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Anette von Ahsen, Dirk Schiereck, Matthias Wolz - Quick Notes on Accounting

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Anette von Ahsen (ed.), Dirk Schiereck (ed.), Matthias Wolz (ed.)

Quick Notes on Accounting

2024

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Daniel Sánchez Toledano, J. Sánchez Toledano Accountability and Transparency in Spanish Central Public Sector. An empirical Study on Cost of Public Services and Management Indicators Information S. 21-40

„… empirical Study on Cost of Public Services and ManagementIndicators InformationDaniel Sánchez Toledano, J …” „… management indicators, which expand theelements of information for the improvement of public management.In …” „… in the Report information regarding thecost of activities and management indicators in points 25 and …”

Andreas Ries, Yannik Michels, Konstantin Kühle Nachhaltigkeitscontrolling in der Praxis: Ein Blick in die Zukunft S. 125-138

„… ist das aktive Management von finanziellen und nicht-finanziellen Informationen ein zunehmender …” „… eines Unternehmens ist das aktive Management von finanziellenund nicht-finanziellen Informationen ein …” „… Manage‐mentvergütungs-Strukturen an die Erreichung von ESG-Zielen. Um dieSteuerungsfähigkeit des Managements bzw. der …”

Axel Haller Doppelte Wesentlichkeit – Kernelement der zukünftigen Unternehmensberichterstattung S. 61-94

„… Fülle von Informationen über den Umgang des Manage‐ments mit Nachhaltigkeitsbelangen zu gewähren haben …” „… Anreizwirkung der im Nachhaltigkeitsbericht geforderten In‐formationen79 auf das Managementverhalten. Die EU …” „… die Zurverfügungstellung entscheidungsnützlicherInformationen fokussiert ist.4 So stellt „materiality …”

Schriftenverzeichnis von Prof. Dr. Reiner Quick S. 459-502

„… ” informationsystems, in: Information Systems and e-Business Management, Vol. 11, No. 4, 2013,S. 507-540 (zusammen mit …” „… .Inventurplanung und Gestaltung von Inventurrichtlinien, in: G. Würtele/G. Mohr(Hg.), Management-Checklisten, 14 …” „… empirische Analyse auf dem europäischen Kapitalmarkt, 2015.Yankova, Kristina: The Influence of Information …”

Anette von Ahsen, Peter Buxmann, Florentina Hager Digitalisierung: Chancen und Risiken im Kampf gegen den Klimawandel S. 139-152

„… .; Fernando, Y. (2019): Interplay between information systemsand environmental management in ISO 14001 …” „… al. 2015), wodurch Verkehrreduziert werden kann.2.5 Supply Chain ManagementImmer mehr Unternehmen …” „… -certified companies. In: ManagementDecision, 57(8), 1883–1901. https://doi.org/10.1108/MD-07-2018-0739 …”

Torsten Hauptmann Inwiefern kann die erweiterte Abschlussprüfung nach § 53 HGrG den Aufsichtsrat bei seinen Überwachungspflichten nach § 107 Abs. 3 AktG unterstützen? S. 271-290

„… Management—Integrated Framework“.33 COSO (Hrsg.), Enterprise Risk Management – Integrating with Strategy and …” „… werden Gebietskörperschaften zusätzliche Informations- undKontrollrechte eingeräumt, die vor allem in …” „… „Überwachung“wird dabei ein mehrstufiger Informations- und Entscheidungsprozess ver‐standen, der im Kern den …”

Marc Eulerich Internal and External Auditing: Complements or Substitutes for Assurance Tasks S. 165-176

„… objectivesare generally the same. The external auditor reduces information asymmet‐ries between the management …” „… AuditingAccountabilityto / OrderExecutive Board/Corporate ManagementSupervisory Board/Audit CommitteeShareholder /Annual …” „… aimsto improve the risk position of the company by supporting the boardof directors, management, and the …”

Lebenslauf S. 503-508

„… Center atiaelyon School of Management, University Jean Moulin, theManagement Consulting Division of the …” „… Academy of Manage‐ment (USA), ISODC (The International Society for Organiza‐tional Development and Change …” „… Journal of Information Systems 2022 in Duisburg2022-heute Mitglied des Scientific Committee von …”

Autorenverzeichnis S. 509-519

„… Director-Partner of the companyIntelligent Information Management Systems (SIIG). His principal re‐search topics …” „… tenyears he was managing director of the company Intelligent InformationManagement Systems (SIIG), spin-off …” „… focuses on auditing as well as cost andearnings management.Autorenverzeichnis512Torsten Hauptmann ist …”

Christian Friedrich Talent Pool Size and Audit Quality S. 237-256

„… of the particularly high need for human capital management,outcome observability, and importance of …” „… higher if auditors curb opportunistic earnings management,negative effects on accruals measures indicate …” „… is also evident from management reportsof German Big 4 audit firms. For instance, in their 2021 …”

Jr., Aasmund Eilifsen, Natalia Kochetova, William F. Messier Audit Partners’ Experiences with Materiality and detected Misstatements S. 195-212

„… , 2005; Gib‐bins, McCracken, & Salterio, 2005), we gather detailed information from55 partners from four …” „… detected misstatement. Thus, we are ableto provide detailed information about (1) the types of …” „… providedescriptive information about the selected misstatements.A contact at each U.S. and Norwegian firm distributed …”

Meng Guo, Sven Hartlieb, Lasse Niemi Provision of Non-Audit Services in European Countries S. 343-362

„… asgeneral management advice or tax consultancy that are not a part of thefinancial statement audit (Firth …” „… restoreinvestors’ confidence in financial information. Among others, the reformentailed a significant restriction …” „… effect, NAS mayimprove audit efficiency through knowledge spillovers as the auditor ob‐tains information …”

Ewald Aschauer, Gabriel Matejka Digitale Innovationen in der Forschung und Praxis der Wirtschaftsprüfung S. 383-400

„… Deutschland22 und Quick und Warming-Rasmussen analysieren den Effekt von Management-Audit Services (MAS) auf …” „… undWarming-Rasmussen analysieren den Effekt von Management-Audit Ser‐Tabelle 2:19 Vgl. Siano/Wysocki (2021). Transfer …” „… , WPg,309.3 Vgl. van der Aalst/Bichler/Heinzl (2018). Robotic Process Automation, Business &Information …”

Titelei/Inhaltsverzeichnis S. 1-10

„… empirical Study on Cost of Public Services and ManagementIndicators Information 21Claus Buhleier, Dirk …” „… , electronic or mechanical, including photocopying, recording, or any information storage or retrieval system …”

Claus Buhleier, Dirk Simons Der Übergang der Bilanzkontrolle von der Deutschen Prüfstelle für Rechnungslegung auf die Bundesanstalt für Finanzdienstleistungsaufsicht – Änderungen beim Enforcement der Rechnungslegung -- S. 41-60

„… Nr. 1 WpHG idV vor FISG).6 Vgl. Standard No. 1 on financial information enforcement of standards on …” „… Re‐duktion der Wahrscheinlichkeit unrichtiger Berichterstattung durch dasManagement eine relevante Zielgröße …” „… In‐vestitionsverhaltens mit kurzfristigeren Investitionszeiträumen seitens desManagements. Die Unterschiede lassen sich in …”

Ralph Becker Wirtschaftlichkeit von Investitionen im Öffentlichen Sektor S. 95-110

„… mehrInformationen können in der Wirtschaftlichkeitsuntersuchung berücksich‐tigt werden. Zum Beispiel wird sich der …” „… Grundeliegenden erfolgskritischen Annahmen. Die daraus entstehenden Informa‐tionen liefern auch wichtige …” „… liegt die Schluss‐folgerung nahe, dass der öffentliche Sektor adäquate Management …”

Marc Berninger, Juliana Laun, Dirk Schiereck Der h-Index von deutschen Professorinnen und Professoren im Bereich Rechnungswesen S. 429-458

„… Betrachtung des h-IndexInformationen verloren, die in Form des e-Index ergänzend abgebildetwerden können …” „… Uni‐versitäten. Ferner wurden in diesem Schritt weitere Informationen zu denLehrstuhlinhabern (Jahr der Promotion …” „… angemerkt, dass keine Unterteilung in internes (Manage‐ment Accounting) und externes (Financial Accounting …”

doi.org/10.5771/9783957104076

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

Results in this title

Article 26 a Information exchange with and among national competent authorities of depositary, UCITS and management company S. 1364

„… According to paragraph 1, the depositary may require all information from the fund management company to …” „… details in Art 22 of Commission Delegated Regulation (EU) 2016/438). Article 26 a Information exchange …” „… with and among national competent authorities of depositary, UCITS and management company The …”

