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Maximilian von Rom - Insolvenzsicherung und Jahresabschlussgestaltung durch doppelseitige Treuhandkonstruktionen

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Maximilian von Rom

Insolvenzsicherung und Jahresabschlussgestaltung durch doppelseitige Treuhandkonstruktionen

Series: GLEISS LUTZ Schriftenreihe zum deutschen und internationalen Wirtschaftsrecht

Volume 25 2010

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Literaturverzeichnis S. 257-272

„… Körperschaftssatzungen, ZHR 156 (1992), S. 459 Berenz, Claus: Contractual Trust Arrangements (CTA) und die gesetzliche …” „… , Andreas: Finanzierung von Contractual Trust Arrangements (CTA), BetrAV 2006, S. 434 261 Förl, Thomas …” „… : Contractual Trust Arrangements: Neue bilanzielle und lohnsteuerrechtliche Entwicklungen, DStR 2005, S. 1291 …”

Grundsätzliche Bankerlaubnispflicht S. 141-144

„… Contractual Trust Arrangements vom November 2005, BetrAV 2005, S. 757. Ebenso bereits Sprick/Sartoris in …” „… Merkblatt der BaFin zu Contractual Trust Arrangements vom November 2005, BetrAV 2005, S. 757 (758, unter 1 …”

Titelei/Inhaltsverzeichnis S. 2-4

„… doppelseitige TreuhandkonstruktionenRechtsprobleme sogenannter Contractual Trust ArrangementsNomosD211 …”

Hintergrund S. 25-26

„… , als Treuhandkonstruktion oder als Contractual Trust Arrangement („vertragliche Treuhandkonstruktion …”

Befreiungsmöglichkeit für konzernübergreifende Konstruktionen S. 147-148

„… Auslandinvestment-Gesetz vertrieben werden dürfen. 512 Merkblatt der BaFin zu Contractual Trust Arrangements vom November …”

Sachwortverzeichnis S. 251-256

„… ...................................41 252 C Contractual Trust Arrangement .....25 CTA …”

Abkürzungsverzeichnis S. 19-24

„… Bundestages BVerfG Bundesverfassungsgericht CTA Contractual Trust Arrangement d.Verf. der Verfasser DB Der …”

GmbH als Treuhänder S. 139-141

„… Pensionsverpflichtungen, S. 209. 490 Merkblatt der BaFin zu Contractual Trust Arrangements vom November 2005, BetrAV …”

Privilegierung für konzerninterne Treuhandkonstruktionen S. 144-147

„… der BaFin zu Contractual Trust Arrangements vom November 2005, BetrAV 2005, S. 757 (758 f., unter 3.). …”

doi.org/10.5771/9783845222165

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 51 Interoperability arrangements S. 1653

„… ARRANGEMENTS Article 51 Interoperability arrangements 1. A CCP may enter into an interoperability arrangement …” „… establishing an interoperability arrangement with another CCP for the purpose of providing services to a …” „… relevant settlement system. 3. Entering into an interoperability arrangement or accessing a data feed or a …”

Article 76 Cooperation arrangements S. 1673

„… data to a third country. Article 76 Cooperation arrangements Relevant authorities of third countries …” „… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …” „… repositories. ESMA may establish cooperation arrangements with those relevant authorities regarding access to …”

Article 30 Indirect clearing arrangements S. 513-517

„… clearing arrangements (1) Indirect clearing arrangements with regard to exchange-traded derivatives are …” „… permissible provided that those arrangements do not increase counterparty risk and ensure that the assets and …” „… to specify the types of indirect clearing service arrangements, where established, that meet the …”

Article 54 Approval of interoperability arrangements S. 1655-1658

„… Article 54 Approval of interoperability arrangements 1. An interoperability arrangement shall be …” „… arrangement only where the CCPs involved have been authorised to clear under Article 17 or recognised under …” „… transactions under the terms of the arrangement allow for a smooth and orderly functioning of financial markets …”

Article 4 Enforcement of financial collateral arrangements S. 1724-1728

„… ation, validity, etc., of the collateral arrangement between the parties of the arrangement, Member …” „… States may still require certain formal acts to make the collateral arrangement valid and enforceable …” „… proving the conclusion of the collateral arrangement, while Art 3(1) does away with any formal acts …”

Article 6 Recognition of title transfer financial collateral arrangements S. 1731-1732

„… → Art 4 mn 11). Article 6 Recognition of title transfer financial collateral arrangements 1. Member …” „… States shall ensure that a title transfer financial collateral arrangement can take effect in accordance …” „… transfer equivalent collateral under a title transfer financial collateral arrangement remains outstanding …”

Article 55 Provisions regarding CCP and clearing and settlement arrangements S. 315-316

„… market.19 Article 55 Provisions regarding CCP and clearing and settlement arrangements 1. Without …” „… markets from entering into appropriate arrangements with a CCP or clearing house and a settlement system …”

Article 5 Right of use of financial collateral under security financial collateral arrangements S. 1728-1731

„… financial collateral under security financial collateral arrangements 1. If and to the extent that the terms …” „… of a security financial collateral arrangement so provide, Member States shall ensure that the …” „… the security financial collateral arrangement. 2. Where a collateral taker exercises a right of use …”

Article 38 Provisions regarding CCPs, clearing and settlement arrangements in respect of MTFs S. 235-236

„… links and arrangements between the designated settlement system and any other system or facility so that …” „… regarding CCPs, clearing and settlement arrangements in respect of MTFs 1. Member States shall not prevent …” „… investment firms and market operators operating an MTF from entering into appropriate arrangements with a CCP …”

Article 53 Provision of margins among CCPs S. 1654-1655

„… potential interdependences and correlations that arise from an interoperability arrangement that may affect …” „… , the terms of the arrangement shall outline the process for managing the consequences of the default …” „… where one of the CCPs with which an interoperability arrangement has been concluded is in default. For …”

Article 52 Risk management S. 1653-1654

„… ARRANGEMENTS Article 51 Interoperability arrangements 1. A CCP may enter into an interoperability arrangement …” „… establishing an interoperability arrangement with another CCP for the purpose of providing services to a …” „… relevant settlement system. 3. Entering into an interoperability arrangement or accessing a data feed or a …”

Article 2 Definitions S. 1720-1722

„… Article 2 Definitions 1. For the purpose of this Directive: (a) ‘financial collateral arrangement …” „… ’ means a title transfer financial collateral arrangement or a security financial collateral arrangement …” „… transfer financial collateral arrangement’ means an arrangement, including repurchase agreements, under …”

Article 8 Certain insolvency provisions disapplied S. 1734-1739

„… arrangements. Article 7 provides some legal certainty, not only with respect to the validity and enforceability …” „… 4(4), when the prerequisites are not agreed to in the arrangement between the parties. This is …” „… collateral arrangement, as well as the provision of financial collateral under such arrangement, may not be …”

Article 1 Subject matter and scope S. 1711-1720

„… financial collateral arrangements falling within its scope.2 Article 1 Subject matter and scope 1. This …” „… Directive lays down a Community regime applicable to financial collateral arrangements which satisfy the …” „… from the scope of this Directive financial collateral arrangements where one of the parties is a person …”

Article 35 Non-discriminatory access to a CCP S. 526-529

„… days afterwards.4 The effect of the declaration of a third country arrangement being equivalent to that …” „… arrangement, in the case of derivatives that are not OTC derivatives pursuant to Article 2(7) of Regulation …” „… interoperability arrangement Title VI Non-discriminatory clearing access Art. 35 MiFIR Matthias Lehmann 527 have …”

Article 47 Organisational requirements S. 264-268

„… arrangements to identify clearly and manage the potential adverse consequences, for the operation of the …” „… manage the risks to which it is exposed, to implement appropriate arrangements and systems to identify …” „… ; (c) to have arrangements for the sound management of the technical operations of the system …”

Article 2 S. 1684-1691

„… financial system.9 Article 2 For the purpose of this Directive: (a) ‘system’ shall mean a formal arrangement …” „… , with common rules and standardised arrangements for the clearing, whether or not through a central …” „… and Finality to PvP, Netting and Collateral Arrangements’ (1996) 4 Journal of Financial Regulation and …”

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

„… regulated market to establish and maintain effective arrangements to verify that issuers of transferable …” „… market establishes arrangements which facilitate its members or participants in obtaining access to …” „… have established the necessary arrangements to review regularly the compliance with the admission …”

Article 8 Interchange fees for direct debit transactions S. 1768-1770

„… applied provided that the following conditions are complied with: (a) the arrangement aims at efficiently …” „… cost-efficient comparable PSP that is a representative party to the arrangement in terms of volume of …” „… their respective PSUs; (e) there is no practical and economically viable alternative to the arrangement …”

Chapter 4 Calculations and reporting for the purposes of Regulation (EU) No 575/2013 S. 1653

„… ARRANGEMENTS Article 51 Interoperability arrangements 1. A CCP may enter into an interoperability arrangement …” „… establishing an interoperability arrangement with another CCP for the purpose of providing services to a …” „… relevant settlement system. 3. Entering into an interoperability arrangement or accessing a data feed or a …”

Article 13 Restrictions on uncovered short sales in sovereign debt S. 914-918

„… Article 12(2) SSR authorises ESMA to draft ITS to determine the types of agreements, arrangements …” „… or legal person has an arrangement with a third party under which that third party has confirmed that …” „… arrangements that adequately ensure that the sovereign debt will be available for settlement. ESMA shall, in …”

Article 7 Recognition of close-out netting provisions S. 1732-1734

„… whole arrangement is to provide security for an underlying obligation. Therefore, a creditor who uses …” „… arrangement.2 Close-out netting raises concerns if one party to the contract is bankrupt. Since a secured …” „… creditor with an arrangement that includes close-out netting is reimbursed for, at least, significant parts …”

Article 3 Formal requirements S. 1722-1724

„… financial collateral arrangement or the provision of financial collateral under a financial collateral …” „… arrangement be dependent on the performance of any formal act. Without prejudice to Article 1(5), when credit …” „… arrangement can be evidenced in writing or in a legally equivalent manner. 3. Without prejudice to Council …”

Article 16 Organisational requirements S. 65-120

„… operate effective organisational and administrative arrangements with a view to taking all reasonable …” „… financial instruments which it does not manufacture, it shall have in place adequate arrangements to obtain …” „… identified target market of each financial instrument. The policies, processes and arrangements referred to …”

Chapter 3 Prudential requirements S. 1643-1653

„… an interoperability arrangement, on a near to real-time basis. A CCP shall have access in a timely …” „… relevant, from CCPs with which it has interoperability arrangements. Such margins shall be sufficient to …” „… arrangements, at least on a daily basis. A CCP shall regularly monitor and, if necessary, revise the level of …”

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

„… and establish objective criteria for the efficient execution of orders. They shall have arrangements …” „… effective contingency arrangements to cope with risks of systems disruption. 7. Art. 18 MiFID II 1 …” „… operators operating an MTF or an OTF have arrangements to identify clearly and manage the potential adverse …”

Article 23 Disclosure to investors S. 1514-1517

„… asset reuse arrangements, and the maximum level of leverage which the AIFM are entitled to employ on …” „… exceptional circumstances, and the existing redemption arrangements with investors; (i) a description of all …” „… a description of any material arrangements of the AIF with its prime brokers and the way the …”

Article 48 Systems resilience, circuit breakers and electronic trading S. 268-292

„… in place effective systems, procedures and arrangements to ensure its trading systems are resilient …” „… are subject to effective business continuity arrangements to ensure continuity of its services if …” „… shall require a regulated market to have in place effective systems, procedures and arrangements to …”

Article 12 Restrictions on uncovered short sales in shares S. 910-914

„… effected when it is due; (c) the natural or legal person has an arrangement with a third party under which …” „… develop draft implementing technical standards to determine the types of agreements, arrangements and …” „… technical standards (ITS) to determine the types of agreements, arrangements and measures that adequately …”

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

„… country; (c) cooperation arrangements have been established pursuant to paragraph 7; (d) the CCP is …” „… which interoperability arrangements have been established; (e) the relevant members of the ESCB of the …” „… of the ESCB responsible for the oversight of the CCPs with which interoperability arrangements have …”

Article 27 Obligation to execute orders on terms most favourable to the client S. 195-202

„… and implement effective arrangements for complying with paragraph 1. In particular, Member States …” „… effectiveness of their order execution arrangements and execution policy in order to identify and, where …” „… or whether they need to make changes to their execution arrangements, taking account of, inter alia …”

Chapter 1 Organisational requirements S. 1628-1637

„… governance arrangements, which include a clear organisational structure with well-defined, transparent and …” „… and confidentiality of the information maintained. 7. A CCP shall make its governance arrangements …” „… 1628 Paola Lucantoni 1 2 specifying the minimum content of the rules and governance arrangements …”

Article 20 Investment recommendations and statistics S. 824-833

„… develop draft regulatory technical standards to determine the technical arrangements for the categories of …” „… . The technical arrangements laid down in the regulatory technical standards referred to in paragraph 3 …” „… those technical arrangements. Member State shall notify the text of that equivalent appropriate …”

Chapter 2 Conduct of business rules S. 1637-1643

„… . Clearing members shall, upon request, inform the CCP about the criteria and arrangements they adopt to …” „… collateral arrangement, within the meaning of Article 2(1)(c) of Directive 2002/47/EC of the European …” „… Parliament and of the Council of 6 June 2002 on financial collateral arrangements (provided that the use of …”

