCO betont wurde(Council of the EU 2003d; Council of the EU 2003f). Es ist aber in der …” „… Einfluss verfüge (Solana2001; Council of the EU 2000a). Entsprechend skizzierte er vor dem …” „… , der „a personality with a strong political profile“ (European Council 1998) seinsollte …”

Die Auswahl strategiebewusster Führungspersonen S. 91-93

„… ; Council of the EU 2000a). Entsprechend skizzierte er vor dem EU-Verfassungskonvent Verbesserungsvorschläge …” „… personality with a strong political profile“ (European Council 1998) seinsollte, Handlungsspielraum zu …” „… GASP-Mitteln. Vgl. The European Convention 2002b.159 Solana schlug unter anderem die Schaffung eines Crisis …”

Die strukturelle Fähigkeit zur Formulierung von Zielsetzungen S. 76-81

„… Arbeitsgruppen. Vgl.Council of the EU 2011b.76ralsekretär vorstand.123 Die Präsidentschaft hatte damit …” „… „without prejudice to the decision-making and implementation procedures of eachpillar” (Council of the EU …” „… for Coherent,Comprehensive EU Crisis Management“ von 2003 (Council of the EU 2003d). Entsprechend …”

Der Politikansatz von Paddy Ashdown S. 266-271

„… Direktor Gerald Knaus als Mitautor des Papiers „Travails of the EuropeanRaj“ von Juli 2003 Aufsehen erregte …” „… interventions, to a new role of adviser, persuaderand partner under a European Union Special Representative.“691 …” „… from time to time. But I regard these powersas acceptable only if they are used on behalf of the people …”

Der Aufbau eines strategischen Zentrums S. 93-96

„… troubled countries and regions“(Council of the EU 2005d).Seit dem Lissabon-Vertrag kann nur noch der HR/VP …” „… Widersprüchen immer wieder enttäuscht worden: „The media have been slavering forevidence of fights …” „… dynamics ofBrussels headquarters, the often heterogeneous priorities of Member States, and therequirements …”

Abkürzungsverzeichnis S. 13-16

„… European IntegrationDIPR (bosnisches) Directorate for the Implementation of Police RestructuringDSACEUR …” „… Europäische UnionEUFOR EU-Truppe in Bosnien-HerzegowinaEuGH Europäischer GerichtshofEUMC …” „… Angelegenheiten im EPASC Association and Stabilisation CouncilAStV Ausschuss der Ständigen Vertreter der EUBiH …”

Die Zielsetzungen der EU-Mitgliedstaaten gegenüber Bosnien S. 123-129

„… European values and reaffirm its support to the most important strategicprojects of the EU – Enlargement …” „… Co-efficient methodology and establishment of aNational Fiscal Council“), und die (5) Stärkung von …” „… Rechtsstaatlichkeit („demonstrated throughthe Adoption of the National War Crimes Strategy, the passage of Law on …”

Zusammenfassung S. 96-103

„… in the Council Secretariat and theCommission and made itself the prime focus of foreign policy …” „… concerned, Solana occupied the front office and I was in charge of the backoffice of European foreign policy …” „… CFSP to usurpfunctions, which should be the responsibility of the Commission (…).” Vgl. European …”

Lageanalyse S. 104-113

„… government functions and powers not expressly assigned in thisConstitution to the institutions of Bosnia and …” „… Herzegovina shall be those of the Entities.“ Vgl.GFAP 1995: Annex I, Art. 3(a).186 Das politische System der …” „… Allianz zwischen den bosnischen Kroaten undMuslimen geschaffen wurde.105presentative of the International …”

Zentrale Mittel S. 129-135

„… country only to find that it cannot cope withthe rigours of membership – and the new member will not …” „… der Union beitreten können, hat sie großen Einfluss aufdie innenpolitischen Entwicklungen in den …” „… Stabilisation Council (ASC) ausVertretern der EK, der Ratspräsidentschaft und den Beitrittskandidaten geführt …”

Die Erklärung von Washington über eine Verfassungsreform S. 292-302

„… Solana: „The status of BiH is very well defined by the Dayton Agreement, but whenwe think of the European …” „… . Ten years after the war ended, we acknowledge the achievements of the Dayton PeaceAgreement, but it is …” „… than revolution. It is not about abolishingentities (…) or the rights of the peoples, but simply about …”

Die Mobilisierung von Hilfsmitteln S. 307-313

„… Bosnien dazu auf, diese Aufgabe früh zu einer Priorität ihrer Amtszeit zumachen (Council of the EU 2006j …” „… in the course of thepreparations for European integration. Let us be clear, Bosnia and Herzegovina …” „… öffentliche Debatte wieder stärker auf die Polizeireform konzentriert.Vgl. Office of the EUSR 2007i. Im Mai …”

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