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

„… of the management company’s home Member State refuse to communicate the information referred to in …” „… management company’s host Member State shall, within two months of receiving the information referred to in …” „… the management company’s home Member State shall, within one month of receiving the information …”

Article 81 Availability of key investor information S. 1423-1425

„… investor information in direct marketing through the investment company or management company itself or …” „… management company can directly order to distribute the key investor information. Investors shall receive the …” „… or management company is mandated to distribute the key investor information to any product …”

Article 20 Home member state supervision S. 1348-1350

„… authorities of the management company’s home Member State for clarification and information regarding the …” „… authorities of the UCITS home Member State to obtain directly from the management company the information …” „… management company’s host Member State with information falling under its responsibility, or fails to take …”

Article 80 Use of key investor information documents when directly and indirectly marketing UCITS S. 1422-1423

„… key investor information. In the first step, the UCITS, investment company or management company is …” „… for wrongful disclosure in the key investor information document. Level 2 and 3 easures ESMA’s Q&A on …” „… compromise. On one hand, it requires that the key investor information is precontractual information and as …”

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

„… members of its management body and of any changes to its membership, along with all information needed to …” „… . Article 63 Requirements for the management body of a data reporting services provider (1) Member States …” „… shall require that all members of the management body of a data reporting services provider shall at all …”

Article 2 Definitions S. 1317-1323

„… other provisions laid down in Chapter IV and Section 3 of Chapter V; (b) ‘management company’ means a …” „… company, the regular business of which is the management of UCITS in the form of common funds or of …” „… investment companies (collective portfolio management of UCITS); (c) ‘management company’s home Member State …”

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

„… company the information referred to in this paragraph. 3. Where the competent authorities of a management …” „… to provide the management company’s host Member State with information falling under its …” „… ensure that the management company concerned provides the information requested by the management …”

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

„… following information to the competent authorities of the management company’s home Member State: (a) the …” „… management company’s home Member State shall update the information contained in the attestation referred to …” „… standards to establish standard forms, templates and procedures for the transmission of information in …”

Article 67 Duties of competent authority in case of non-compliance by master S. 1408-1409

„… competent authority to forward the information received from the management company to the feeder UCITS …” „… of all information that is required in accordance with this Directive, other Community law, the …” „… applicable, its management company, and to the competent authorities, the depositary and the auditor of the …”

Chapter 1 Organisational requirements S. 1628-1637

„… any changes to its management, and shall provide the competent authority with all the information …” „… remuneration policy.4 The information technology system is a crucial issue within the CCP risk management …” „… maintain a clear separation between the reporting lines for risk management and those for the other …”

Article 109 Cross-border provision of services; collaboration S. 1462-1463

„… all the information concerning the management and ownership of such management companies that is …” „… cross-border fund management and requires information exchange about circumstances ‘which may materially affect …” „… ; collaboration 1. Where, through the provision of services or by the establishment of branches, a management …”

Article 4 Annual financial reports S. 1118-1124

„… information to the public, comprising the issuer’s financial statements and management report. It should …” „… stringent requirements for the notification of information. This corresponds to the principle of home state …” „… control. Chapter II Periodic information Article 4 Annual financial reports (1) The issuer shall make …”

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

„… more specific inside information or management reports.22 Voluntary additional information provided by …” „… – The IFRS Foundation’s Taxonomy should be used to transfer financial information into structured …” „… , comparability and in particular the accessibility and usability of published financial information, which should …”

Article 7 Application for authorisation S. 1480-1482

„… information or documents which the UCITS management company has already provided when applying for …” „… information already filed in connection with the authorisation of the AIFM as UCITS management company that is …” „… with Art 20 on delegation and the ability of AIFM to delegate the portfolio management of AIFM to third …”

Titelei/Inhaltsverzeichnis

„… and on information to be published on those securities (OJ L 184, 6.7.2001, p. 1-66 …” „… 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents …” „… 15 December 2004 on the harmonisation of transparency requirements in relation to information about …”

Article 16 Organisational requirements S. 65-120

„… access to all relevant information; (b) a compliance officer is appointed and replaced by the management …” „… complaints management policy and the contact details of the complaints management function. The information …” „… management body systematically include information about the financial instruments manufactured by the firm …”

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

„… Internal AIFM are only conceivable where the legal form of the AIF permits an management of the AIF …” „… Directive and the additional management of UCITS subject to authorisation under Directive 2009/65/EC. 3 …” „… internal management of that AIF in accordance with Annex I. 4. By way of derogation from paragraph 2 …”

Article 99 a Minimum sanctioning S. 1442-1444

„… management functions in those or in other such companies; (e) in the case of a legal person, maximum …” „… annual turnover of the legal person according to the last available accounts approved by the management …” „… the last available consolidated accounts approved by the management body of the ultimate parent …”

Article 26 Replacement of depositary S. 1363-1364

„… information received with the competent authorities of the UCITS and of the management company. I. Purpose …” „… information from the fund management company to meet its obligations and forward those data to its competent …” „… II. Commentary In the context of their respective roles the management company and the depositary …”

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

„… address any deficiencies. Members of the management body shall have adequate access to information and …” „… management body and of any changes to its membership, along with all information needed to assess whether the …” „… accounting and reporting, strategic planning, risk management, compliance and internal audit, information …”

Article 12 Procedures on the notification and disclosure of major holdings S. 1156-1163

„… under Articles 9 and 10 shall include the following information: (a) the resulting situation in terms of …” „… undertaking, by its own parent undertaking. (4) The parent undertaking of a management company shall not be …” „… required to aggregate its holdings under Articles 9 and 10 with the holdings managed by the management …”

Article 66 Additional tasks vis-à-vis master’s competent authority S. 1407-1408

„… company’s competent authority to forward the information received from the management company to the feeder …” „… master UCITS. In performing that obligation, the feeder UCITS may rely on information and documents …” „… received from the master UCITS or, where applicable, its management company, depositary and auditor, unless …”

Article 110 Cross-border services through a branch; on-site inspections S. 1463-1464

„… competent authorities of the management company’s home Member State of any problem identified at the level …” „… of the UCITS which may materially affect the ability of the management company to perform its duties …” „… information closely and jointly ensure that the information necessary for monitoring compliance with the UCITS …”

Article 9 Management body S. 43-50

„… management body shall have adequate access to information and documents which are needed to oversee and …” „… information and documents which are needed to oversee and monitor management decision-making. n.a. In addition …” „… ) The initial information on the management body is already an authorisation requirement under → Art 7(2 …”

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

„… 4. Where the content of the information communicated in accordance with paragraph 1(b) is amended …” „… , the management company shall give notice of the amendment in writing to the competent authorities of …” „… the management company’s home Member State and of the management company’s host Member State before …”

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

„… information to the competent authorities of the management company’s host Member State and shall inform the …” „… , investor complaints mechanism Management companies or, where relevant, investment companies shall take …” „… their rights in the event that the management company is authorised in a Member State other than the …”

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

„… Notification re management and changes (Art 9(5) MiFID) The initial information on the management …” „… made within 10 working days after the change.” The information on the new management body member must …” „… information and requirements for the authorisation of investment firms. Art 9(5) MiFID has its own meaning …”

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

„… to competent authorities on request that natural persons giving investment advice or information …” „… competence. 2. When providing investment advice or portfolio management the investment firm shall obtain the …” „… necessary information regarding the client’s or potential client’s knowledge and experience in the …”

Article 69 Minimum content of mandatory disclosures S. 1410-1412

„… supplementary information relating to the quantitative limits that apply in the risk management of the UCITS, to …” „… establishes standard duties for investment and management companies concerning the ongoing investor disclosure …” „… . An investment or management company must publish a prospectus, an annual report for each financial …”

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

„… 6 Exemption for monetary and public debt management activities and climate policy activities 1. This …” „… public debt management policy by: (a) a Member State; (b) the members of the ESCB; (c) a ministry, agency …” „… officially designated body or by any person acting on its behalf, in pursuit of public debt management policy …”

Article 8 Conditions for granting authorisation S. 1482-1485

„… Art 7(2) lists the information to be filed by the AIFM applying for its authorisation with respect …” „… financial sector provide for in connection with licensing procedures. The AIFM must file information on the …” „… persons who effectively conduct the business of the AIFM as well as information on the identity of …”

Article 1 Scope and UCITS definition S. 1304-1317

„… ’, Zeitschrift für Bank und Kapitalmarktrecht (2011), 177-186; Bines H and Thel S, ‘Investment Management …” „… Zeitschrift für Gesellschaftsrecht 285 et seq. (2010); Moloney N, ‘Collective Asset Management: the UCITS …” „… Information Documents?’, Zeitschrift für Bankrecht und Bankwirtschaft (ZBB) 2011, 169-179; Riassetto I, ‘La …”