Article 9 S. 1702-1706

„… intermediaries and find the geographical location of the title that is the subject of the collateral arrangement …” „… Gruyter 2006), 88 et seq.; Rusen, ‘Financial Collateral Arrangements’ (2007) 2 Journal of International …” „… Financial Collateral Arrangements Directive. Both overlap insofar as the collateral typically posted in …”

Article 53 Access to a regulated market S. 308-312

„… applicable, adequate organisational arrangements; (d) have sufficient resources for the role they are to …” „… perform, taking into account the different financial arrangements that the regulated market may have …” „… regulated markets from other Member States to provide appropriate arrangements on their territory so as to …”

Introduction S. 1710-1711

„… Council of 6 June 2002 on financial collateral arrangements (OJ L 168, 27.6.2002, p. 43-50) Biblography …” „… Arrangements’ (2006) 21 Journal of International Banking Law and Regulation 203 (cited as “Löber and Klima …” „… Implementation of Directive 2002/47/EC on Financial Collateral Arrangements: An Overview’ (2005) 16 European …”

Article 9 Conflict of laws S. 1739-1743

„… perfecting a financial collateral arrangement relating to book entry securities collateral and the provision …” „… of book entry securities collateral under such an arrangement, and more generally the completion of …” „… the steps necessary to render such an arrangement and provision effective against third parties; (c …”

Article 65 Organisational requirements S. 349-351

„… shall require a CTP to have adequate policies and arrangements in place to collect the information made …” „… and arrangements in place to collect the information made public in accordance with Articles 10 and 21 …” „… maintain effective administrative arrangements designed to prevent conflicts of interest. In particular, a …”

Article 75 Equivalence and international agreements S. 1672-1673

„… adopt an implementing act determining that the legal and supervisory arrangements of a third country …” „… , and in accordance with them, ESMA shall establish cooperation arrangements with the competent …” „… authorities of the relevant third countries. Those arrangements shall specify at least: 3. Art. 75 EMIR 5 …”

Article 28 Client order handling rules S. 202-205

„… investment firms to monitor the effectiveness of their order execution arrangements and execution policies in …” „… client relationship of any material changes to its order execution arrangements or execution policy …” „… execution policy and order execution arrangements must occur. Investment firms are required to review their …”

Article 9 Management body S. 43-50

„… implementation of the governance arrangements that ensure effective and prudent management of the investment firm …” „… to the requirements established in Article 88(1) of Directive 2013/36/EU, those arrangements shall …” „… , knowledge and expertise required by personnel, the resources, the procedures and the arrangements for the …”

Article 4 Clearing obligation S. 1584-1588

„… clearing member, a client, or shall establish indirect clearing arrangements with a clearing member …” „… , provided that those arrangements do not increase counterparty risk and ensure that the assets and positions …” „… contractual arrangements that meet the conditions referred to in the second subparagraph of paragraph 3. Title …”

Article 19 Specific requirements for MTFs S. 142-145

„… registered as an SME growth market, it has to identify which functionalities or arrangements are applicable …” „… operators operating an MTF to have arrangements: (a) to be adequately equipped to manage the risks to which …” „… it is exposed, to implement appropriate arrangements and systems to identify all significant 42 Art 4 …”

Article 77 Recognition of trade repositories S. 1673-1675

„… data to a third country. Article 76 Cooperation arrangements Relevant authorities of third countries …” „… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …” „… repositories. ESMA may establish cooperation arrangements with those relevant authorities regarding access to …”

Article 35 Conditions for the marketing in the Union with a passport of a non-EU AIF managed by an EU AIFM S. 1536-1539

„… arrangements on the exchange of information are in place between the competent authorities in the home Member …” „… ) appropriate cooperation arrangements must be in place between the competent authorities of the home Member …” „… AIF in the host Member States of the AIFM. 8. Arrangements referred to in point (h) of Annex IV shall …”

Article 7 Authorisation of deferred publication S. 425-428

„… covered by Art 20 MiFIR access to the arrangements used to publish information pursuant to Art 6(1) MiFIR …” „… arrangements available for those asset classes for which they provide services, but not beyond.15 Article 7 …” „… arrangements for deferred trade-publication, and shall clearly disclose those arrangements to market …”

Article 14 S. 1709-1710

„… European Parliament and of the Council of 6 June 2002 on financial collateral arrangements (OJ L 168 …” „… Financial Collateral Arrangements’ (2006) 21 Journal of International Banking Law and Regulation 203 (cited …” „… Arrangements: An Overview’ (2005) 16 European Business Law Review 1153 (cited as “Marino”); Millet L, ‘The …”

Article 7 Validity of mandates and right to a refund S. 1766-1768

„… R-transactions a MIF may be applied provided that the following conditions are complied with: (a) the arrangement …” „… R-transaction by the most cost-efficient comparable PSP that is a representative party to the arrangement in …” „… viable alternative to the arrangement which would lead to an equally or more efficient handling of …”

Article 6 Post-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 423-425

„… reasonable commercial terms and on a non-discriminatory basis, to the arrangements they employ for making …” „… firms have to give investment firms that are covered by Art 20 MiFIR access to the arrangements used to …” „… trading venue because trading venues have to make their arrangements available for those asset classes for …”

Article 36 Non-discriminatory access to a trading venue S. 529-531

„… availing of the transitional arrangements under Article 35(5). (2) A request to access a trading venue by a …” „… trading venue only where such access: (a) would not require an interoperability arrangement, in the case …” „… venue and all CCPs party to the proposed interoperability arrangement have consented to the arrangement …”

Article 34 Conditions for EU AIFMs which manage non-EU AIFs which are not marketed in Member States S. 1535-1536

„… ) appropriate cooperation arrangements are in place between the competent authorities of the home Member State …” „… conditions of Articles 57 and 58, measures regarding the cooperation arrangements referred to in paragraph 1 …” „… arrangements with third countries. 3. In order to ensure uniform application of this Article, ESMA shall …”

Article 26 Cooperation with third countries S. 846-849

„… arrangements with third-country regulatory authorities responsible for the related spot markets in accordance …” „… Member States shall, where necessary, conclude cooperation arrangements with supervisory authorities of …” „… arrangements shall ensure at least an efficient exchange of information that allows the competent authorities …”

Article 16 Prevention and detection of market abuse S. 772-778

„… effective arrangements, systems and procedures aimed at pre- 2. 7→ Art 12 mn 6. 8 Market Abuse Regulation …” „… and maintain effective arrangements, systems and procedures to detect and report suspicious orders and …” „… , ESMA shall develop draft regulatory technical standards to determine: (a) appropriate arrangements …”

Article 64 Organisational requirements S. 347-349

„… arrangements in place to make public the information required under Articles 20 and 21 of Regulation (EU) No …” „… shall require the APA to operate and maintain effective administrative arrangements designed to prevent …” „… maintain appropriate arrangements to separate different business functions. (4) The home Member State shall …”

Article 29 Clearing obligation for derivatives traded on regulated markets and timing of acceptance for clearing S. 511-513

„… 648/2012 shall have in place effective systems, procedures and arrangements in relation to cleared …” „… and arrangements, including the acceptance timeframes, under this Article taking into account the need …” „… clerical reasons can be resubmitted within one hour.11 Article 30 Indirect clearing arrangements (1 …”

Article 34 Freedom to provide investment services and activities S. 222-227

„… MTFs and OTFs from other Member States to provide appropriate arrangements on their territory so as to …” „… provide such arrangements. The competent authority of the home Member State shall communicate, within one …” „… intends to provide such arrangements. The competent authority of the home Member State of the MTF shall …”

Article 55 Registration of a trade repository S. 1658-1659

„… ESMA Guidelines 3(a)(i)12 states that an interoperability arrangement should not ‘impact on the …” „… should be avoided in order to reduce the costs of clearing.14 Approval of interoperability arrangements …” „… college of supervisors, approves the interoperability arrangement through the procedure laid out in …”

Article 9 Payment accessibility S. 1770-1771

„… arrangements for interchange fees in which only payment service providers are involved. Art 8(3), like Art 8(1 …” „… ), applies broadly to any fee arrangement with the object or effect equivalent to multilateral arrangements …” „… . Art 8(3) broadly prohibits fee arrangements that serve a particular function, without attention to the …”

Article 42 Conditions for the marketing in Member States without a passport of AIFs managed by a non-EU AIFM S. 1560-1561

„… of the Member States where the AIFs are marketed; (b) appropriate cooperation arrangements for the …” „… not enter into the required cooperation arrangements as set out in point (b) of the first subparagraph …” „… cooperation arrangements referred to in paragraph 1 in order to design a common framework to facilitate the …”

Article 54 Monitoring of compliance with the rules of the regulated market and with other legal obligations S. 312-315

„… Member State of the location (which Member State) it intends to provide such arrangements.16 The home …” „… maintain effective arrangements and procedures including the necessary resource for the regular monitoring …” „… by requiring the establishment and maintenance of effective arrangements and procedures. Legislative …”

Index S. 1785-1803

„… TD 28b 1 et seq. – sanctions TD 4 21 Approved Publication Arrangement MiFID II 63 14; MiFIR 20 3, 21 …” „… participants SFD 2 9 – effects SFD 1 3 – formal arrangement SFD 2 3 – functioning SFD 1 2 – governing law …” „… SFD 2 7 – indirect participants SFD 2 11 – notification SFD 2 8, 10a 3 – two-party arrangements SFD …”

Article 20 Home member state supervision S. 1348-1350

„… information and periodic reports; (i) the arrangements made for marketing; (j) the relationship with …” „… arrangements and organisational decisions which are necessary to ensure compliance with the rules which relate …” „… adequacy of the arrangements and organisation of the management company so that the management company is …”

Article 36 Conditions for the marketing in Member States without a passport of non-EU AIFs managed by an EU AIFM S. 1539-1541

„… arrangements for the purpose of systemic risk oversight and in line with international standards are in place …” „… and subject to the conditions of Articles 57 and 58, measures regarding the cooperation arrangements …” „… cooperation arrangements with third countries. 4. In order to ensure uniform application of this Article, ESMA …”

Article 46 Requirements relating to persons exercising significant influence over the management of the regulated market S. 262-264

„… requirements 1. Member States shall require the regulated market: (a) to have arrangements to identify clearly …” „… which it is exposed, to implement appropriate arrangements and systems to identify all significant risks …” „… arrangements for the sound management of the technical operations of the system, including the establishment of …”

Article 40 Conditions for the marketing in the Union with a passport of non-EU AIFs managed by a non-EU AIFM S. 1554-1558

„… cooperation arrangements are in place between the competent authorities of the Member State of reference and …” „… States of the AIFM. 8. Arrangements referred to in point (h) of Annex IV shall be subject to the laws and …” „… subject to the conditions of Articles 57 and 58, measures regarding the cooperation arrangements referred …”

Article 1 S. 1680-1684

„… PvP, Netting and Collateral Arrangements’ (1996) 4 Journal of Financial Regulation and Compliance 170 …” „… Arrangements’ (2007) 2 Journal of International Commercial Law and Technology 250; Ruzik A …” „… arrangements in the Community, which reinforces the freedom of movement of capital in the internal market …”

Article 18 College S. 1615-1616

„… interoperability arrangements have been established; (f) the competent authorities supervising central securities …” „… interoperability arrangements have been established; (h) the central banks of issue of the most relevant Union …” „… practical arrangements for the functioning of the college, including detailed rules on voting procedures as …”

Article 19 Notification for cross-border services by virtue of a branch S. 1347-1348

„… the management company, including delegation arrangements, risk-management procedures, prudential …” „… investor information and periodic reports; (i) the arrangements made for marketing; (j) the relationship …” „… and implementing all the arrangements and organisational decisions which are necessary to ensure …”

Article 37 Access to CCP, clearing and settlement facilities and right to designate settlement system S. 234-235

„… regulated market, subject to the following conditions: (a) such links and arrangements between the …” „… . According to (a), there must be links and arrangements between the designated settlement system and any …” „… financial markets. Article 38 Provisions regarding CCPs, clearing and settlement arrangements in respect of …”

Titelei/Inhaltsverzeichnis

„… Council of 6 June 2002 on financial collateral arrangements (OJ L 168, 27.6.2002, p. 43-50 …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Article 37 234 Provisions regarding CCPs, clearing and settlement arrangements in respect of MTFs …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Article 54 312 Provisions regarding CCP and clearing and settlement arrangements …”

Article 14 b Details and proportionality of remuneration policy S. 1339-1343

„… arrangements vests no faster than on a pro-rata basis; in the case of a variable remuneration component of a …” „… amounts previously earned, including through malus or clawback arrangements; (p) the pension policy is in …” „… remuneration arrangements; (r) variable remuneration is not paid through vehicles or methods that facilitate …”

Article 3 Pre-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 403-408

„… commercial terms and on a non-discriminatory basis, to the arrangements they employ for making public the …” „… ) . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4. Access to data publication arrangements (Art 3(3) MiFIR) . . . . . . . . . . . . . . . 15 I …” „… adequate information regard- 3. tion to arrangements to be made by the European Securities and Markets …”