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

„… to this Directive. (2) The data reporting services provider shall provide all information, including …” „… ) ESMA shall develop draft regulatory technical standards to determine: (a) the information to be …” „… information included in the notifications under Article 63(3). ESMA shall submit the draft regulatory …”

Article 23 Disclosure to investors S. 1514-1517

„… ) investors upon request. It does, however, form part of the information to be provided to prospective …” „… report must include remuneration disclosures. The accounting information contained in the annual report …” „… case of non-EU AIF, the third country in which the AIF is domiciled. The accounting information must be …”

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

„… notify the relevant competent authority of the identity of all members of their respective management …” „… bodies and of any changes to its membership, along with all information needed to assess whether a market …” „… transparency of the status of a market operators’ management board and ensures that competent authorities have …”

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

„… . If a UCITS management company in a different Member State establishes a branch, the information …” „… information or documents provided by the UCITS or by the management company and, where available, on external …” „… notification, the supervision of the management company is split in a branch-based cross-border …”

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

„… information to the competent authorities of its home Member State: (a) the Member State in which it intends to …” „… the following information in addition to that referred to in paragraph 2: (a) the organisational …” „… obtained; (c) the names and contact details of the persons responsible for the management of the branch. 4 …”

Article 64 Conversion disclosures and procedures S. 1405-1407

„… rely on information and documents received from the master UCITS or, where applicable, its management …” „… following information to its unit-holders: (a) a statement that the competent authorities of the feeder …” „… ) the key investor information referred to in Article 78 concerning the feeder and the master UCITS; (c …”

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

„… , including information on principal exposures, risk concentrations, illiquid assets, liquidity management …” „… the information pursuant to Art 23 or the lack thereof remains subject to national legislation …” „… on behalf of the AIFs it manages. It shall provide information on the main instruments in which it is …”

Article 7 Conditions for authorisation S. 1328-1331

„… management (as defined in Annex I) is a regulated activity. Art 6(2) of UCITSD ensures that fund management …” „… companies are specialists. A fund management may not hold, for instance, a banking license under CRD IV or …” „… an investment firm license under MiFID. The specialist license ensures the management’s focus on …”

Article 73 Audited accounting information, reproduction of auditors’ statement in annual report S. 1414-1415

„… obligation to publish the information in the key investor information document or the annual and half-yearly …” „… reports as well. Also, changes in the minimum information referred to in Art 69(2) of UCITSD and the …” „… may be provided in a durable medium or by means of a website.1 In this case, the information should be …”

Article 26 b Implementing acts S. 1364-1365

„… According to paragraph 1, the depositary may require all information from the fund management company to …” „… details in Art 22 of Commission Delegated Regulation (EU) 2016/438). Article 26 a Information exchange …” „… with and among national competent authorities of depositary, UCITS and management company The …”

Index S. 1785-1803

„… MiFIR 35-37 1-22 Access to CCP EMIR 8 2; MiFIR 35-37 1-22 Access to information – on non-discriminatory …” „… – historical development MAR 17 12 et seq. – information to authority MAR 17 83 – intellectual property MAR …” „… – exemptions AIFMD 3 1 et seq. – family office AIFMD 5 5 – marketing of units AIFMD 31 3 – risk management …”

Article 108 Delineation of supervisory powers S. 1460-1462

„… all the information concerning the management and ownership of such management companies that is …” „… taken, even if negative. Since consumers face disincentives to sue, including information asymmetry and …” „… the authorities of the UCITS host Member States and, if the management company of a UCITS is …”

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

„… . notifications in case of a material change to any of the information submitted by the non-EU AIFM in connection …” „… communicate the following information to the competent authorities of its Member State of reference: (a) the …” „… information requested in paragraph 2, the following information: (a) the organisational structure of the …”

Article 70 Disclosures on categories and volatility of assets, risk management S. 1412-1413

„… supplementary information relating to the quantitative limits that apply in the risk management of the UCITS, to …” „… prominent statement. The management company must also provide supplementary information required under Art …” „… II. Commentary Art 69(1) and (2) of UCITSD set out a basic schedule of the information necessary …”

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

„… temporary prohibition of professional activity; (h) require authorised investment companies, management …” „… companies or depositaries to provide information; (i) adopt any type of measure to ensure that investment …” „… companies, management companies or depositaries continue to comply with the requirements of this Directive …”

Article 93 Notification procedure S. 1433-1436

„… host Member State, in particular, the right of redemption, payouts and information. Level 2 and 3 …” „… authorities of its home Member State. The notification letter shall include information on arrangements made …” „… marketed by the management company that manages the UCITS. 2. A UCITS shall enclose with the notification …”

Article 23 Third countries S. 1200-1204

„… for the delivery of information by the OAMs and a common classification of regulated information …” „… competent authority shall then inform ESMA of the exemption granted. The information covered by the …” „… shall ensure that information disclosed in a third country which may be of importance for the public in …”

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

„… unplanned change has taken place pursuant to which the AIFM’s management of the AIF no longer complies with …” „… AIFM is not compliant or its management of the AIF with the requirements of AIFMD. Material changes to …” „… the information submitted in connection with the marketing notification must be forwarded to the …”

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

„… at least an efficient exchange of information that allows the competent authorities to carry out …” „… Capital and ensures an effective exchange of information in tax matters including any multilateral tax …” „… information set out in Annex III. 4. No later than 20 working days after receipt of a complete notification …”

Article 3 Exemptions S. 1469-1471

„… linked by common management or control, or by a substantive direct or indirect holding, manage portfolios …” „… of AIFs whose assets under management, including any assets acquired through use of leverage, in …” „… , through a company with which the AIFM is linked by common management or control, or by a substantive …”

Article 68 Mandatory disclosure instruments S. 1409-1410

„… , measure, observation of non-compliance with the conditions of this Chapter or information reported …” „… pursuant to Article 106(1) with regard to the master UCITS or, where applicable, its management company …” „… the information exchange between the competent authorities. II. Overview Art 67 of UCITSD ensures the …”

Article 75 Format and availability of prospectus, annual and bi-annual reports to investors S. 1415-1416

„… II. Overview Art 73 of UCITSD imposes an audit requirement on the accounting information given in …” „… . Further harmonisation of rules against false, misleading or incomplete information, e.g. due to annual …” „… reports to competent authority of UCITS and management company UCITS shall send their prospectus and any …”

Article 5 Authorisation requirement for the fund S. 1325-1327

„… authorities of its home Member State have approved the application of the management company to manage that …” „… incorporation and the choice of depositary, and, where relevant, the application of the designated management …” „… established in the management company’s home Member State, the competent authorities of the UCITS home Member …”

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

„… Art 21 and 22, the management of non-EU AIF by EU AIFM is only permissible if appropriate cooperation …” „… arrangements on the exchange of information are in place between the competent authorities in the home Member …” „… established in order to ensure at least an efficient exchange of information, taking into account Article 50(4 …”

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

„… tasks. Information exchange is intensified in the case of cross-border fund management where the …” „… website where information concerning its members and jurisdiction is listed.2 Article 101 Cooperation and …” „… information exchange of competent authorities and ESMA; on-site visits; ESMA’s dispute resolution powers 1 …”

Article 8 Insider dealing S. 692-705

„… the client’s order is more likely to be inside information, the more defined these characteristics …” „… are.116 The price sensitivity of the information is influenced by the same factors. Evidently, only an …” „… of the information also depends on the liquidity of the market, the bid-ask spread, the execution …”

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

„… intensified coordination concerns: a) information and disclosure,1 b) timing and publication of net asset …” „… depositaries, those depositaries enter into an information-sharing agreement in order to ensure the fulfilment …” „… breach of any rules that restrict the disclosure of information or relate to data protection where such …”

Article 7 Responsibility and liability S. 1135-1137

„… responsibility for the information to be drawn up and made public in accordance with Articles 4, 5, 6 and 16 lies …” „… at least with the issuer or its administrative, management or supervisory bodies and shall ensure …” „… responsibility for periodic information disclosure lies with the issuer or its administration and that civil …”

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

„… , if any (cf. Art 2 of that regulation). – Information on the management body and persons influential …” „… . 2. The investment firm shall provide all information, including a programme of operations setting …” „… information to be provided to the competent authorities under paragraph 2 of this Article including the …”

Article 82 Submission of key investor information to UCITS competent authority; duty to keep key investor information up to date S. 1425-1426

„… , if the changes to the key investor information are the expected result of a management company’s …” „… Article 82 Submission of key investor information to UCITS competent authority; duty to keep key …” „… investor information up to date 1. UCITS shall send their key investor information and any amendments …”

Article 99 d Protection of whistleblowers S. 1445-1447

„… employees of investment companies, management companies and depositaries, who report infringements committed …” „… investment companies, management companies and depositaries referred to in paragraphs 1 and 3 shall not be …” „… considered to be an infringement of any restriction on disclosure of information imposed by contract or by …”

Article 29 Minimum capital, organisation, key people, authorisation and withdrawal of authorisation S. 1366-1369

„… designated a management company unless the investment company has a sufficient initial capital of at least …” „… EUR 300,000. In addition, when an investment company has not designated a management company …” „… company’s home Member State shall require investment companies to provide them with the information they …”

Article 9 Notification of the acquisition or disposal of major holdings S. 1140-1148

„… Chapter III Ongoing information Section I Information about major holdings Article 9 Notification …” „… attached even if the exercise thereof is suspended. Moreover this information shall also be given in …” „… , as a result of events changing the breakdown of voting rights, and on the basis of the information …”

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

„… information and requirements for the authorisation of investment firms. If a parent company is established, or …” „… . These powers include judicial orders, sanctions against directors and those responsible for management …” „… relevant information, as referred to in Article 13(4). Member States shall require any natural or legal …”

Article 10 Acquisition or disposal of major proportions of voting rights S. 1148-1155

„… common policy towards the management of the issuer in question; (b) voting rights held by a third party …” „… . Chapter III Ongoing information Art. 10 TD Wolf-Georg Ringe 1149 1 2 3 involved persons reaches …” „… specified as requiring an agreement for a ‘lasting common policy towards the management of the issuer in …”

Article 2 Definitions S. 1104-1114

„… themselves (or their local/regional authorities) from the information obligations specified in Article 18(2 …” „… 1(4) allows Member States not to require their national central banks to disclose the information …” „… the right to appoint or remove a majority of the members of the administrative, management or …”

Article 3 Integration of securities markets S. 1114-1118

„… publish periodic financial information on a more frequent basis than the annual financial reports referred …” „… financial information on a more frequent basis than the annual financial reports referred to in Article 4 …” „… : – the additional periodic financial information does not constitute a disproportionate financial burden …”

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

„… advice or portfolio management the investment firm shall obtain the necessary information regarding the …” „… 24 General principles and information to clients 1. Member States shall require that, when providing …” „… only when this is in the interest of the client. 3. All information, including marketing communications …”

Article 7 Inside information S. 673-692

„… are qualified as inside information, including decisions taken by the management body of an issuer …” „… policies, which rules out individuals pursuing private goals. Chapter 2 Inside information, insider dealing …” „… , unlawful disclosure of inside information and market manipulation Article 7 Inside information 1. For the …”

Article 74 Submission of prospectus, annual and bi-annual reports to competent authority of UCITS and management company S. 1415

„… II. Overview Art 73 of UCITSD imposes an audit requirement on the accounting information given in …” „… . Further harmonisation of rules against false, misleading or incomplete information, e.g. due to annual …” „… reports to competent authority of UCITS and management company UCITS shall send their prospectus and any …”

Article 43 Disclosures to unit-holders after merger authorisation S. 1375-1376

„… merging and receiving UCITS to provide appropriate and accurate information on the proposed merger to …” „… proposal on their investment. 2. That information shall be provided to unit-holders of the merging and of …” „… under Article 45(1). 3. The information to be provided to unit-holders of the merging and of the …”

Article 71 Disclosure of fund rules, instruments of incorporation S. 1413-1414

„… prominent statement. The management company must also provide supplementary information required under Art …” „… is likely to have a high volatility due to its portfolio composition or the portfolio management …” „… to facilitate the centralisation of information for investors. For that reason, useful corporate …”

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

„… request, provide all further information to the competent authority necessary to enable the competent …” „… information shall be available to competent authorities upon request. 11. Member States shall require that …” „… (EU) 2017/584. The self-assessment must be approved by the management body or the senior management of …”

Article 98 Powers of competent authorities; inquiry rights S. 1439-1440

„… instance, there could be one authority in charge of asset und fund management, while the other authority …” „… competent authority, in particular a group of banks or fund management associations or other private sector …” „… and receive a copy thereof; (b) require any person to provide information and, if necessary, to summon …”

Article 35 Establishment of a branch S. 227-233

„… information: (a) the Member States within the territory of which it plans to establish a branch or the Member …” „… responsible for the management of the branch or of the tied agent. Where an investment firm uses a tied agent …” „… account the activities envisaged, it shall, within three months of receiving all the information …”

Introduction and overview S. 874-881

„… Selling in Europe After the Crisis’ (2012) 8 Brigham Young University International Law & Management …” „… Review 61 (cited as “Elineau, (2012) 8 Brigham Young University International Law & Management Review 61 …” „… ), 11(3) and 16(3) SSR and contains technical standards specifying the information required for purposes …”

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

„… obligation for market operators and investment firms operating a trading venue to make public the information …” „… orders held in an order management facility of the trading venue pending disclosure; (b) actionable …” „… minimum size of orders held in an order management facility pending disclosure for which pre-trade …”

Article 12 Prudential regulation S. 1334-1336

„… to in Article 10 of Directive 2004/39/EC, mean, respectively, ‘management company’ and ‘management …” „… regulatory technical standards to establish an exhaustive list of information, as provided for in this …” „… regulation 1. Each Member State shall draw up prudential rules which management companies authorised in that …”

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

„… from EU based firms, investors may turn to information provided by US peer firms which can lead to …” „… not exclude the possibility that any additional information may be required under sectoral EU …” „… information by financial institutions.46 Finally, the operator of the regulated market is not bound by the …”

Overview of Articles 12-15 S. 908-910

„… market participants, or information that can be derived therefrom.4 Article 4 of Delegated …” „… Regulation (EU) No 826/2012 sets out the contents of this information in detail, which are the following: (a …” „… 827/2012, an NCA has to use the report format provided in Annex II to that regulation. The information has …”

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

„… transmit the notifications, including all of the information they were provided with, to ESMA.13 ESMA …” „… , including the information set out in Art 4(3).14 While the first step of the reference data collection and …” „… authority has to transmit the information each day by no later than 23.59 CET using automated processes and …”

Article 12 Assessment procedures S. 58-61

„… the possible subsequent receipt of the information referred to in paragraph 2 of this Article …” „… information that is necessary to complete the assessment. Such request shall be made in writing and shall …” „… specify the additional information needed. For the period between the date of request for information by …”

Article 33 S. 1096-1097

„… or the Council that period may be extended by one month. Article 32 1. Management companies as …” „… applies rules on the format and content of the key information document, as laid down in Articles 78 to 81 …” „… paragraph 1 of this Article shall apply to management companies, investment companies and persons advising …”

Article 44 Authorisation and applicable law S. 247-252

„… operator shall provide all information, including a programme of operations setting out, inter alia, the …” „… markets, such as the management of a regulated market and specific organisational requirements. Hence, Art …” „… operators are obliged to provide information that includes a programme of operations setting out, inter alia …”

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

„… repository and its corporate governance; the remuneration policy for the senior management, board members and …” „… staff employed in risk and control functions; the policies and procedures to management conflicts of …” „… interest; the information technology resources; and the transparency about access rules and compliance …”

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

„… notification shall comprise the documentation and information set out in Annex III. 3. No later than 20 working …” „… Member State of reference of the AIFM may prevent the marketing of the AIF only if the AIFM’s management …” „… intends to market. That notification shall comprise the documentation and information set out in Annex IV …”

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

„… , require either an authorisation under the UCITS Directive11 or for engaging in portfolio management12 …” „… they comply with equivalent conditions of independence as EU management companies and investment firms …” „… , Article 117. 12 ‘Portfolio management’ means managing portfolios in accordance with mandates given by …”

Article 99 e Reporting of penalties to ESMA S. 1447-1448

„… to ESMA 1. Competent authorities shall provide ESMA annually with aggregated information regarding …” „… all penalties and measures imposed in accordance with Article 99. ESMA shall publish that information …” „… . Where a published penalty or measure relates to a management company or investment company, ESMA shall …”

Article 17 Algorithmic trading S. 120-134

„… Member State of the investment firm may, at any time, request further information from an investment firm …” „… trading and without undue delay, communicate the information referred to in the second subparagraph that …” „… , communicate without undue delay the information referred to in the fourth subparagraph that it receives from …”

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

„… senior management, risk takers, control functions and any employee receiving total remuneration that …” „… falls within the remuneration bracket of senior management and risk takers whose professional activities …” „… have a material impact on the risk profiles of the management companies or of the UCITS that they …”

Article 79 Consistency of key investor and regulated information; liability for key investor information disclosures S. 1421-1422

„… investment policy,6 risk and reward profile,7 charges,8 past performance,9 practical information10 and …” „… investor information document. See comment on Art → 82 of UCITSD. Capter IV of Commission Regulation (EU …” „… The content may deviate from the basic rules. If information is relevant to more share classes, that …”