Article 24 Reporting obligations to competent authorities S. 1517-1519

„… special arrangements arising from their illiquid nature; (b) any new arrangements for managing the …” „… reused under leveraging arrangements to the competent authorities of its home Member State. That …” „… arrangements, current risk profiles, risk management systems, and stress test results. In addition to the …”

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

„… the arrangements for the publication of a firm quote as referred to in paragraph 1, the determination …” „… 51 MiFIR. Level 2: Commission Delegated Regulation (EU) 2017/587 (RTS 1):3 Article 9 (Arrangements …” „… governing the arrangements a systematic internaliser must adopt in order to comply with the obligation to …”

Article 17 Procedure for granting and refusing authorisation S. 1613-1615

„… authorisation, all the necessary arrangements to meet the requirements laid down in this Regulation. The …” „… authorities supervising CCPs with which interoperability arrangements have been established; (f) the competent …” „… for the oversight of the CCPs with which interoperability arrangements have been established; (h) the …”

Article 41 Conditions for managing AIFs established in Member States other than the Member State of reference by non-EU AIFMs S. 1558-1560

„… are marketed; (b) appropriate cooperation arrangements for the purpose of systemic risk oversight and …” „… arrangements as set out in point (b) of the first subparagraph within a reasonable period of time, the …” „… conditions of Articles 57 and 58, measures regarding the cooperation arrangements referred to in paragraph 1 …”

Article 33 Conditions for managing EU AIFs established in other Member States and for providing services in other Member States S. 1533-1535

„… ) appropriate cooperation arrangements are in place between the competent authorities of the home Member State …” „… conditions of Articles 57 and 58, measures regarding the cooperation arrangements referred to in paragraph 1 …” „… arrangements with third countries. 3. In order to ensure uniform application of this Article, ESMA shall …”

Article 22 a Delegation by depositary S. 1357-1359

„… and liquid collateral received by the UCITS under a title transfer arrangement. The market value of …” „… of its tasks and of the arrangements of the third party in respect of the matters delegated to it. 6 …” „… for risk assessment and effective control and safeguard arrangements for information processing …”

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

„… legal, supervisory and enforcement arrangements of the relevant third country: (a) are equivalent to the …” „… enforcement arrangements of the relevant third country. (4) The Commission shall, in cooperation with ESMA …” „… , the third country must apply the legal, supervisory and enforcement arrangements “in an equitable and …”

Article 8 Withdrawal of authorisations S. 41-43

„… investment firm defines, oversees and is accountable for the implementation of the governance arrangements …” „… Article 88(1) of Directive 2013/36/EU, those arrangements shall also ensure that the management body …” „… personnel, the resources, the procedures and the arrangements for the provision of services and activities …”

Article 45 Requirements for the management body of a market operator S. 252-262

„… management body of a market operator defines and oversees the implementation of the governance arrangements …” „… assesses the effectiveness of the market operator’s governance arrangements and takes appropriate steps to …” „… . Implementation, monitoring and assessment of governance arrangements (Art 45(6) MiFID II …”

Article 11 Authorisation of deferred publication S. 442-450

„… ended.9 Pursuant to Art 10(2) MiFIR, access to the arrangements employed by market operators and …” „… non-equity(-like) instruments pursuant to Art 21 MiFIR. Trading venues must make available their arrangements for …” „… the competent authority’s prior approval of proposed arrangements for deferred trade-publication, and …”

Article 2 Definitions S. 1576-1578

„… ) and (8); (10) ‘pension scheme arrangement’ means: (a) institutions for occupational retirement …” „… arrangements, operating on a national basis, provided that: (i) they are recognised under national law; and (ii …” „… flows; (12) ‘interoperability arrangement’ means an arrangement between two or more CCPs that involves a …”

Article 15 Advertisements S. 1007-1009

„… . Chapter III Arrangements for approval and publication Art. 15 PD Paola Lucantoni 1007 8 9 6. The …” „… provisions relating to undertakings for collective investment in transferable securities arrangements [2009 …” „… working days and published in accordance with at least the same arrangements as were applied when the …”

Article 2 Definitions S. 396-403

„… ) ‘approved publication arrangement’ or ‘APA’ means an approved publication arrangement as defined in Article …” „… instrument or the value of a financial instrument is determined. (40) ‘interoperability arrangement’ means an …” „… interoperability arrangement as defined in Article 2(12) of Regulation (EU) No 648/2012; Art. 2 MiFIR 1 …”

Introduction S. 1563-1574

„… technical standards on indirect clearing arrangements, the clearing obligation, the public register, access …” „… of the transitional periods related to pension scheme arrangements [2015] OJ 239/63. Commission …” „… transitional periods related to pension scheme arrangements [2017] OJ L86/3. Commission Delegated Regulation …”

Article 17 Algorithmic trading S. 120-134

„… firms should not be able to effect arrangements prohibited under Article 16(10) of Directive 2014/65/EU …” „… investment firm shall have in place effective business continuity arrangements to deal with any failure of …” „… have in place effective business continuity arrangements to deal with any failure of its trading …”

Article 16 Freedom to provide services on a cross-border basis S. 1343-1344

„… measures in accordance with Article 92 and establish appropriate procedures and arrangements to ensure that …” „… appropriate procedures and arrangements to make information available at the request of the public or the …” „… include a description of the procedures and arrangements taken in accordance with Article 15; (c) the …”

Introduction to Chapter IV S. 236-237

„… Article 38 MiFID II stipulates the right of MTFs to enter into arrangements with CCPs and clearing and …” „… firms and market operators operating an MTF may enter into arrangements for clearing and/or settlement …” „… laundering and countering the financing of terrorism; (b) cooperation arrangements, that include provisions …”

Article 20 S. 1089-1090

„… selling, the PRIIP shall establish appropriate procedures and arrangements which ensure that: (a) retail …” „… establish appropriate procedures and arrangements to ensure that retail investors have an effective way of …” „… manufacturer by providing its address. The procedures and arrangements have to ensure that retail investors who …”

Article 27 Obligation to supply financial instrument reference data S. 498-499

„… necessary arrangements in order to ensure that: (a) ESMA and the competent authorities effectively receive …” „… instrument reference data in accordance with paragraph 1, including the methods and arrangements for …” „… in relation to the arrangements to be made by ESMA and the competent authorities pursuant to …”

Article 54 S. 605-606

„… securities which are not fully paid up as freely negotiable if arrangements have been made to ensure that the …” „… 54(1) (see above → mn 2). But Art 54(2) permits NCAs to treat them as freely negotiable if arrangements …” „… arrangement may also, for example, be an undertaking of a third party to guarantee the outstanding payments.3 …”

Article 10 Post-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives S. 441-442

„… basis, to the arrangements they employ for making public the information under paragraph 1 to investment …” „… ended.9 Pursuant to Art 10(2) MiFIR, access to the arrangements employed by market operators and …” „… non-equity(-like) instruments pursuant to Art 21 MiFIR. Trading venues must make available their arrangements for …”

Article 46 General provisions S. 560-566

„… applicable in that third country; (c) cooperation arrangements have been established pursuant to Article 47(2 …” „… remit.4 Fourth, it is necessary that ESMA has entered into cooperation arrangements with the relevant …” „… legal and supervisory arrangements of that third country ensure that firms authorised in that third …”

Article 46 S. 598-599

„… , if arrangements have been made to ensure that the negotiability of such shares is not restricted and …” „… negotiable if arrangements have been made to ensure that the negotiability of such shares is not restricted …” „… an arrangement could also be, for example, an undertaking of a third party to guarantee the …”

Article 4 Use of credit ratings S. 1242-1246

„… of credit ratings and methodologies; and (h) there is an appropriate cooperation arrangement between …” „… . ESMA shall ensure that such a cooperation arrangement shall specify at least: (i) the mechanism for the …” „… Regulation and the cooperation arrangements referred to in Article 5(7) are operational, the credit rating …”

Article 16 Supplements to the prospectus S. 1009-1013

„… working days and published in accordance with at least the same arrangements as were applied when the …” „… Competition in Securities Markets (Cambridge University Press 2011), 134-137. Chapter III Arrangements for …” „… , latest version adopted, 20 October 2017, ESMA-31-62-780. Chapter III Arrangements for approval and …”

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

„… access, on reasonable commercial terms and on a non-discriminatory basis, to the arrangements they employ …” „… . Those arrangements shall ensure that information is provided on reasonable commercial terms and on a …” „… Pursuant to Art 8(3) MiFIR, access must be given to the arrangements used for publication required by Art …”

Article 37 Authorisation of non-EU AIFMs intending to manage EU AIFs and/or market AIFs managed by them in the Union in accordance with Article 39 or 40 S. 1541-1550

„… to this Directive; (d) appropriate cooperation arrangements are in place between the competent …” „… not enter into the required cooperation arrangements as set out in point (d) of the first subparagraph …” „… cooperation arrangements referred to in point (d) of paragraph 7 in order to design a common framework to …”

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

„… Commission may adopt an implementing act determining that the legal and supervisory arrangements of a third …” „… , and in accordance with them, ESMA shall establish cooperation arrangements with the competent …” „… authorities of the relevant third countries. Those arrangements shall specify at least: 3. Art. 75 EMIR 5 …”

Article 12 Prudential regulation S. 1334-1336

„… safeguard arrangements for electronic data processing and adequate internal control mechanisms including, in …” „… with Article 112 a, measures specifying the procedures and arrangements as referred to under point (a …” „… the Commission regarding the procedures, arrangements, structures and organisational requirements …”

Article 1 Subject matter and scope S. 1574-1576

„… trading venues where so provided. scheme arrangements would still be subject to bilateral margin …” „… 2006/48/EC where they are owned by central governments and have explicit guarantee arrangements provided …” „… arrangement’ means: (a) institutions for occupational retirement provision within the meaning of Article 6(a …”

Article 10 a S. 1706-1708

„… securities settlement systems and Directive 2002/47/EC on financial collateral arrangements as regards linked …” „… the goal of providing legal certainty as to which arrangements fall under the scope of the directive …” „… system operators about eligible arrangements and their direct and possible indirect participants. To …”

Article 25 Obligation to cooperate S. 844-846

„… arrangements with third-country regulatory authorities responsible for the related spot markets in accordance …” „… Member States shall, where necessary, conclude cooperation arrangements with supervisory authorities of …” „… arrangements shall ensure at least an efficient exchange of information that allows the competent authorities …”

Article 21 Disclosure or dissemination of information in the media S. 833-835

„… where it can be accessed free of charge.56 Additional arrangements for substantial alterations Where a …” „… the position of journalists.60 The technical arrangements set out in the regulatory technical …” „… regulation achieves similar effects to the technical arrangements. Member States are obliged to notify the …”

Article 79 Obligation to cooperate S. 379-381

„… operations of a trading venue that has established arrangements in a host Member State have become of …” „… proportionate cooperation arrangements. 3. Member States shall take the necessary administrative and …” „… , templates and procedures for the cooperation arrangements referred to in paragraph 2. ESMA shall submit …”

Article 15 Execution of client orders S. 458-463

„… public on their websites the specific publication arrangements (see Art 17(3)(a) MiFIR) used to report …” „… .15 When more than one arrangement to publish is employed, all arrangements must make public quotes …” „… arrangements results in the obligation to make public quotes in a human-readable format as well, which means …”

Article 13 Approval of the prospectus S. 999-1004

„… State. Chapter III Arrangements for approval and publication of the prospectus Article 13 Approval of …” „… that date. Article 28(4) of Chapter III Arrangements for approval and publication Art. 13 PD Paola …” „… by Article 2(1)(m)(ii). Chapter III Arrangements for approval and publication Art. 13 PD Paola …”

Article 35 Establishment of a branch S. 227-233

„… arrangements and to request such changes as are strictly needed to enable the competent authority to enforce …” „… review the notification and make arrangements for supervision of the branch in two months. The strict …” „… arrangements and to request such changes as are strictly needed to enforce the obligations for which the host …”

Article 47 Equivalence decision S. 566-571

„… supervisory arrangements of that third country ensure that firms authorised in that third country comply with …” „… arrangements with the relevant competent authorities of third countries whose legal and supervisory frameworks …” „… have been recognised as effectively equivalent in accordance with paragraph 1. Such arrangements shall …”

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

„… objectives listed in Article 57(1) of Directive 2014/65/EU and including in relation to delivery arrangements …” „… including in relation to delivery arrangements for physical commodities, or to the stability of the whole or …” „… Directive 2014/65/EU and including in relation to delivery arrangements for physical commodities, or to the …”

Article 13 Remuneration S. 1489-1492

„… remuneration requirements or (b) appropriate contractual arrangements are implemented to avoid a circumvention …” „… arrangements with a view to taking all reasonable steps designed to identify, prevent, manage and monitor …” „… conflicts of interest and disclose them to the investors of the AIFs. 2. Where organisational arrangements …”

Article 26 Obligation to report transactions S. 495-498

„… with Article 85 of Directive 2014/65/EU, establish the necessary arrangements in order to ensure that …” „… in accordance with paragraphs 1 and 3, including the methods and arrangements for reporting financial …” „… shall establish the necessary arrangements in order to ensure that: (a) ESMA and the competent …”

Article 66 Organisational requirements S. 351-357

„… shall require an ARM to have adequate policies and arrangements in place to report the information …” „… arrangements designed to prevent conflicts of interest with its clients. In particular, an ARM that is also a …” „… and shall operate and maintain appropriate arrangements to separate different business functions. (3 …”

Article 15 Cross-border set up, investor complaints mechanism S. 1343

„… measures in accordance with Article 92 and establish appropriate procedures and arrangements to ensure that …” „… appropriate procedures and arrangements to make information available at the request of the public or the …”

I. General features S. 1628

„… governance arrangements, which include a clear organisational structure with well-defined, transparent and …” „… and confidentiality of the information maintained. 7. A CCP shall make its governance arrangements …”

Article 78 General requirements S. 1675

„… shall have robust governance arrangements, which include a clear organisational structure with well …” „… administrative arrangements to identify and manage any potential conflicts of interest concerning its managers …”

Article 21 S. 1090

„… arrangements to ensure that retail investors have an effective way of submitting a complaint against a PRIIP …” „… . The procedures and arrangements have to ensure that retail investors who have submitted a complaint in …”

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

„… diligence, that appropriate procedures and arrangements are in place to measure, monitor and mitigate …” „… regulatory technical standards specifying: (a) the procedures and arrangements referred to in paragraph 1; (b …” „… arrangements, required for compliance with paragraph 3; (c) the procedures for the counterparties and the …”

Article 1 Purpose and scope S. 951-958

„… as bostadsobligationer (see → Art 1(2)(i)), which could also fall under the opt-in arrangements …” „… [see Art 1(2)(b)]. Such securities could fall under opt-in arrangements provided under Art 1(3). Other …” „… types of debt that are excepted and could also fall under the opt-in arrangements of Art 1(3) include …”

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

„… and payment of dividends and the issue of new shares, including information on any arrangements for …” „… arrangements shall be put in place so that the shareholders, or the natural persons or legal entities entitled …” „… of new shares’. This shall include information on any arrangements for allotment, subscription …”

Article 14 Publication of the prospectus S. 1004-1007

„… made available, free of charge, to the public, in accordance with the arrangements established in …” „… 2010 Prospectus Amending Directive. Chapter III Arrangements for approval and publication Art. 14 PD …” „… . Chapter III Arrangements for approval and publication Art. 15 PD Paola Lucantoni 1007 8 9 …”

Article 21 Review and evaluation S. 1617-1621

„… role of the college, the competent authorities referred to in Article 22 shall review the arrangements …” „… CCPs with which interoperability arrangements have been established; (vi) the competent authorities …” „… interoperability arrangements have been established; and (vii) the central banks of issue of the most relevant …”

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

„… and liquid collateral received by the UCITS under a title transfer arrangement. The market value of …” „… high-quality and liquid collateral received by the UCITS under a title transfer arrangement. The market value …” „… of its tasks and of the arrangements of the third party in respect of the matters delegated to it. 6 …”

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

„… in accordance with paragraph 1, including the methods and arrangements for supplying the data and any …” „… arrangements to be made by ESMA and the competent authorities pursuant to paragraph 2. ESMA shall submit those …” „… in relation to arrangements to be made by the European Securities and Markets Authority and competent …”

Article 31 Prudential and conduct of business rules, organisational requirements for internally managed investment companies S. 1370-1371

„… the company has sound administrative and accounting procedures, control and safeguard arrangements for …” „… safeguard arrangements for electronic data processing, and adequate internal control mechanisms including …”

Article 4 Definitions S. 22-34

„… electronic access’ means an arrangement where a member or participant or client of a trading venue permits a …” „… instrument directly to the trading venue and includes arrangements which involve the use by a person of the …” „… orders (direct market access) and arrangements where such an infrastructure is not used by a person …”

Article 30 Internally managed investment companies, restrictions on third-party portfolio management S. 1369-1370

„… has sound administrative and accounting procedures, control and safeguard arrangements for electronic …” „… arrangements for electronic data processing, and adequate internal control mechanisms including rules for …”

Article 79 Operational reliability S. 1675-1676

„… shall have robust governance arrangements, which include a clear organisational structure with well …” „… administrative arrangements to identify and manage any potential conflicts of interest concerning its managers …”

Article 36 Access to regulated markets Christoph Kumpan and Ronny Grütze S. 233-234

„… of the following arrangements: (a) directly, by setting up branches in the host Member States; (b) by …” „… ) such links and arrangements between the designated settlement system and any other system or facility …”

Article 20 Withdrawal of authorisation S. 1616-1617

„… the details of the practical arrangements referred to in paragraph 5. ESMA shall submit those draft …” „… 22 shall review the arrangements, strategies, processes and mechanisms implemented by CCPs to comply …”

Article 14 Authorisation of a CCP S. 1612-1613

„… empowers the Commission to declare a third country’s legal, supervisory and enforcement arrangements to be …” „… authorisation, all the necessary arrangements to meet the requirements laid down in this Regulation. The …”

Article 18 General principles S. 1498-1499

„… accounting procedures, control and safeguard arrangements for electronic data processing and adequate …” „… arrangements as referred to in paragraph 1. I. General features Art 18 consists of general principles …”

Article 18 Notification for cross-border services S. 1346-1347

„… shall also include a description of the procedures and arrangements taken in accordance with Article 15 …” „… arrangements, risk-management procedures, prudential rules and supervision, procedures referred to in Article …”

Article 22 S. 1090-1091

„… arrangements to ensure that retail investors have an effective way of submitting a complaint against a PRIIP …” „… . The procedures and arrangements have to ensure that retail investors who have submitted a complaint in …”

Article 23 Registered office, qualification and organisation of depositary S. 1359-1360

„… arrangements for information processing systems; (d) it shall maintain and operate effective organisational and …” „… administrative arrangements with a view to taking all reasonable steps designed to prevent conflicts of interest …”

Article 61 Procedures for granting and refusing requests for authorisation S. 340-341

„… services provider has established, at the time of initial authorisation, all the necessary arrangements to …” „… the governance arrangements that ensure effective and prudent management of an organisation including …”

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

„… Commission may adopt implementing acts declaring that the legal, supervisory and enforcement arrangements of …” „… legal, supervisory and enforcement arrangements to be equivalent to the EU provisions in Articles 4, 9 …”

Article 11 S. 584-585

„… Member State or one of its federal states. Less stringent arrangements for these bodies are justified by …” „… other and make such arrangements as may be necessary to expedite the 2. 2 Ibid. 3 See Directive 2014/65 …”

Article 5 Clearing obligation procedure S. 1588-1593

„… subject to the clearing obligation needs in order to put in place arrangements to clear its OTC derivative …” „… arrangements for clearing those derivative contracts due to complexities affecting both types of access to …” „… clearing arrangements, namely client clearing and indirect client clearing. The Commission has postponed …”

Article 14 Conflicts of interest S. 1492-1493

„… and administrative arrangements with a view to taking all reasonable steps designed to identify …” „… . Where organisational arrangements made by the AIFM to identify, prevent, manage and monitor conflicts of …”

Article 55 S. 606-607

„… negotiable if arrangements have been made to ensure that the negotiability of such debt securities is not …” „… . Such an arrangement may also, for example, be an undertaking of a third party to guarantee the …”

Article 13 S. 585-586

„… arrangements as may be necessary to expedite the 2. 2 Ibid. 3 See Directive 2014/65/EU of the European …” „… arrangements as may be necessary to expedite the procedure and simplify as far as possible the formalities and …”

Article 78 Data protection S. 378-379

„… established arrangements in a host Member State have become of substantial importance for the functioning of …” „… host competent authorities of the trading venue shall establish proportionate cooperation arrangements …”

Article 47 S. 599-600

„… → mn 2). But Art 46(2) permits NCAs to treat them as fully negotiable if arrangements have been made to …” „… providing the public with all appropriate information. Such an arrangement could also be, for example, an …”

Articles 83 to 91 S. 1679-1680

„… Arrangements’ (1996) 4 Journal of Financial Regulation and Compliance 170; Haentjens M and de Gioia-Carabellese …” „… Securities in the Conflict of Laws (Oxford 2003); Rusen G, ‘Financial Collateral Arrangements’ (2007) 2 …”

Article 4 Waivers for equity instruments S. 408-417

„… publication arrangements (Art 3(3) MiFIR) To encourage broad distribution of data, market operators and …” „… investment firms operating a trading venue have to make accessible the arrangements they employ for making …” „… . Operators of trading systems have to make available their arrangements only for those asset classes for …”

Article 81 Transparency and data availability S. 1676-1678

„… arrangement with ESMA, as referred to in Article 76; (l) the Agency for the Cooperation of Energy Regulators …” „… CCPs regarding corporate governance (para 1), the organisational and administrative arrangements (para …”

Article 17 Investment in securitisation positions S. 1496-1498

„… procedures, control and safeguard arrangements for electronic data processing and adequate internal control …” „… conditions of Articles 57 and 58, measures specifying the procedures and arrangements as referred to in …”

Article 16 Additional information S. 1177-1179

„… arrangements for allotment, subscription, cancellation or conversion. (3) For the purposes of conveying …” „… ) identification arrangements shall be put in place so that the shareholders, or the natural persons or legal …”

Article 23 Trading obligation for investment firms S. 487-492

„… . 38 Especially when it comes to the “arranger model”, matched principal trading, booking arrangements …” „… with Art 23 MiFIR. The “arranger model” refers to an arrangement where an investment firm in the EU …” „… , especially regarding booking arrangements and branches, see Ashurst, MiFID II/MiFIR: share trading obligation …”

Article 63 Requirements for the management body of a data reporting services provider S. 341-347

„… arrangements that ensure effective and prudent management of an organisation including the segregation of …” „… of trade reporting services.11 The first is the approved publication arrangement (APA). An APA …” „… shall require an APA to have adequate policies and arrangements in place to make public the information …”

Article 20 Delegation S. 1502-1504

„… of their home Member State before the delegation arrangements become effective. The following …” „… competent authorities of its home Member State before the sub-delegation arrangements become effective; (c …”

Article 7 Application for authorisation S. 1480-1482

„… ) information on the remuneration policies and practices pursuant to Article 13; (e) information on arrangements …” „… incorporation of each AIF the AIFM intends to manage; (d) information on the arrangements made for the …”

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

„… ) information on the remuneration policies and practices pursuant to Article 13; (e) information on arrangements …” „… incorporation of each AIF the AIFM intends to manage; (d) information on the arrangements made for the …”

Article 17 Cross-border services by virtue of a branch S. 1344-1346

„… place by the management company. It shall also include a description of the procedures and arrangements …” „… the procedures and arrangements taken in accordance with Article 15. 2. The competent authorities of …”

Article 86 Precautionary measures to be taken by host Member States S. 384-386

„… making their arrangements available to remote members or participants established in the host Member …” „… procedures for cooperation arrangements in respect of a trading venue whose operations are of substantial …”

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

„… markets to access and analyse data. MiFID II and MiFIR introduce Approved Publication Arrangements (APAs …” „… created institutions include Approved Publication Arrangements (APAs). APAs disclose trading data on …” „… information regarding their transactions through more than one APA by arrangements that enable consolidation …”

Article 39 Conditions for the marketing in the Union with a passport of EU AIFs managed by a non-EU AIFM S. 1552-1554

„… arrangements referred to in point (h) of Annex IV shall be subject to the laws and supervision of the host …” „… AIFMs the following conditions shall be met: (a) appropriate cooperation arrangements are in place …”

Article 99 a Minimum sanctioning S. 1442-1444

„… comply with procedures and arrangements imposed in accordance with the national provisions transposing …” „… investment company fails to comply with procedures and arrangements imposed in accordance with the national …”

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

„… cooperation arrangements referred to in paragraph 7 of this Article are operational; (d) the credit ratings …” „… accordance with paragraph 6. Such arrangements shall specify at least: (a) the mechanism for the exchange of …”

Article 20 Issuers incorporated in third countries S. 1018-1020

„… legislation can meet the requirements of the Prospectus Directive. This arrangement is not a comment on …” „… Commission, ESMA and the competent authorities of other Member States of any arrangements entered into with …”

Article 12 Prospectuses consisting of separate documents S. 997-999

„… of its home Member State. Chapter III Arrangements for approval and publication of the prospectus …” „… paragraph 2 shall apply from that date. Article 28(4) of Chapter III Arrangements for approval and …”

Article 31 Monitoring of compliance with the rules of the MTF or the OTF and with other legal obligations Christoph Kumpan and Ronny Grütze S. 210-212

„… firms and market operators operating an MTF or OTF establish and maintain effective arrangements and …” „… must include permanent and effective arrangements to ensure that the users, members and participants of …”

Article 9 Legitimate behaviour S. 705-711

„… effective internal arrangements and procedures that effectively ensure that neither the natural person who …” „… established, implemented and maintained adequate and effective internal arrangements and procedures’ ensuring …” „… an arrangement within the meaning of Art 9(3)(a) (the relevant provisions of the underwriting …”

Overview of Articles 12-15 S. 908-910

„… or legal person has an arrangement with a third party under which that third party has confirmed that …” „… technical standards to determine the types of agreements, arrangements and measures that adequately ensure …”

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

„… with Art 23 MiFIR. The “arranger model” refers to an arrangement where an investment firm in the EU …” „… , especially regarding booking arrangements and branches, see Ashurst, MiFID II/MiFIR: share trading obligation …”

Article 26 Provision of services through the medium of another investment firm S. 193-195