Article 61 Request for information S. 1661-1662

„… repository and its corporate governance; the remuneration policy for the senior management, board members and …” „… staff employed in risk and control functions; the policies and procedures to management conflicts of …” „… interest; the information technology resources; and the transparency about access rules and compliance …”

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

„… sions apply mutatis mutandis and need to be considered by the UCITS management company.1 Article 51 …” „… Risk management, exposure limits, reliance on credit rating agencies 1. A management or investment …” „… company shall employ a risk-management process which enables it to monitor and measure at any time the …”

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

„… management conflicts of interest; the information technology resources; and the transparency about access …” „… the trade repository and its corporate governance; the remuneration policy for the senior management …” „… Regulation (EU) No 1248/2012, in order to facilitate the identification of information submitted by a trade …”

Article 83 Borrowing limits S. 1426-1427

„… key investor information are the expected result of a management company’s decision, the revised key …” „… investor information shall be made available even before the change comes into effect.3 This shall enable …” „… information on request. Hence, in this case as well an updated version should be available to existing …”

Article 39 Establishment of a branch S. 237-239

„… terrorism; (b) cooperation arrangements, that include provisions regulating the exchange of information for …” „… management of the branch and they all comply with the requirement laid down in Article 9(1); (e) the third …” „… OECD Model Tax Convention on Income and on Capital and ensures an effective exchange of information in …”

Article 10 Changes in the scope of the authorisation S. 1486-1487

„… the assets under management, Art 9(4) provides that the AIFM must also take into consideration AIFs …” „… where it is the AIFM but for which it has delegated the portfolio management to third parties whereas …” „… the information provided in accordance with Article 7. 2. If the competent authorities of the home …”

Article 79 Operational reliability S. 1675-1676

„… information. 2. A trade repository shall maintain and operate effective written organisational and …” „… senior management and members of the board of a trade repository shall be of sufficiently good repute and …” „… experience so as to ensure the sound and prudent management of the trade repository. 7. A trade repository …”

Article 47 Organisational requirements S. 264-268

„… apply the same criteria to the refusal as applies to the decision regarding the management body …” „… reputation poses a risk that the person will interfere with the operation and management of the market. On …” „… threat to the prudent management of the market if he or she interferes and has no market-specific …”

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

„… information at Union level [2016] OJ L234/1. 9 ESMA Management Board, Summary of Conclusions, ESMA22-106-467 …” „… . Article 22 Access to regulated information at Union level (1) ESMA shall develop draft regulatory …” „… technical standards setting technical requirements regarding access to regulated information at Union level …”

Article 8 Withdrawal of authorisations S. 41-43

„… access to information and documents which are needed to oversee and monitor management decision-making …” „… or its management. In this respect, the withdrawal for reasons specified in that provision is …” „… . Article 9 Management body 1. Competent authorities granting the authorisation in accordance with Article …”

Article 9 Legitimate behaviour S. 705-711

„… the mere fact that a management buy-out is planned. The information, accordingly, has to be disclosed …” „… from the mere fact that a legal person is or has been in possession of inside information that that …” „… person has used that information and has thus engaged in insider dealing on the basis of an acquisition …”

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

„… management and which does not create incentives to relax risk standards. 6. A CCP shall maintain information …” „… emergency situations referred to in Article 24, based on the available information at the time. Article 24 …” „… ESMA. The applicant CCP shall provide ESMA with all information necessary for its recognition. Within …”

Article 30 S. 1095-1096

„… that legal entity according to the last available financial statements approved by the management body …” „… and information exchanges between national competent authorities and the competent ESAs. Article 29 …” „… or the Council that period may be extended by one month. Article 32 1. Management companies as …”

Article 4 Waivers for equity instruments S. 408-417

„… public their information on bid and offer prices and the depth of trading interests to those investment …” „… trading venue to make public the information referred to in Article 3(1) for: (a) systems matching orders …” „… ) orders that are large in scale compared with normal market size; (d) orders held in an order management …”

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

„… Coordination of national position management measures and position limits by ESMA (1) ESMA shall perform a …” „… Directive 2014/65/EU, and the reasons therefor. Article 45 Position management powers of ESMA (1) In …” „… relevant information regarding the size and purpose of a position or exposure entered into via a derivative …”

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

„… relation to information about issuers whose securities are admitted to trading on a regulated market, and …” „… ) security issuers are subject to periodic and ongoing information requirements ensuring a high level of …” „… State may request information, in writing, from a natural or legal person operating under the exemptions …”

Article 77 Recognition of trade repositories S. 1673-1675

„… (a) a mechanism for the exchange of information between ESMA and any other Union authorities that …” „… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …” „… information on derivatives contracts held in Union trade repositories that these authorities need to fulfil …”

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

„… the mere fact that a management buy-out is planned. The information, accordingly, has to be disclosed …” „… acquisition or repurchase and does not alter its strategy in reaction to inside information obtained after the …” „… initial decision to (re-)purchase the securities was made.36 On the other hand, management buyouts are not …”

Article 48 Consequences of merger S. 1377-1380

„… cases where UCITS have not designated a management company, Member States shall ensure that any legal …” „… management company of the receiving UCITS confirms to the depositary of the receiving UCITS that transfer of …” „… management company, it shall give that confirmation to the depositary of the receiving UCITS. I. General …”

Article 2 Scope S. 1467-1469

„… AIFMD also contains provisions governing the provision of asset management services by non-EU AIFM in …” „… this respect, AIFMD captures both the management of European AIF by EU AIFM as well as the management …” „… of AIF domiciled in third countries by EU AIFM. Furthermore, AIFMD regulates the management of EU AIF …”

Article 107 Reasoning of negative decisions; standing to sue of consumer protection agencies S. 1459-1460

„… II. Commentary Art 106(1) of UCITSD imposes a duty on the auditor of the UCITS, the management …” „… submission of an application for authorisation which provides all the information required. 3. Member States …” „… , including information asymmetry and lack of expertise, Art 107(3) of UCITSD ensures that consumer protection …”

Article 11 Annual financial reports S. 1155-1156

„… harmonisation of transparency requirements 50. Chapter III Ongoing information Art. 11 TD Wolf-Georg Ringe …” „… ) The notification required under Articles 9 and 10 shall include the following information: (a) the …” „… undertaking, by its own parent undertaking. (4) The parent undertaking of a management company shall not be …”

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

„… counterparties shall have risk-management procedures that require the timely, accurate and appropriately …” „… 16 August 2012. Non-financial counterparties referred to in Article 10 shall have risk-management …” „… Reporting of OTC Derivates Art. 11 EMIR Paola Lucantoni 1603 8 9 (a) the risk-management procedures of the …”

Article 13 Assessment S. 61-63

„… with regard to regulatory technical standards for an exhaustive list of information to be included by …” „… firm. Commission Delegated Regulation (EU) 2017/1946 provides extensive catalogues of information to be …” „… notification provided for in Article 11(1) and the information referred to in Article 12(2), the competent …”

Article 7 Minimum information S. 987-990

„… as set out in the Prospectus Directive. Article 7 Minimum information 1. Detailed delegated acts …” „… regarding the specific information which must be included in a prospectus, avoiding duplication of …” „… information when a prospectus is composed of separate documents, shall be adopted by the Commission in …”

Article 4 Definitions S. 22-34

„… proprietary capital at prices defined by that person; (8) ‘portfolio management’ means managing portfolios in …” „… defined in point (1) of Article 4(1) of Regulation (EU) No 575/2013; (28) ‘UCITS management company’ means …” „… a management company as defined in point (b) of Article 2(1) of Directive 2009/65/EC of the European …”

Article 9 Method of notification and disclosure S. 903-906

„… . The notification of information to a relevant competent authority shall ensure the confidentiality of …” „… the information and incorporate mechanisms for authenticating the source of the notification. 4. The …” „… public disclosure of information set out in Article 6 shall be made in a manner ensuring fast access to …”

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

„… compared to larger issuers and should disclose sufficient information for investors to take their …” „… across the EU. The minimum information and format of an EU Growth prospectus has not been defined yet …” „… the information given in a prospectus attaches at least to the issuer or its administrative …”

Article 2 Definitions S. 624-627

„… Directive 2012/30/EU of the European Parliament and of the Council (9); (4) ‘inside information’ means …” „… information within the meaning of Article 7(1) to (4) of Regulation (EU) No 596/2014; (5) ‘emission allowance …” „… activities in the pursuit of monetary, exchange rate or public debt management policy, the EU’s climate …”

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

„… companies, UCITS and their management companies, pension funds and their management companies, other …” „… eligible counterparties, primarily in relation to information obligations: Investment firms must (a) act …” „… specifying the conditions for fair, clear and not misleading information) do not apply to eligible …”