„… periodic review of the arrangements.43 That circumstance is likely to occur where advice is likely to be …” „… and implement effective arrangements for complying with paragraph 1. In particular, Member States …”

Article 15 Risk management S. 1493-1496

„… right to reuse collateral or guarantee that could be granted under the leveraging arrangement, taking …” „… grant guarantees under leveraging arrangements. 1 Commission Delegated Regulation (EU) No 231/2013 …”

Article 19 Valuation S. 1499-1502

„… of any contractual arrangements providing otherwise, the external valuer shall be liable to the AIFM …” „… authorities of their home Member State before the delegation arrangements become effective. The following …”

Article 93 Notification procedure S. 1433-1436

„… authorities of its home Member State. The notification letter shall include information on arrangements made …” „… be obtained electronically. 8. In the event of a change in the information regarding the arrangements …”

Article 13 Accepted market practices S. 756-767

„… relevant arrangements or contracts between persons who will perform the market practice and the …” „… increases, or secondary offerings.35 In order to avoid such interference, arrangements may have to be made …” „… ), Regulation (EU) 2016/908 sets out certain expectations related to internal arrangements of a person …”

Article 11 Market soundings S. 718-730

„… develop draft regulatory technical standards to determine appropriate arrangements, procedures and record …” „… technical standards and draft implementing technical standards setting out the arrangements, systems and …” „… adopted and included, for example, requirements regarding internal arrangements limiting the number of …”

Introduction S. 644-650

„… technical standards for the appropriate arrangements, systems and procedures as well as notification …” „… Regulation (EU) No 596/2014 with regard to regulatory technical standards for the technical arrangements for …” „… 596/2014 with regard to regulatory technical standards for the appropriate arrangements, systems and …”

Article 21 Powers S. 1020-1023

„… Member States of any arrangements entered into with regard to delegation of tasks, including the precise …” „… administrative arrangements for overseas European territories for whose external relations that Member State is …”

Article 32 Reporting of infringements S. 865-868

„… adopt implementing acts to specify the procedures referred to in paragraph 1, including the arrangements …” „… arrangements are in place to enable whistleblowers to alert competent authorities to possible infringements of …”

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

„… Regulation (EU) No 1095/2010, and competent authorities of other Member States of any arrangements entered …” „… administrative arrangements for overseas European territories for whose external relations that Member State is …”

Article 10 Jurisdiction Jörn Axel Kämmerer S. 640-644

„… technical standards for the appropriate arrangements, systems and procedures as well as notification …” „… Regulation (EU) No 596/2014 with regard to regulatory technical standards for the technical arrangements for …”

Article 21 Post-trade disclosure by investment firms, including systematic internalisers, in respect of bonds, structured finance products, emission allowances and derivatives S. 478-482

„… MiFID II and MiFIR introduce Approved Publication Arrangements (APAs), which are institutions …” „… transaction data has to be published by an Approved Publication Arrangement (APA),16 and every transaction has …”

Article 69 Supervisory powers S. 358-362

„… competent authorities of other Member States of any arrangements entered into with regard to delegation of …” „… under other trading arrangements; (o) request any person to take steps to reduce the size of the …”

Article 2 Definitions S. 1751-1755

„… and standardised arrangements and common rules for the processing, clearing or settlement of payment …” „… debit transactions; (13) ‘MIF’ means a multilateral interchange fee which is subject to an arrangement …”

Article 33 SME growth markets S. 217-221

„… needed; (6) the market operator must make arrangements so that the admission document referred to above …” „… access to regulated markets, CCPs, clearing and settlement facilities and arrangements in other Member …”

Article 32 Trading obligation procedure S. 519-524

„… acts declaring that the legal, supervisory and enforcement arrangements of the relevant third country …” „… , supervisory and enforcement arrangements of the relevant third country. (4) The Commission shall, in …”

Article 23 Conflicts of interest S. 151-155

„… arrangements made by the investment firm in accordance with Article 16(3) to prevent conflicts of interest from …” „… disclosure must clearly state that the organisational and administrative arrangements established by the …”

Article 20 Specific requirements for OTFs S. 145-149

„… and a market operator operating an OTF establishes arrangements preventing the execution of client …” „… shall establish arrangements ensuring compliance with the definition of matched principal trading in …”

Article 19 Managers’ transactions S. 808-824

„… is likely that carrying out a transaction as a scheme of arrangement would, however, not be …” „… regulatory technical standards to determine the technical arrangements for the categories of person referred …” „… technical arrangements laid down in the regulatory technical standards referred to in paragraph 3 shall not …”

Article 44 Authorisation and applicable law S. 247-252

„… , all the necessary arrangements to meet its obligations under this Title. 2. Member States shall …” „… the time of initial authorisation, all the necessary arrangements to meet its obligations under Title …”

Article 52 Suspension and removal of financial instruments from trading on a regulated market S. 303-308

„… ) Additionally, regulated markets have to establish and maintain effective arrangements to verify that issuers of …” „… markets must establish arrangements to facilitate members’ or participants’ access to information required …”

Article 22 Providing information for the purposes of transparency and other calculations S. 482-487

„… information obligations on trading venues, Approved Publication Arrangements (APAs) and Consolidated Tape …” „… trad- 1. 2. 5 APA (approved publication arrangement) means a person authorised under MiFID II to …”

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

„… cooperation arrangements including exchange of relevant data with each other in order to enable the monitoring …” „… exposure entered into, information about beneficial or underlying owners, any concert arrangements, and any …” „… one year or different arrangements regarding post trade risk management, such as clearing, can still …”

Article 2 Definitions S. 1317-1323

„… involved in the provision of services to the management company under a delegation arrangement to third …” „… adequacy and effectiveness of the risk management process and of the policies, arrangements and procedures …”

Article 1 Subject matter and scope S. 1745-1751

„… and standardised arrangements and common rules for the processing, clearing or settlement of payment …” „… debit transactions; (13) ‘MIF’ means a multilateral interchange fee which is subject to an arrangement …”

Article 10 S. 1706

„… securities settlement systems and Directive 2002/47/EC on financial collateral arrangements as regards linked …”

Article 90 Fees S. 1431

„… which are specifically relevant to the arrangements made for the marketing of units of UCITS …”

Article 60 Scope of authorisation S. 340

„… services provider has established, at the time of initial authorisation, all the necessary arrangements to …”

Article 19 Opinion of the college S. 1616

„… the details of the practical arrangements referred to in paragraph 5. ESMA shall submit those draft …”

Article 19 S. 1089

„… selling, the PRIIP shall establish appropriate procedures and arrangements which ensure that: (a) retail …”

Article 18 S. 1089

„… selling, the PRIIP shall establish appropriate procedures and arrangements which ensure that: (a) retail …”

Article 44 Coordination of national position management measures and position limits by ESMA S. 555

„… objectives listed in Article 57(1) of Directive 2014/65/EU and including in relation to delivery arrangements …”

Article 16 Capital requirements S. 1613

„… authorisation, all the necessary arrangements to meet the requirements laid down in this Regulation. The …”

Article 15 Extension of activities and services S. 1613

„… authorisation, all the necessary arrangements to meet the requirements laid down in this Regulation. The …”

Article 60 Exercise of the powers referred to in Articles 61 to 63 S. 1661

„… arrangements and accuracy of data. As provided under the Commission Delegated Regulation (EU) No 1248/2012, in …”

Article 53 S. 605

„… securities which are not fully paid up as freely negotiable if arrangements have been made to ensure that the …”

Article 45 S. 598

„… , if arrangements have been made to ensure that the negotiability of such shares is not restricted and …”

Article 34 Register of derivatives subject to the trading obligation S. 526

„… days afterwards.4 The effect of the declaration of a third country arrangement being equivalent to that …”

Article 68 Cooperation between authorities in the same Member State S. 358

„… competent authorities of other Member States of any arrangements entered into with regard to delegation of …”

Article 62 Withdrawal of authorisations S. 341

„… arrangements that ensure effective and prudent management of an organisation including the segregation of …”

Article 12 Penalties S. 1611

„… Commission may adopt implementing acts declaring that the legal, supervisory and enforcement arrangements of …”

Article 22 General obligation in respect of on-going supervision S. 151

„… arrangements made by the investment firm in accordance with Article 16(3) to prevent conflicts of interest from …”

Article 9 a Directives 2008/48/EC and 2014/59/EU S. 1743

„… 2014/59/EU may validly restrict the enforcement of financial collateral arrangements, close-out netting or …”

Article 32 S. 1096

„… arrangements under Article 32 of this Regulation shall be prolonged, or whether, following the identification …”

Article 31 S. 1096

„… arrangements under Article 32 of this Regulation shall be prolonged, or whether, following the identification …”

Article 12 S. 585

„… arrangements as may be necessary to expedite the 2. 2 Ibid. 3 See Directive 2014/65/EU of the European …”

Article 89 Prohibition of naked short sales S. 1430-1431

„… to the arrangements made for the marketing of units of UCITS, established in another Member State …”

Article 21 Depositary S. 1504-1512

„… State of the AIFM, have signed cooperation and exchange of information arrangements with the competent …” „… has delegated parts of its tasks and of the arrangements of the third party in respect of the matters …”

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

„… place effective systems, procedures and arrangements in relation to cleared derivatives to ensure that …” „… standards to specify the minimum requirements for systems, procedures and arrangements, including the …”

Article 59 Requirement for authorisation S. 339-340

„… , all the necessary arrangements to meet its obligations under the provisions of this Title. (3) An …”

Article 10 Report by the Commission S. 1743-1744

„… 2014/59/EU may validly restrict the enforcement of financial collateral arrangements, close-out netting or …”

Article 91 Enabling of marketing in host member states S. 1431-1432

„… which are specifically relevant to the arrangements made for the marketing of units of UCITS …”

Article 59 Notification of ESMA decisions relating to registration S. 1660-1661

„… rules and compliance arrangements and accuracy of data. As provided under the Commission Delegated …”

Article 11 Qualifying holdings S. 1333-1334

„… administrative and accounting procedures, control and safeguard arrangements for electronic data processing and …”

Article 62 Communication between feeder’s and master’s auditors S. 1403-1404

„… arrangements taken to comply with the requirements of paragraph 2. The feeder UCITS shall not invest in units …”

Article 92 Access point in host member state S. 1432-1433

„… arrangements made for marketing units of the UCITS in the host Member State, including, where relevant, in …”

Articles 34 to 35 S. 1293-1294

„… administrative arrangements with supervisory authorities, international organisations and administrations of …”

Article 82 Exercise of the delegation S. 1678-1679

„… (para 1), the organisational and administrative arrangements (para 2), the internal control mechanism …”

Article 61 Request for information S. 1661-1662

„… arrangements and accuracy of data. As provided under the Commission Delegated Regulation (EU) No 1248/2012, in …”

Article 9 Outsourcing S. 1276-1277

„… arrangements and in the system development life cycle process.2 Article 10 Disclosure and presentation of …”

Article 52 S. 604-605

„… treat debt securities which are not fully paid up as freely negotiable if arrangements have been made to …”

Article 44 S. 597-598

„… competent authorities may treat shares which are not fully paid up as freely negotiable, if arrangements …”

Article 6 Scope of authorisation S. 37-38

„… established, at the time of initial authorisation, all the necessary arrangements to meet its obligations …”

Article 14 S. 586-587

„… State. In particular, NCAs shall not only communicate, but make such arrangements as may be necessary to …”

Article 67 Designation of competent authorities S. 357-358

„… competent authorities of other Member States of any arrangements entered into with regard to delegation of …”

Introduction and overview S. 874-881

„… agreements, arrangements and measures to adequately ensure that shares or sovereign debt instruments are …” „… in accordance with Arts 11(1) and (2) SSR, and determines the types of agreements, arrangements and …”

Article 87 Cooperation and exchange of information with ESMA S. 386-387

„… to standard forms, templates and procedures for cooperation arrangements in respect of a trading …”

Article 12 S. 1072-1073

„… regulation may be considered ‘semi-mandatory’, with the condition that any contractual arrangement affecting …”

Article 10 S. 583-584

„… arrangements for these bodies are justified by the fact that they themselves provide additional guarantees as …”

Article 43 Coordination by ESMA and EBA S. 554-555

„… in Article 57(1) of Directive 2014/65/EU and including in relation to delivery arrangements for …”

Article 15 Initial capital endowment S. 64-65

„… organisational and administrative arrangements with a view to taking all reasonable steps designed to prevent …”

Articles 40 to 41 S. 1303-1304

„… , ‘Investment Management Arrangements and the Federal Securities Laws’, 58 Ohio State Law Journal (1997-98) No …”

Article 11 General and periodic disclosures S. 1280-1281

„… general nature of its compensation arrangements, its methodologies, any material modification to its …”

Article 33 S. 1096-1097

„… arrangements under Article 32 of this Regulation shall be prolonged, or whether, following the identification …”

Article 30 S. 1095-1096

„… arrangements under Article 32 of this Regulation shall be prolonged, or whether, following the identification …”

Introduction to Chapter III Intro Chapter III S. 221-222

„… access to regulated markets, CCPs, clearing and settlement facilities and arrangements in other Member …”

Article 25 Obligation to maintain records S. 494-495

„… arrangements in order to ensure that the competent authority of the most relevant market in terms of liquidity …”