Article 59 Exemption procedure regarding feeder’s investments into master S. 1398-1399

„… feeder’s management company as well as the depositary can be the same entity. The UCITSD must provide …” „… and the master UCITS; (b) the prospectus and the key investor information referred to in Article 78 of …” „… internal conduct of business rules referred to in Article 60(1); (d) where applicable, the information to …”

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

„… European passport. Art 91(3) of UCITSD ensures that management companies can know and meet other applicable …” „… provides a list of information to be provided by the host Member State. Art 91(4) of UCITSD clarifies that …” „… payments to unit-holders, repurchasing or redeeming units and making available the information which UCITS …”

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

„… plays an increasingly important role in markets which rely on digital information. ESMA has stated that …” „… it is ‘of the opinion that information security is not always adequately considered in outsourcing …” „… event of a decision to discontinue a credit rating, the information disclosed shall include full reasons …”

Article 25 Use of information by competent authorities, supervisory cooperation and limits to leverage S. 1519-1521

„… Use of information by competent authorities, supervisory cooperation and limits to leverage 1. Member …” „… information to be gathered under Article 24 for the purposes of identifying the extent to which the use of …” „… State of the AIFM shall ensure that all information gathered under Article 24 in respect of all AIFMs …”

Article 31 Marketing of units or shares of EU AIFs in the home Member State of the AIFM S. 1529-1530

„… that it intends to market. That notification shall comprise the documentation and information set out …” „… management of the AIF does not or will not comply with this Directive or the AIFM otherwise does not or will …” „… AIFM’s management of the AIF would no longer comply with this Directive or the AIFM would otherwise no …”

Article 60 Relationship between feeder and master S. 1399-1401

„… (f) if the master UCITS and the feeder UCITS have different auditors, the information …” „… UCITS with all documents and information necessary for the latter to meet the requirements laid down in …” „… both master and feeder UCITS are managed by the same management company, the agreement may be replaced …”

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

„… remuneration and the expenditure which a management company is empowered to charge to a common fund and the …” „… field governed by this Directive. 3. Member States shall ensure that complete information on the laws …” „… electronic means. Member States shall ensure that that information is available in a language customary in …”

Article 8 Exemptions S. 1137-1140

„… ibid 54. Chapter II Periodic information Art. 8 TD Wolf-Georg Ringe 1137 I. General features …” „… Purpose This provision exempts a number of issuers from the scope of the periodic information obligation …” „… Article 8 deepens the principle that periodic information requirements do not apply to them. Along the …”

Article 40 Obligation to provide information S. 239-240

„… requirements for the branch leadership, – a tax information exchange treaty (following the standard of Article …” „… Obligation to provide information A third-country firm intending to obtain authorisation for the provision of …” „… , registered office and address, members of the management body, relevant shareholders) and a programme of …”

Article 21 Depositary S. 1504-1512

„… Special requirements apply under Art 20 (2), (5) to the delegation of the portfolio management or …” „… risk management. Neither the portfolio management, nor the risk management may be delegated to the …” „… shall, inter alia, regulate the flow of information deemed necessary to allow the depositary to perform …”

Article 32 S. 1096

„… or the Council that period may be extended by one month. Article 32 1. Management companies as …” „… applies rules on the format and content of the key information document, as laid down in Articles 78 to 81 …” „… paragraph 1 of this Article shall apply to management companies, investment companies and persons advising …”

Article 31 S. 1096

„… or the Council that period may be extended by one month. Article 32 1. Management companies as …” „… applies rules on the format and content of the key information document, as laid down in Articles 78 to 81 …” „… paragraph 1 of this Article shall apply to management companies, investment companies and persons advising …”

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

„… with Arts 6, 10 and 26 of MiFIR. TITLE IV POSITION LIMITS AND POSITION MANAGEMENT CONTROLS IN COMMODITY …” „… Derivatehandel’, Recht der Finanzinstrumente 2015, 92. Article 57 Position limits and position management …” „… trades commodity derivatives apply position management controls. Those controls shall include at least …”

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

„… objective and consistent with the risk management policy and procedures of the systematic internaliser.5 …” „… Part of any risk management policy must be a policy for identifying the number or volume of orders that …” „… management policies and procedures for the purposes of this section are those referred to in Art 23 of the …”

Article 62 Withdrawal of authorisations S. 341

„… members of its management body and of any changes to its membership, along with all information needed to …” „… . Article 63 Requirements for the management body of a data reporting services provider (1) Member States …” „… shall require that all members of the management body of a data reporting services provider shall at all …”

Article 97 Appointment and qualifications of competent authorities S. 1438-1439

„… authority, for instance, there could be one authority in charge of asset und fund management, while the …” „… functioning as a competent authority, in particular a group of banks or fund management associations or other …” „… and receive a copy thereof; (b) require any person to provide information and, if necessary, to summon …”

Article 11 Qualifying holdings S. 1333-1334

„… authorities of the management company’s home Member State shall require that the management company which they …” „… (2). The own funds of a management company shall not fall below the level specified in Article 7(1)(a …” „… supervision of a management company shall be the responsibility of the competent authorities of the management …”

Article 14 S. 1174-1176

„… own shares is crucial for investors, as information on management access to large blocks is important …” „… the issuer’s own shares at the 5 and 10 % levels. The information about a significant position in its …” „… since own shares may serve as a management entrenchment device and may artificially inflate the share …”

Article 13 Delegation S. 1336-1337

„… Paragraph 2 provides two requirements for UCITS management companies that simultaneously provided …” „… discretionary portfolio management.1 On the one hand, such management companies are not permitted to invest all …” „… or part of an investor’s portfolio in fund units the management company manages itself, unless it …”

Article 5 Notification to competent authorities of significant net short positions in shares S. 895-897

„… information on net short positions reported to them to ESMA (Art 11 SSR). The transparency regime laid down in …” „… notifying persons and further promote transparency by facilitating the access to the information.9 Article 5 …” „… mn 14. 3 This is because disclosure of such information to the market could have a detrimental effect …”

Chapter 3 Prudential requirements S. 1643-1653

„… Prudential requirements Article 40 Exposure management A CCP shall measure and assess its liquidity and …” „… is declared or triggered. The competent authority shall promptly communicate that information to ESMA …” „… . Any balance owed by the CCP after the completion of the clearing member’s default management process …”

Article 19 Managers’ transactions S. 808-824

„… issuer’s shares or debt instruments exceed the thresholds in point (a) or (b). If information regarding the …” „… person shall make all reasonable efforts to avail themselves of that information. (2) For the purposes of …” „… ensure that the information that is notified in accordance with paragraph 1 is made public promptly and …”

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

„… concluded. That information shall be made public through an APA. 2. Each individual transaction shall be …” „… made public once through a single APA. 3. The information which is made public in accordance with …” „… regulatory technical standards in such a way as to enable the publication of information required under …”

Article 24 S. 1091-1092

„… for, and the nature of, the infringement; (d) an order prohibiting the provision of a key information …” „… of a new version of a key information document; (e) administrative fines of at least: (i) in the case …” „… management body, or – up to twice the amount of the profits gained or losses avoided because of the …”

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

„… , investor complaints mechanism Management companies or, where relevant, investment companies shall take …” „… their rights in the event that the management company is authorised in a Member State other than the …” „… language or one of the official languages of their Member State. Management companies shall also establish …”

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

„… markets, 2017, p. 8. For further information on the transparency regime under MiFID I see Kumpan …” „… may not display any information regarding the amount of securities offered within their systems, the …” „… negotiated waiver in Art 18(1)(b), the order management facility waiver in Art 18(2), the …”

Article 65 Feeder’s monitoring obligation; attribution of fees and benefits to feeder S. 1407

„… master UCITS. In performing that obligation, the feeder UCITS may rely on information and documents …” „… received from the master UCITS or, where applicable, its management company, depositary and auditor, unless …” „… , its management company, or any person acting on behalf of either the feeder UCITS or the management …”

Article 69 Supervisory powers S. 358-362

„… to avoid conflict of interest and so that information obtained from carrying out the delegated tasks …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …” „… or demand the provision of information from any person and if necessary to summon and question a …”

Article 66 Organisational requirements S. 351-357

„… (a) the means by which the CTP may comply with the information obligation referred to in paragraphs …” „… 1 and 2; (b) the content of the information published under paragraphs 1 and 2; (c) the financial …” „… shall require an ARM to have adequate policies and arrangements in place to report the information …”

I. General features S. 1628

„… maintain a clear separation between the reporting lines for risk management and those for the other …” „… sound and effective risk management and which does not create incentives to relax risk standards. 6. A …” „… CCP shall maintain information technology systems adequate to deal with the complexity, variety and …”

Article 30 Asset stripping S. 1527-1529

„… The additional information that must be included in either or both annual reports is prescribed by …” „… development; and (iii) information on acquisitions of own shares. In parallel to the information to employees …” „… that it intends to market. That notification shall comprise the documentation and information set out …”

Article 78 General requirements S. 1675

„… information. 2. A trade repository shall maintain and operate effective written organisational and …” „… senior management and members of the board of a trade repository shall be of sufficiently good repute and …” „… experience so as to ensure the sound and prudent management of the trade repository. 7. A trade repository …”

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

„… Coordination of national position management measures and position limits by ESMA (1) ESMA shall perform a …” „… Directive 2014/65/EU, and the reasons therefor. Article 45 Position management powers of ESMA (1) In …” „… relevant information regarding the size and purpose of a position or exposure entered into via a derivative …”

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

„… management companies when entering OTC financial derivative transactions that are centrally cleared under …” „… regimes. II. Overview Art 50 a of UCITSD shall ensure sound risk management procedures and alignment of …” „… considered by the UCITS management company.1 Article 51 Risk management, exposure limits, reliance on credit …”

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

„… ): (a) an investment company; (b) a management company or depositary acting on behalf of a common fund …” „… management company is empowered to charge to a common fund and the method of calculation of such remuneration …” „… . Member States shall ensure that complete information on the laws, regulations and administrative …”

Article 20 Delegation S. 1502-1504

„… sufficiently experienced; (c) where the delegation concerns portfolio management or risk management, it must be …” „… conferred only on undertakings which are authorised or registered for the purpose of asset management and …” „… management or risk management and is conferred on a third-country undertaking, in addition to the …”

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

„… to perform jointly with the AIFM the compliance function to the extent the AIFM’s management or …” „… intends to market. That notification shall comprise the documentation and information set out in Annex III …” „… of the AIF only if the AIFM’s management of the AIF does not or will not comply with this Directive …”

Article 18 Entry into force S. 1784-1785

„… benchmarks MiFIR 35-37 1-22 Access to CCP EMIR 8 2; MiFIR 35-37 1-22 Access to information – on …” „… – historical development MAR 17 12 et seq. – information to authority MAR 17 83 – intellectual property MAR …” „… – exemptions AIFMD 3 1 et seq. – family office AIFMD 5 5 – marketing of units AIFMD 31 3 – risk management …”

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 …” „… ; (g) all members of its management body and senior management, shall, at all times, be of sufficiently …” „… good repute, possess sufficient knowledge, skills and experience; (h) its management body shall possess …”

Article 28 b Sanctioning powers S. 1219-1222

„… the issuer to make public, within the required time limit, information required under the national …” „… requirements to publish information under Articles 14 and 16. Further, all violations of voting rights …” „… annual accounts approved by the management body; where the legal entity is a parent undertaking or a …”

Article 13 a Aggregation S. 1172-1174

„… . 3 Directive 2013/50/EU, recital 12. 4 ESMA, Q&A, Q20. Chapter III Ongoing information Art. 13 a …” „… information about a significant position in its own shares is crucial for investors, as information on …” „… management access to large blocks is important and as own shares and share buybacks are generally …”

Overview of Articles 5-11 S. 894-895

„… International Law & Management Review 61, 70-77; Howell, (2015) 12 European Company Law 79 et seq.; Payne, (2012 …” „… NCAs are required to provide information on net short positions reported to them to ESMA (Art 11 SSR …” „… transparency by facilitating the access to the information.9 Article 5 Notification to competent authorities of …”

Article 28 Administrative measures and sanctions S. 1216-1219

„… in national law, to the members of administrative, management or supervisory bodies of the legal …” „… , management or supervisory bodies’. For most purposes, this means the company’s board members, be it a one …” „… ) failure by the issuer to make public, within the required time limit, information required under the …”

Article 6 Public disclosure of significant net short positions in shares S. 897-899

„… requires ‘management entities’ to report, which includes mere divisions, units or departments of a legal …” „… for management activities and legal entities within a group.7 However, these rules create the risk of …” „… Purpose The disclosure requirement in Art 6 SSR is intended to provide useful information to other market …”

Article 77 Marketing communications S. 1417-1418

„… contains specific information about a UCITS shall make no statement that contradicts or diminishes the …” „… significance of the information contained in the prospectus and the key investor information referred to in …” „… Article 78. It shall indicate that a prospectus exists and that the key investor information referred to …”

Article 14 Conflicts of interest S. 1492-1493

„… must contain information on the total remuneration that the AIFM paid to its staff, the number of …” „… management and members of staff who have a material impact on the risk profile of the AIFM Article 14 …” „… generally follow the pattern of related European legislation on investment firms and UCITS management …”

Article 3 Insider dealing, recommending or inducing another person to engage in insider dealing S. 627-628

„… inside information as a result of: (a) being a member of the administrative, management or supervisory …” „… , insider dealing arises where a person possesses inside information and uses that information by acquiring …” „… , financial instruments to which that information relates. 2. This Article applies to any person who possesses …”

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

„… Article 102 Professional secrecy and confidentiality; supervisory cooperation and information …” „… obligation of professional secrecy. Such obligation implies that no confidential information which those …” „… , save in summary or aggregate form such that UCITS, management companies and depositaries (undertakings …”

Article 34 Publication of decisions S. 869-874

„… implementing technical standards to determine the procedures and forms for exchange of information as referred …” „… regarding the forms and procedures for submitting information to ESMA on administrative or criminal …” „… competent authorities exchanging information with the European Securities Market Authority as referred to in …”

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

„… (a) to prevent any other CCP or trading venue from obtaining access to such information or rights …” „… standards to specify: (a) the information through licensing to be made available under paragraph 1(a) for …” „… , including confidentiality of information provided; (c) the standards guiding how a benchmark may be proven …”

Article 94 Same disclosures as in UCITS home state S. 1436-1437

„… information and documents which it is required pursuant to Chapter IX to provide to investors in its home …” „… Member State. Such information and documents shall be provided to investors in compliance with the …” „… following provisions: (a) without prejudice to the provisions of Chapter IX, such information or documents …”

Article 3 Short and long positions S. 888-892

„… publicly available information as to the composition of the relevant index or basket of securities, or of …” „… or long position, no person shall be required to obtain any real-time information as to such …” „… 5 when different entities in a group have long or short positions or for fund management activities …”

Article 72 Obligation to keep prospectus up to date S. 1414

„… obligation to publish the information in the key investor information document or the annual and half-yearly …” „… reports as well. Also, changes in the minimum information referred to in Art 69(2) of UCITSD and the …” „… may be provided in a durable medium or by means of a website.1 In this case, the information should be …”

Article 7 Rating analysts, employees and other persons involved in the issuing of credit ratings S. 1261-1263

„… confidential information and non-disclosure,5 not to engage in corruption (soliciting or accepting money, gifts …” „… management position in a rated entity or related third party within six months.8 The purpose of the latter …” „… thorough analysis of all the information that is available to it and that is relevant to its analysis …”

Article 13 Remuneration S. 1489-1492

„… 2. Each AIFM the authorisation of which also covers the discretionary portfolio management service …” „… in portfolio management, namely investment firms engaging in discretionary asset management under the …” „… European Markets in Financial Instruments Directive (“MiFID”) as well as UCITS management companies. Art …”

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

„… position management measures and position limits by ESMA (1) ESMA shall perform a facilitation and …” „… 2014/65/EU, and the reasons therefor. Article 45 Position management powers of ESMA (1) In accordance with …” „… satisfied, take one or more of the following measures: (a) request from any person all relevant information …”

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

„… those of the master UCITS, the management company and the depositary of the feeder UCITS about any …” „… information-sharing agreement in order to ensure the fulfilment of the duties of both auditors, including the …” „… restrict the disclosure of information or relate to data protection where such rules are provided for in a …”

Article 111 Technical amendments by European Commission S. 1464

„… company’s home Member State may, after informing the competent authorities of the management …” „… on-the-spot verification of the information referred to in Article 109. 2. Paragraph 1 shall not affect the …” „… right of the competent authorities of the management company’s host Member State, in discharging their …”

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

„… the dissemination of regulated information. Concerning the former, the Commission has made ample use …” „… added new powers for ‘rules to ensure the interoperability of the information and communication …” „… technologies’ used by the OAMs and ‘access to regulated information at the Union level, referred to therein …”

Article 5 The prospectus S. 974-984

„… 8(2), the prospectus shall contain all information which, according to the particular nature of the …” „… to such securities. This information shall be presented in an easily analysable and comprehensible …” „… form. 2. The prospectus shall contain information concerning the issuer and the securities to be …”

Article 11 General and periodic disclosures S. 1280-1281

„… rating process, and whether the rating agency had access to books, management or other relevant internal …” „… rating agency shall fully disclose to the public and update immediately information relating to the …” „… make available in a central repository established by ESMA information on its historical performance …”