Article 61 Communication between feeder’s and master’s depositary S. 1401-1403

„… both auditors, including the arrangements taken to comply with the requirements of paragraph 2. The …”

Article 8 Access to a trading venue S. 1594-1596

„… arrangements to which all participants have access. More competition in the post-trade sector endangers the …”

Articles 26 to 32 S. 1291-1293

„… States and the institutions of the EU, ESMA may establish contacts and make administrative arrangements …”

Article 11 a European rating platform S. 1281-1283

„… arrangements, its methodologies, any material modification to its systems, resources or procedures, and its …”

Article 17 Access to quotes S. 463-465

„… ; (iii) through proprietary arrangements; (b) the criteria specifying those transactions where execution …”

Article 2 Scope S. 1234-1236

„… "Arrangement on Guidelines for Officially Supported Export Credits”, or credit assessments that use the OECD …”

Article 39 Establishment of a branch S. 237-239

„… terrorism; (b) cooperation arrangements, that include provisions regulating the exchange of information for …”

Article 17 S. 1087-1089

„… arrangements which ensure that: (a) retail investors have an effective way of submitting a complaint against …”

Article 31 Exercise of supervisory powers and imposition of sanctions S. 863-865

„… to specify the procedures referred to in paragraph 1, including the arrangements for reporting and …”

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

„… the Commission regarding the cooperation arrangements referred to in paragraph 1. I. General …”

Article 22 Annual report S. 1512-1514

„… leverage and any collateral and asset reuse arrangements, and the maximum level of leverage which the AIFM …”

Article 52 Diversification S. 1389-1391

„… arrangements mentioned in that subparagraph, to issue bonds complying with the criteria set out in this Article …”

Article 14 Restrictions on uncovered sovereign credit default swaps S. 918-920

„… Implementing Regulation (EU) No 827/2012 containing Arts 5, 7, and 8 on arrangements with third parties to be …”

Article 21 Regular review of conditions for initial authorisation S. 149-151

„… . Where organisational or administrative arrangements made by the investment firm in accordance with …”

Article 15 Prohibition of market manipulation S. 770-772

„… operate a trading venue shall establish and maintain effective arrangements, systems and procedures aimed …”

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

„… arrangements have been established pursuant to Article 47(2). 3. Where a third-country firm is registered in …”

Article 10 Non-financial counterparties S. 1600-1603

„… , exercising due diligence, that appropriate procedures and arrangements are in place to measure, monitor and …”

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

„… initial authorisation, all the necessary arrangements to meet its obligations under this Chapter. 3. An …”

Article 32 Marketing of units or shares of EU AIFs in Member States other than in the home Member State of the AIFM S. 1530-1533

„… shares of the AIF in the host Member State of the AIFM. 5. Arrangements referred to in point (h) of Annex …”

Article 10 Disclosure and presentation of credit ratings S. 1277-1280

„… arrangements and in the system development life cycle process.2 Article 10 Disclosure and presentation of …”

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

„… internal control mechanisms, reporting arrangements and measures ensuring independence of rating analysts …”

Article 7 Minimum information S. 987-990

„… arrangements provided for in Article 14(2). 2. The competent authority of the home Member State may authorise …”

Article 6 Responsibility attaching to the prospectus S. 984-987

„… arrangements and frameworks in the EEA States, and providing (ii) some clarity to the market participants …”

Article 21 Host member state supervision in case of a branch S. 1350-1353

„… standards. Management companies shall ensure that the procedures and arrangements referred to in Article 15 …”

Article 22 Competent authorities S. 835-838

„… provision. The duty to establish consultative arrangements, procedures, and committees under Article 11(2 …”

Article 30 Transactions executed with eligible counterparties S. 207-210

„… effective arrangements and procedures, relevant to the MTF or OTF, for the regular monitoring of the …”

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

„… acceptable only if the firm puts alternative arrangements in place to ensure the sound and prudent management …”

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

„… proxy representing that holder; (b) identification arrangements shall be put in place so that debt …”

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

„… , and there must be arrangements to ensure that an individual use is charged just once.7 Where a “per …”

Foreword: The new transparency regime under MiFIR S. 389-392

„… arrangements. The more trading takes place in dark pools, the less trading data can be collected and made …”

Article 50 Synchronisation of business clocks S. 296-299

„… arrangements to verify that issuers of transferable securities that are admitted to trading on the regulated …”

Article 1 Scope and UCITS definition S. 1304-1317

„… Arrangements and the Federal Securities Laws’, 58 Ohio State Law Journal (1997-98) No. 49, 459-518; Bodellini M …” „… )).’ See Bines and Thel, ‘Investment Management Arrangements and the Federal Securities Laws’, 58 Ohio …”

Article 9 Reporting obligation S. 1596-1600

„… participants in a venue because of the absence of clearing arrangements to which all participants have access …”

Articles 14 to 20 S. 1284-1288

„… outsourcing arrangements, and the opening or 2 Recital 43 CRA Regulation. 3 Deipenbrock, ‘Die zweite Reform …”

Article 8 Omission of information S. 990-994

„… with the arrangements provided for in Article 14(2). 2. The competent authority of the home Member …”

Article 1 Scope S. 6-10

„… arrangements (APA), (2) consolidated tape providers (CTP), and (3) authorised reporting mechanisms (ARM).15 …”

Article 3 S. 1691-1695

„… Arrangements Directive (2002/47/EC), which was introduced by Directive 2009/44/EC. Based on the purpose of Art …”

Article 11 S. 1067-1072

„… ’, with the condition that any contractual arrangement affecting rights under it must be for the benefit …”

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

„… about alternative arrangements and the latter is called upon to publish this information.19 Agreements …”

Article 12 Market manipulation S. 730-756

„… : Entering into arrangements for the sale or purchase of a financial instrument, a related spot commodity …” „… Distorting costs associated with a commodity contract: Entering into arrangements in order to distort costs …” „… the other indicators, namely entering into arrangements that affect freight rates, insurance costs, or …”

Article 6 Independence and avoidance of conflicts of interest S. 1252-1257

„… internal control mechanisms, reporting arrangements and measures ensuring independence of rating analysts …”

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

„… shall establish internal arrangements to monitor the impact of changes in macroeconomic or financial …”

Article 5 Volume Cap Mechanism S. 417-423

„… non-discriminatory basis, to the arrangements they employ for making public the information under paragraph 1 of this …”

Article 13 S. 1163-1172

„… or non-legally binding arrangements would in principle be sufficient. As explained above, this …”

Article 24 General principles and information to clients S. 157-180

„… not make any arrangement by way of remuneration, sales targets or otherwise that could provide an …” „… interest risk resulting from remuneration arrangements threatens good outcomes for investors and …”

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

„… give access, on reasonable commercial terms and on a non-discriminatory basis, to the arrangements they …”

Article 2 Definitions S. 1104-1114

„… arrangements in accordance with which an issuer may make the choice of the home Member State; (b) adjust, where …”

Article 8 Insider dealing S. 692-705

„… arrangements and procedures that effectively ensure that neither the natural person who made the decision on …”

Article 25 Assessment of suitability and appropriateness and reporting to clients S. 180-193

„… likely to require the retail client to seek a periodic review of the arrangements.43 That circumstance is …”

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

„… Delegated Regulation 2016/52299 makes the following arrangements, distinguishing between issuers and EAMPs …”

doi.org/10.5771/9783845279893

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Hans-Holger Herrnfeld, Dominik Brodowski, Christoph Burchard

European Public Prosecutor's Office

2021

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Dominik Brodowski Article 107 Language arrangements S. 646-648

„… Language arrangements 1. Council Regulation (EEC) No 1/581) shall apply to the acts referred to in Articles …” „… the internal language arrangements of the EPPO. 3. The translation services required for the …” „… ” according to paragraph 1. Neither the “working arrangements” nor other “agreements” with the EPPO’s partners …”

Hans-Holger Herrnfeld Article 20 Provisional administrative arrangements of the EPPO S. 134-138

„… intra-institutional boundaries. Article 20 Provisional administrative arrangements of the EPPO 1. Based on provisional …” „… )), the establishment of the budget is taking place under the interim administrative arrangement provid- 1 …” „… College. The interim administrative arrangement under paragraph 1 of Article 20 is intended to apply until …”

Dominik Brodowski Article 99 Common provisions S. 579-583

„… paragraphs 1 and 2, the EPPO may conclude working arrangements with the entities referred to in paragraph 1 …” „… . Those working arrangements shall be of a technical and/or operational nature, and shall in particular …” „… arrangements may neither form the basis for allowing the exchange of personal data nor have legally binding …”

Hans-Holger Herrnfeld Article 64 Joint controllers S. 508-510

„… duties to provide the information, by means of an arrangement between them unless, and in so far as, the …” „… the European Union to which the controllers are subject. The arrangement may designate a contact point …” „… for data subjects. 2. The arrangement referred to in paragraph 1 shall duly reflect the respective …”

Dominik Brodowski Article 102 Relations with Europol S. 611-616

„… with Europol. To that end, they shall conclude a working arrangement setting out the modalities of …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . 10 I. Relationship with Europol; working arrangement (Article 102(1)) . . . . . . . . . . . 10 II …” „… (paragraph 2 alternative 2, infra → mn. 15 ff.), and it calls for a working arrangement where the modalities …”

Dominik Brodowski Article 100 Relations with Eurojust S. 583-595

„… The purpose of such working arrangements is, as highlighted in sentence 2, the facilitation of …” „… communication). In contrast, and as recalled in sentence 3, such arrangements cannot provide for a legal basis …” „… apply to the “arrangement” with Eurojust and to the “agreement” with the Commission. The Regulation is …”

Hans-Holger Herrnfeld Article 98 Seconded national experts and other staff S. 577-579

„… . For the purposes set out in paragraphs 1 and 2, the EPPO may conclude working arrangements with the …” „… entities referred to in paragraph 1. Those working arrangements shall be of a technical and/or operational …” „… parties thereto. The working arrangements may neither form the basis for allowing the exchange of personal …”

Dominik Brodowski Article 105 Relations with Member States of the European Union which do not participate in enhanced cooperation on the establishment of the EPPO S. 635-644

„… working arrangements referred to in Article 99(3) with the authorities of Member States of the European …” „… )) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1. Working arrangements (Article 105(1 …” „… level, cooperation may include the conclusion of working arrangements, the secondment of liaison …”

Hans-Holger Herrnfeld Article 63 Obligations of the EPPO S. 506-508

„… duties to provide the information, by means of an arrangement between them unless, and in so far as, the …” „… the European Union to which the controllers are subject. The arrangement may designate a contact point …” „… for data subjects. 2. The arrangement referred to in paragraph 1 shall duly reflect the respective …”

Dominik Brodowski Article 104 Relations with third countries and international organisations S. 621-635

„… countries and international organisations 1. The working arrangements referred to in Article 99(3) with the …” „… )) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1. Working arrangements (Article 104(1 …” „… arrangements, the secondment of liaison officers to the EPPO (paragraph 1, infra → mn. 4 f.) and the …”

Dominik Brodowski Article 101 Relations with OLAF S. 595-611

„… down in an administrative arrangement,16 but must adhere to the legal framework (on data protection …” „… arrangements of cooperation between Eurojust and OLAF, signed on 24.9.2008 …” „… (http://eurojust.europa.eu/doclibrary/Euroj ust-framework/agreements/Practical%20Agreement%20on%20arrangements%20of%20cooperation%20b etween …”

Dominik Brodowski Article 110 OLAF and the Court of Auditors S. 652-654

„… paragraphs 1, 2 and 3, working arrangements with bodies of the Union, authorities of third countries and …” „… linked to the EPPO by working arrangements (paragraph 4 alternative 1, infra → mn. 5). This provision has …” „… working arrangements with bodies of the Union (Article 99(3), → Article 99 mn. 10 ff.), in particular …”

Dominik Brodowski Article 106 Legal status and operating conditions S. 644-646

„… necessary arrangements concerning the accommodation provided for the EPPO and the facilities made available …” „… the agency, typically free of charge. Article 107 Language arrangements 1. Council Regulation (EEC) No …” „… shall decide by a two-thirds majority of its members on the internal language arrangements of the EPPO …”

DIRECTIVE (EU) 2017/1371 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL S. 771-798

„… – international s. International agreement – working s. Working arrangement Aiding 22 35, 45, 55, 62, 82 …” „… EU Staff Regulations s. Staff Regulations of Officials Index 790 Eurojust 100 1 ff. – arrangement …” „… 102 6 – Regulation 102 3 – request of information 102 12 ff. – working arrangement 102 11 EUSR s …”

Dominik Brodowski Article 103 Relations with other institutions, bodies, offices and agencies of the Union S. 616-621

„… information to the EPPO, nor can the working arrangement (paragraph 1) provide for such a legal basis (supra …” „… during the negotiations to change the term “agreement” to “working arrangement”2 – in line with the …” „… to all aspects of the linkage between the EPPO and the Commission. Same as the “working arrangements …”

COUNCIL REGULATION (EU) 2017/1939 S. 683-771

„… under this Regulation and establish, where necessary, formal arrangements on detailed rules relating to …”

Hans-Holger Herrnfeld Article 93 Implementation of the budget S. 561-563

„… . 2019/715). In accordance with Article 20, a number of interim arrangements apply during the initial phase …” „… ” (→ Article 90 mn. 5). In accordance with Article 20, a number of interim arrangements apply during the …”

Hans-Holger Herrnfeld Article 96 General provisions S. 566-576

„… into their national prosecution services. It shall be ensured that adequate arrangements are in place …” „… only to the EPPO’s support staff as defined in Article 2 No. (4). This arrangement is in line with the …” „… . Special rules will apply during the time of the “provisional administrative arrangement” (cf. Article 20(1 …”

Christoph Burchard Article 9 The College S. 64-74

„… experts to the EPPO; the internal language arrangements; programming documents; the anti-fraud strategy …” „… decision on the internal language arrangements of the EPPO. In contrast, other decisions “only” require a …” „… language arrangements of the EPPO). Each member of the College, i.e. each European Prosecutor and the …”

Christoph Burchard Article 18 Status of the Administrative Director S. 128-133

„… arrangement were to be regulated in a separate agreement. Eurojust was to provide any services of common …” „… → mn. 7 f.). This seems reasonable, also in light of similar arrangements at Eurojust2 and Europol3, as …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 19 133 Provisional administrative arrangements of the EPPO …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 106 644 Language arrangements …”

Christoph Burchard Article 19 Responsibilities of the Administrative Director S. 133-134

„… arrangements of the EPPO 1. Based on provisional budgetary appropriations allocated in its own budget, the …”

Hans-Holger Herrnfeld Article 77 Designation of the Data Protection Officer S. 527-528

„… on the basis of arrangements made in accordance with Article 98; the SNEs would at least be bound …”

Dominik Brodowski Article 111 Rules on the protection of sensitive non-classified and classified information S. 654-655

„… contracts of the EPPO. However, insofar such working arrangements address issues relating to the …”

Dominik Brodowski Article 114 Implementing rules and programme documents S. 661-663

„… arrangements (Article 107(2)), or guidelines on the right to evocation (Article 27(8)), on referrals (Article …”

Christoph Burchard Article 11 The European Chief Prosecutor and the Deputy European Chief Prosecutors S. 87-89

„… the College). Practically speaking, this arrangement should arguably be agreed upon between the …”

Dominik Brodowski Article 108 Confidentiality and professional secrecy S. 648-650

„… its internal language arrangements must be born by the EPPO but not be billed to a suspected or …”

Christoph Burchard Article 14 Appointment and dismissal of the European Chief Prosecutor S. 104-115

„… bolstered by strong independent (expert) knowledge. On the other hand, this appointment arrangement may also …” „… . Both of these arrangements are to increase the transparency of the selection procedure, and hence to …”

Hans-Holger Herrnfeld Article 92 Establishment of the budget S. 559-561

„… arrangements apply during the initial phase of establishing the EPPO until its institutional structure is fully …”

Dominik Brodowski Article 109 Transparency S. 650-652

„… funded by the EPPO. 4. Without prejudice to paragraphs 1, 2 and 3, working arrangements with bodies of …”

Hans-Holger Herrnfeld Article 90 Financial actors S. 550-553

„… interim arrangements during the time period until the EPPO has been set up and its institutional structure …”

Hans-Holger Herrnfeld Article 76 Authorised access to operational personal data within the EPPO S. 524-527

„… 7 on the basis of arrangements made in accordance with Article 98; the SNEs would at least be bound …”

Christoph Burchard Article 17 Appointment and dismissal of the European Delegated Prosecutors S. 123-128

„… sensible arrangement of Article 12(1)[2] and Article 16(7) substitutions: If the former (internal …”

Dominik Brodowski Article 113 General regime of liability S. 656-661

„… arrangements (Article 107(2)), or guidelines on the right to evocation (Article 27(8)), on referrals (Article …”

Christoph Burchard Article 16 Appointment and dismissal of the European Prosecutors S. 117-123

„… European Prosecutor.” This allows for a sensible arrangement of Article 12(1)[2] and Article 16(7 …”

Christoph Burchard Article 12 The European Prosecutors S. 89-98

„… ). Practically speaking, this arrangement should arguably be agreed upon between the European Chief Prosecutor …”

Christoph Burchard Article 10 The Permanent Chambers S. 74-87

„… ); Article 107(2) (decision on the internal language arrangements of the EPPO). Each member of the College …”

Hans-Holger Herrnfeld Article 28 Conducting the investigation S. 246-261

„… have to make legislative arrangements for such “exceptional circumstances” and not only once such a …”

Hans-Holger Herrnfeld Article 24 Reporting, registration and verification of information S. 178-195

„… their Member State, even though the EPPO College will decide on internal language arrangements for the …”

Hans-Holger Herrnfeld Article 42 Judicial review S. 400-441

„… the Union “may lay down specific conditions and arrangements” for actions brought by natural or legal …” „… establishing “specific conditions and arrangements”, it has been observed during the negotiations in the …”

doi.org/10.5771/9783845290768

Peter Kindler, Jan Lieder - European Corporate Law

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Peter Kindler (ed.), Jan Lieder (ed.)

European Corporate Law

2021

Results in this title

Silja Maul, Larissa Furtwengler Article 12 Optional arrangements S. 1014-1018

„… compensations and the arrangements for repayment are to be decided by the Member States. VII. Exception of …” „… . Article 12 Optional arrangements 1. Member States may reserve the right not to require companies as …” „… indirectly, by the latter, pursuant to Article 1 of Directive 83/349/ EEC. Art 12 Optional arrangements …”

Jan Lieder, Martin Bialluch Article 3 h Investment strategy of institutional investors and arrangements with asset managers S. 887-889

„… institutional investors and arrangements with asset managers 1. Member States shall ensure that institutional …” „… discloses the following information regarding its arrangement with the asset manager: (a) how the …” „… arrangement with the asset manager incentivises the asset manager to align its investment strategy and …”

Karsten Kühnle Article 86 o Scrutiny of the legality of the cross-border conversion by the destination Member State S. 479-483

„… appropriate, that arrangements for employee participation have been determined in accordance with Article 86 l …” „… ) Arrangements on employee participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 c …” „… and registration of companies and, where appropriate, that arrangements for employee participation …”

Silja Maul, Larissa Furtwengler Introduction S. 979-981

„… optional arrangements, that a final consensus could was reached on 30 April 2004. IV. Harmonization The …” „… , administrative provisions, codes of practice and other arrangements of the Member States, including arrangements …” „… , regulations, administrative provisions, codes of practice and other arrangements of the Member States …”

Jan Lieder, Martin Bialluch Article 3 i Transparency of asset managers S. 889-891

„… investor with which they have entered into the arrangements referred to in Article 3 h how their investment …” „… strategy and implementation thereof complies with that arrangement and contributes to the medium to …” „… manager and the institutional investor is a matter for bilateral contractual arrangements1 and that there …”

Karsten Kühnle Article 86 h Approval by the general meeting S. 429-434

„… conversion conditional on express ratification by it of the arrangements referred to in Article 86 l. 3 …” „… ratification of arrangements regarding employee participation rights …” „… . Approval conditioned on express ratification of arrangements regarding employee participation rights …”

Karsten Kühnle Article 86 g Disclosure S. 425-429

„… registration number in that register; (c) an indication of the arrangements made for the exercise of the rights …” „… information on the arrangements referred to in point (c) of this paragraph may be obtained online and free of …” „… )); (iii) an indication of the arrangements made for the exercise of the rights of creditors, employees and …”

Silja Maul, Larissa Furtwengler Article 1 Scope S. 981-983

„… , administrative provisions, codes of practice and other arrangements of the Member States, including arrangements …” „… , regulations, administrative provisions, codes of practice and other arrangements of the Member States …” „… including arrangements established by organizations officially authorized to regulate the markets (‘rules …”

Tobias de Raet Article 126 Approval by the general meeting S. 643-648

„… conditional on express ratification by it of the arrangements decided on with respect to the participation of …” „… merger conditional upon its express ratification of the arrangements decided upon with respect to the …” „… of the term 'arrangements', the condition precedent relates not only to any agreement on employee …”

Silja Maul, Larissa Furtwengler Article 11 Breakthrough S. 1010-1014

„… the holders of those rights. The terms for determining such compensation and the arrangements for its …” „… rule. The terms for determining such compensations and the arrangements for repayment are to be decided …” „… 11 is not applied to cooperatives. Article 12 Optional arrangements 1. Member States may reserve the …”

Karsten Kühnle Article 86 m Pre-conversion certificate S. 467-478

„… cross-border conversion include information on the procedures by which the relevant arrangements are determined …” „… and on the possible options for such arrangements. 6. As part of the scrutiny referred to in paragraph …” „… provisions of national law on the incorporation and registration5 and that, where required, arrangements for …”

Tobias de Raet Article 123 Disclosure S. 618-625

„… merging companies, of the arrangements made for the exercise of the rights of creditors, employees and …” „… arrangements referred to in point (c) of this paragraph may be obtained online and free of charge. The register …” „… The publication must provide an indication, for each of the merging companies, of the arrangements …”

Tobias de Raet Article 122 Common draft terms of cross-border mergers S. 605-618

„… arrangements for the involvement of employees in the definition of their rights to participation in the company …” „… ) Information on arrangements for the involvement of employees . . . . . . . . 36 k) Information on the …” „… subject to a foreign jurisdiction.47 Information on arrangements for the involvement of employees Pursuant …”

Klaus Bader, Andreas Börner Article 160 o Scrutiny of the legality of the cross-border division S. 797-799

„… arrangements for employee participation have been determined in accordance with Article 160 l. 2. For the …” „… incorporation and registration of companies is complied with and that, where appropriate, arrangements for …” „… arrangements, in accordance with Article 16, for disclosing the completion of the cross-border division in …”

Tobias de Raet Article 126 c Employee information and consultation S. 656-658

„… the practical arrangements for exercising the right to information and consultation in accordance with …” „… cross-border merger include information on the procedures by which the relevant arrangements are determined and …” „… on the possible options for such arrangements. 6. As part of the scrutiny referred to in paragraph 1 …”

Jan Lieder, Martin Bialluch Article 3 g Engagement policy S. 885-887

„… seq. SRD. Article 3 h Investment strategy of institutional investors and arrangements with asset …” „… undertaking, the institutional investor publicly discloses the following information regarding its arrangement …” „… with the asset manager: (a) how the arrangement with the asset manager incentivises the asset manager …”

Klaus Bader, Andreas Börner Article 160 d Draft terms of cross-border divisions S. 748-757

„… which arrangements for the involvement of employees in the definition of their rights to participation …” „… 10. Information on arrangements for the involvement of employees . . . . . . . . 30 11. Precise …” „… arrangements, in particular (but not limited to) the laws of the Member State of the company being divided and …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 39 196 Section 4 Application and implementing arrangements Penalties …” „… . . . . . . . . . . . . . . . . . . . . . .Article 83 380 Section 6 Application and implementing arrangements Derogation from certain requirements …” „… . . . . . . . . . . . . . . . . . . . . .Article 159 730 Section 6 Application arrangements Transitional provisions …”

Klaus Bader, Andreas Börner Article 160 g Disclosure S. 766-769

„… being divided, and its registration number in that register; (c) an indication of the arrangements made …” „… independent expert report and complete information on the arrangements referred to in point (c) of this …” „… ratification by it of the arrangements referred to in Article 160 l. 3. Member States shall ensure that the …”

Jan Lieder, Martin Bialluch Article 3 c Facilitation of the exercise of shareholder rights S. 879-882

„… following: (a) the intermediary makes the necessary arrangements for the shareholder or a third party …” „… objectives of the SRD. Necessary arrangements for shareholders or nominated third parties (point (a)) By …” „… referring to “the necessary arrangements”, the Directive once again makes use of a vague set of legal terms …”

Alexander Schall, David Günther, Michael Lamsa Article 13 i Disqualified directors S. 123-124

„… this Article, Member States shall at least make the necessary arrangements to ensure that they are able …” „… Commission shall lay down detailed arrangements and technical details for the exchange of the information …”

Karsten Kühnle Article 86 n Transmission of the pre-conversion certificate S. 478-479

„… national law on the incorporation and registration of companies and, where appropriate, that arrangements …” „… ) Arrangements on employee participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 c …”

Karsten Kühnle Article 86 l Employee participation S. 457-467

„… scenarios is given: an agreement on arrangements for employee involvement in the converted company has been …” „… procedure, shall in particular ensure that, where appropriate, arrangements for employee participation have …” „… cross-border conversion until registration in the destination Member State to facilitate arrangements which may …”

Alexander Schall, David Günther, Michael Lamsa Article 13 h Templates for online formation of companies S. 121-123

„… arrangements to ensure that they are able to provide without delay information on whether a given person is …” „… national law. 5. The Commission shall lay down detailed arrangements and technical details for the exchange …”

Klaus Bader, Andreas Börner Article 157 Divisions under the supervision of a judicial authority S. 727-729

„… judicial authority. These special arrangements were introduced as a concession to the UK, whose legal …” „… limit and arrangements for the prior information notice (but not the subject matter).5 These …”

Klaus Bader, Andreas Börner Article 160 k Employee information and consultation S. 784-786

„… , Member States shall determine the practical arrangements for exercising the right to information and …” „… divided (Article 160k(3)), with regard to any practical arrangements for the exercise of the relevant …”

Karsten Kühnle Article 86 f Independent expert report S. 422-425

„… abuse, namely in cases where it qualifies as an artificial arrangement aiming at obtaining undue tax …” „… artificial arrangements received some criticism5 and was given up in the legislative process after intensive …”

Tobias de Raet Article 128 Scrutiny of the legality of the cross-border merger S. 666-669

„… the same terms and, where appropriate, that arrangements for employee participation have been …” „… authority must ensure that, where appropriate, arrangements for employee participation have been determined …”

Silja Maul, Larissa Furtwengler Article 6 Information concerning bids S. 999-1003

„… to receive the consideration due at the close of the bid as well as to the tax arrangements to which …” „… the tax arrangements to which the consideration offered to the holders of the securities will be …”

Klaus Bader, Andreas Börner Article 160 h Approval by the general meeting S. 769-773

„… ratification by it of the arrangements referred to in Article 160 l. 3. Member States shall ensure that the …” „… employee participation arrangements required under Article 160 l have been finalized. This right protects …”

Klaus Bader, Andreas Börner Article 160 l Employee participation S. 786-790

„… arrangements already need to be set out in the draft terms (Article 160d(k)) and the authority issuing the …” „… of the authority to scrutinise the legality of the envisaged arrangement beyond what is required for …”

Karsten Kühnle Article 86 j Protection of creditors S. 445-455

„… which extent creditors are adequately protected under corresponding contractual arrangements, terms and …” „… dedicated contractual arrangements.28 In consequence, this raises the question whether the system as …” „… States shall determine the practical arrangements for exercising 41 Luy, NJW 2019, 1905, 1907; Kraft, BB …”

Index S. 1029-1055

„… h 7 – qualified majority 86h 5 – ratification of arrangements on employee participation 86h 9 …” „… implementing arrangements 40 1 ff. – articles of association 30 30 ff. – balance sheet 31 8 – changes to …” „… 96 21 Facilitation of the exercise of shareholder rights – necessary arrangements III 3c 3 – options …”

Klaus Bader, Andreas Börner Article 160 m Pre-division certificate S. 790-796

„… relevant arrangements are determined and on the possible options for such arrangements. 6. As part of the …”

Klaus Bader, Andreas Börner Article 160 Transitional provisions S. 731

„… Section 6 Application arrangements Article 160 Transitional provisions Member States need not apply …”

Jan Lieder, Martin Bialluch Article 9 a Right to vote on the remuneration policy S. 919-931

„… remuneration policy shall indicate the duration of the contracts or arrangements with directors and the …” „… , long-term interests and sustainability. Within the meaning of the Directive, purely contractual arrangements …” „… of the contracts or arrangements with directors and the applicable notice periods, the main …”

Tobias de Raet Article 127 Pre-merger certificate S. 658-665

„… cross-border merger include information on the procedures by which the relevant arrangements are determined and …” „… on the possible options for such arrangements. 6. As part of the scrutiny referred to in paragraph 1 …”

Klaus Bader, Andreas Börner Article 160 n Transmission of the pre-division certificate S. 796-797

„… registration of companies and, where appropriate, that arrangements for employee participation have been …”

Alexander Schall, David Günther, Michael Lamsa Article 25 Financing S. 141-142

„… ) the detailed arrangements for and technical details of the exchange between registers of the …”

Alexander Schall, David Günther, Michael Lamsa Article 24 Implementing acts S. 140-141

„… platform as referred to in Article 22; (o) the detailed arrangements for and technical details of the …”

Klaus Bader, Andreas Börner Article 159 Divisions without the company being divided ceasing to exist S. 730-731

„… arrangements Article 160 Transitional provisions Member States need not apply Articles 146 and 147 as regards …”

Tobias de Raet Article 129 Date on which the cross-border merger takes effect S. 669-670

„… merger shall determine, with regard to their respective territories, the arrangements, in accordance with …”

Article 67 Subscription, acquisition or holding of shares by a company in which the public limited liability company holds a majority of the voting rights or on which it can exercise a dominant influe... S. 322-330

„… that respect, the arrangements governing a company's acquisition of its own shares should be extended …” „… companies. Those arrangements should be extended to cover subscription for shares in the public limited …”

Tobias de Raet Article 127 a Transmission of the pre-merger certificate S. 665-666

„… terms and, where appropriate, that arrangements for employee participation have been determined in …”

Karsten Kühnle Article 86 t Validity S. 489-490

„… cross-border conversion constitutes an abuse by means of an artificial arrangement. Such concept, however, was …”

Klaus Bader, Andreas Börner Article 158 Divisions with cash payment exceeding 10 % S. 729-730

„… time limit and arrangements for the prior information notice (but not the subject matter).5 These …”

Karsten Kühnle Article 86 d Draft terms of cross-border conversions S. 404-413

„… ) where appropriate, information on the procedures by which arrangements for the involvement of employees …” „… on the procedures by which arrangements for the involvement of employees in the definition of their …”

Peter Kindler Article 39 Information on letters and order forms S. 196-198

„… registration. Section 4 Application and implementing arrangements Article 40 Penalties Member States shall …”

Jan P. Brosius Article 83 Voting requirements for the decisions of the general meeting S. 380-382

„… ). Section 6 Application and implementing arrangements Article 84 Derogation from certain requirements 1 …”

Karsten Kühnle Article 86 p Registration S. 483-485

„… shall determine, with regard to their respective territories, the arrangements, in accordance with …”

Klaus Bader, Andreas Börner Article 160 p Registration S. 799-801

„… determine, with regard to their respective territories, the arrangements, in accordance with Article 16, for …”

Karsten Kühnle Article 86 s Independent experts S. 487-489

„… artificial arrangement. Such concept, however, was not adopted by the 2019 Directive. Article 86 t Validity A …”

Tobias de Raet Article 130 Registration S. 670-672

„… arrangements, in accordance with Article 16, for disclosing the completion of the cross-border merger in their …”

Karsten Kühnle Article 86 k Employee information and consultation S. 455-457

„… States shall determine the practical arrangements for exercising 41 Luy, NJW 2019, 1905, 1907; Kraft, BB …”

Tobias de Raet Article 126 b Protection of creditors S. 653-656

„… employees, Member States shall determine the practical arrangements for exercising the right to information …”

Jan Lieder, Martin Bialluch Article 13 Removal of certain impediments to the effective exercise of voting rights S. 968-971

„… law must then also permit arrangements in which the legal owners (as shareholders within the meaning …”

Peter Kindler Article 40 Penalties S. 198-201

„… disclose any details referred to its registration. Section 4 Application and implementing arrangements …”

Jan Lieder, Martin Bialluch Article 3 b Transmission of information S. 876-879

„… comprise at least one of the following: (a) the intermediary makes the necessary arrangements for the …”

Tobias de Raet Article 87 General provisions S. 494-501

„… companies, judicial arrangements, compositions and analogous proceedings. 4. Member States shall ensure that …” „… , proceedings relating to the winding-up of insolvent companies, judicial arrangements, compositions and …”

Peter Kindler Article 29 Disclosure of documents and particulars relating to a branch S. 159-163

„… ), — insolvency proceedings, arrangements, compositions, or any analogous proceedings to which the company is …”

Hanno Merkt Accounting and Auditing Law of the European Union S. 809-835

„… arrangements – Disclosure of annual corporate governance statements 2009/49/EC18 Introduction of facilities for …” „… 831 93 94 95 96 Chapter VIII – Public oversight and regulatory arrangements between Member States (Art …” „… (4) SAD. The regulatory arrangements for public oversight should moreover make effective cooperation …”

Silja Maul, Larissa Furtwengler Article 4 Supervisory authority and applicable law S. 988-994

„… “[…] codes of practice and other arrangements”. Art 4 Supervisory authority and applicable law 990 Silja …”

Dieter Leuering Article 2 [Legitimacy] S. 842-846

„… and to prevent abusive arrangements. The regulation was originally intended to compensate for the …”

Tobias de Raet Article 89 Definition of a ‘merger by acquisition’ S. 505-509

„… winding-up of insolvent companies, judicial arrangements, compositions and analogous proceedings. If a Member …”

Silja Maul, Larissa Furtwengler Article 5 Protection of minority shareholders, the mandatory bid and the equitable price S. 994-999

„… to receive the consideration due at the close of the bid as well as to the tax arrangements to which …”

Jan P. Brosius Article 84 Derogation from certain requirements S. 382-387

„… ). Section 6 Application and implementing arrangements Article 84 Derogation from certain requirements 1 …”

Klaus Bader, Andreas Börner Article 160 e Report of the administrative or management body for members and employees S. 757-763

„… material contracts, subsidies and arrangements triggering anti-trust considerations.10 Further, Article 160 …”

Klaus Bader, Andreas Börner Article 160 j Protection of creditors S. 778-784

„… , Member States shall determine the practical arrangements for exercising the right to information and …”

Peter Kindler Article 37 Compulsory documents and particulars to be disclosed S. 186-193

„… , arrangements, compositions or any analogous proceedings to which the company is subject; (j) the accounting …”

Peter Kindler Foreword to Arts 28a-42 S. 144-150

„… Section 4 (Arts 40-42) addresses application and implementing arrangements such as penalties, the persons …”

Tobias de Raet Article 125 Independent expert report S. 634-643

„… implementation of the cross-border merger conditional on express ratification by it of the arrangements decided …”

Peter Kindler Article 30 Documents and particulars to be disclosed S. 163-171

„… ), — insolvency proceedings, arrangements, compositions, or any analogous proceedings to which the company is …”

Karsten Kühnle Article 86 e Report of the administrative or management body for members and employees S. 413-422

„… arrangements for the involvement of employees in the definition of their rights to participation in the …”

Klaus Bader, Andreas Börner Article 160 a Scope S. 731-744

„… Section 6 Application arrangements Article 160 Transitional provisions Member States need not apply …”

Jan Lieder, Martin Bialluch Article 9 c Transparency and approval of related party transactions S. 943-959

„… their own arrangements.70 In view of the SRD’s purpose of protection 2. 66 Habersack and Verse …”

Jan P. Brosius Foreword to Arts 44-85 S. 204-223

„… headlined “application and implementing arrangements”, providing options to derogate from certain provisions …”

Peter Kindler Introduction S. 1-65

„… and must protect its own interests by making the relevant contractual arrangements unmistakeably meets …”

doi.org/10.5771/9783845279909

Sebastian Brandl - »Deutsches Modell« oder globalisiertes Arrangement?

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Sebastian Brandl

»Deutsches Modell« oder globalisiertes Arrangement?

Series: Forschung aus der Hans-Böckler-Stiftung (HBS)

Volume 77 2006

Results in this title

Titelei/Inhaltsverzeichnis S. 1-9

„… ler Beziehungen und soziale Nachhalt igkeit Arrangement? globalisiertes ´´ ´´Deutsches Modell oder …” „… Brandl: „Deutsches Modell“ oder globalisiertes Arrangement? Forschung aus der …” „… Hans-Böckler-Stiftung, Düsseldorf Sebastian Brandl „Deutsches Modell“ oder globalisiertes Arrangement …”

3. Nachhaltigkeit und das deutsche System industrieller Beziehungen S. 32-55

„… Aushandlungspolitik überein. Die Vorschläge laufen meistens darauf hinaus, das neokorporatistische Arrangement von …” „… fordistischen Arrangements von Demokratie und Wirtschaft Anknüpfungsmöglichkeiten für die …” „… Steuerungsvorstellungen der Nachhaltigkeit bietet. Das neokorporatistische Arrangement widerspricht der geforderten …”

1. Problemstellung S. 12-17

„… Infragestellung des deutschen Arrangements der Arbeitsbeziehungen und seiner kollektiven Akteure – dem spezifisch …” „… Vorschläge meistens darauf hinaus, das neokorporatistische Arrangement von Staat, Gewerkschaften und …”

2. Politik der Nachhaltigkeit S. 18-31

„… Arrangements für Nachhaltigkeit liegen also erhebliche Wissensdefizite vor (Kopfmüller et al. 2001: 110 …” „… concept). Geht es doch hierbei darum, wie Akteure entlang institutioneller Arrangements handeln und …” „… [kann], durch neue institutionelle Arrangements, durch neue Formen von ‚governance’, die Entwicklung …”

6. Zukunftsoptionen S. 210-233

„… neokorporatistische Arrangements,wie das Modell Deutschland, um den Radius demokratischer Politik. Zum anderen …” „… die Bildung eines eigenen Arrangements beobachten. Das Ergebnis dieser Form der Europäisierung liegt …” „… governance-Arrangement machen.“ Die Alternative hierzu liegt in einem langsamen Verschwinden. „In beiden Fällen …”

7. Schlussfolgerungen S. 234-259

„… hinsichtlich der Wirkung konkreter institutioneller Arrangements für Nachhaltigkeit vorliegen. Auf Grundlage …” „… korporatistische Arrangement aus sich heraus das Thema Nachhaltigkeit nur implizit, am Rande und unsystematisch …”

4. Erosion der Verbändemacht – Chance für Nachhaltigkeit? S. 56-135

„… 55 4. Erosion der Verbändemacht – Chance für Nachhaltigkeit? Das institutionelle Arrangement des …” „… sich somit daraus, dass das bisherige institutionelle Arrangement den neuen Bedingungen nicht …”

doi.org/10.5771/9783845268514

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