Article 106 S. 617-618

„… the FRUG9 entrusted the power to decide upon listing to the ‘Geschäftsführung’ (management board) of …” „… respect to the decision on admission to official listing), Art 16 (with respect to information requests …” „… shall exchange any information useful for that purpose. I. General features Article 106 (previously Art …”

Article 81 Transparency and data availability S. 1676-1678

„… systems shall be reliable and secure and have adequate capacity to handle the information received …” „… 1. A trade repository shall ensure the confidentiality, integrity and protection of the information …” „… promptly record the information received under Article 9 and shall maintain it for at least 10 years …”

Introduction S. 1563-1574

„… Perspectives 22; Braithwaite J and Murphy D, ‘Central Counterparties (CCPs) and the law of default management …” „… derivatives Markets, Netting, Asymmetric Information and Sharing of Default Risk through a Central …” „… , Asymmetric Information and Sharing of Default Risk through a Central Counterparty? (2009), available at …”

Article 33 Review S. 1228-1229

„… quarterly financial reporting and statements by the management of issuers. The Commission integrated these …” „… /EC on the harmonisation of transparency requirements in relation to information about issuers whose …” „… investors and information intermediaries at a pan-European level to financial information disclosed by small …”

Article 84 Consultation prior to authorisation S. 383-384

„… provided for in Article 80; or (b) to exchange information as provided for in Article 81. 2. In the …” „… 1095/2010, without prejudice to the possibilities for refusing to act on a request for information provided …” „… supervisory activity as provided for in Article 84 or to exchange information as provided for in Article 81 …”

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 the management and marketing activities performed by the AIFM under this Directive together with …” „… justification by the AIFM of its assessment regarding the Member State of reference and with information on the …” „… established in order to ensure at least an efficient exchange of information that allows the competent …”

Article 88 Prohibition to guarantee loans S. 1429-1430

„… management company is not free to determine the payouts of profits. Fund documents tend to specify whether …” „… the UCITS is retaining profits or paying out profits. This is important information for investors due …” „… ; (b) a management company or depositary acting on behalf of a common fund. 2. Paragraph 1 shall not …”

Articles 27 to 31 S. 934-937

„… of ESMA’s opinions, Elineau, (2012) 8 Brigham Young University International Law & Management Review …” „… , (2012) 8 Brigham Young University International Law & Management Review 61, 84: “[R]equiring stricter …” „… information between the Commission, ESMA and the NCAs of the other Member States. Powers of competent …”

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

„… recommendation needs to include a reference to the place where the information regarding the producer of the …” „… and transparent way. This is the result of the broad definition of inside information under MAR.59 …” „… information in the media For the purposes of Article 10, Article 12(1)(c) and Article 20, where information is …”

Article 5 Volume Cap Mechanism S. 417-423

„… Order management facility waiver (Art 4(1)(d) MiFIR) Under Art 4(1)(d) MiFIR, a waiver is available for …” „… orders held in an order management facility of a trading venue pending disclosure. Such orders are …” „… information specified in paragraph 4 in respect of those financial instruments where 3,75 % has been exceeded …”

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

„… competent authorities in the host state is required. Material changes to the information submitted in …” „… in order to ensure at least an efficient exchange of information that allows competent authorities of …” „… , the management of non-EU AIF by EU AIFM is only permissible if appropriate cooperation arrangements on …”

Article 29 Obligations of investment firms when appointing tied agents S. 205-207

„… firms do not withhold price-relevant information, embodied in the terms of an unexecuted client limit …” „… information regarding the proposed service to the client or potential client. Member States may decide that …” „… and their management companies, pension funds and their management companies, other financial …”

Chapter 2 Conduct of business rules S. 1637-1643

„… accordance with the best interests of such clearing members and clients and sound risk management. 2. A CCP …” „… met on an ongoing basis and shall have timely access to the information relevant for such assessment …” „… . The CCP’s rules for clearing members shall allow it to gather relevant basic information to identify …”

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

„… company’s home Member State may, after informing the competent authorities of the management …” „… on-the-spot verification of the information referred to in Article 109. 2. Paragraph 1 shall not affect the …” „… right of the competent authorities of the management company’s host Member State, in discharging their …”

Article 78 Mandatory key investor information document for each UCITS; format and content of key investor information document S. 1418-1421

„… Section 3 Key investor information Article 78 Mandatory key investor information document for each …” „… UCITS; format and content of key investor information document 1. Member States shall require that an …” „… investment company and, for each of the common funds it manages, a management company draw up a short …”

Article 34 S. 1097-1099

„… disclosure of product information requirements, whether to propose a new legislative act guaranteeing …” „… appropriate disclosure of product information requirements for those products or whether to include pension …” „… technical standards. Article 32 contains an exemption for certain management companies2 and investment …”

Article 22 Annual report S. 1512-1514

„… Directive 2004/109/EC only such additional information referred to in paragraph 2 needs to be provided to …” „… ; (c) a report on the activities of the financial year; (d) any material changes in the information …” „… amount of remuneration broken down by senior management and members of staff of the AIFM whose actions …”

Article 47 Equivalence decision S. 566-571

„… appropriate requirements applicable to shareholders and members of their management body; (c) firms providing …” „… specify at least: (a) the mechanism for the exchange of information between ESMA and the competent …” „… authorities of third countries concerned, including access to all information regarding the non-Union firms …”

Article 29 S. 1093-1095

„… information regarding all administrative sanctions and measures imposed in accordance with Article 22 and …” „… Article 24(2). 3. The ESAs shall publish the information referred to in this Article in their annual …” „… decision. The publication shall include at least the following information: (a) the type and nature of the …”

Article 27 S. 1092-1093

„… last available consolidated financial statements approved by the management body of the ultimate parent …” „… , the PRIIP to issue a direct communication to the retail investor concerned, giving them information …” „… , provide the competent ESA with aggregate information regarding all administrative sanctions and measures …”

Article 32 Reporting of infringements S. 865-868

„… stages of the procedure without prejudice to disclosure of information being required by national law in …” „… States may provide for financial incentives to persons who offer relevant information about potential …” „… other pre-existing legal or contractual duties to report such information, and provided that the …”

Article 87 Issue of unit equivalent to net asset value S. 1429

„… management company is not free to determine the payouts of profits. Fund documents tend to specify whether …” „… the UCITS is retaining profits or paying out profits. This is important information for investors due …” „… ; (b) a management company or depositary acting on behalf of a common fund. 2. Paragraph 1 shall not …”

Article 86 Distribution and reinvestments of income S. 1429

„… management company is not free to determine the payouts of profits. Fund documents tend to specify whether …” „… the UCITS is retaining profits or paying out profits. This is important information for investors due …” „… ; (b) a management company or depositary acting on behalf of a common fund. 2. Paragraph 1 shall not …”

Article 9 Initial capital and own funds S. 1485-1486

„… adopted pursuant to paragraph 9, this Article shall not apply to AIFMs which are also UCITS management …” „… 250 million, up to a cap of EUR 10 million. For purposes of calculating the assets under management …” „… which it has delegated the portfolio management to third parties whereas AIF of other AIFM which the …”

Article 100 Consumer complaints and alternative dispute resolution S. 1448-1449

„… from suing the management company and the depositary. This is particularly true for small claims since …” „… laws of the Member States. FIN-NET runs a website where information concerning its members and …” „… jurisdiction is listed.2 Article 101 Cooperation and information exchange of competent authorities and ESMA …”

Article 67 Designation of competent authorities S. 357-358

„… & Management 459. Article 67 Designation of competent authorities 1. Each Member State shall designate the …” „… a manner as to avoid conflict of interest and so that information obtained from carrying out the …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …”

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

„… ). Commission Delegated Regulation (EU) (RTS 27):3 Art 3 (Publication of information on execution venue and …” „… information for continuous auction order book and continuous quote driven execution venues) and Art 8 …” „… (Additional information for request for quote execution venues). Level 3: ESMA, Q&A on MiFID II and MiFIR …”

Article 2 Definitions S. 396-403

„… out to hold or manage official foreign reserves of a Member State or the reserve management service …” „… management of its own funds, (b) for administrative purposes or for the staff of the ESCB member including …” „… links as defined in Article 4(1)(35) of Directive 2014/65/EU; (22) ‘management body’ means a management …”

Article 2 Definitions S. 1576-1578

„… undertaking authorised in accordance with Directive 2005/68/EC, a UCITS and, where relevant, its management …” „… transparency requirements in relation to information about issuers whose securities are admitted to trading on …” „… ) of that Directive, or which makes it possible to exercise a significant influence over the management …”

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

„… single document so long as it complies with all corresponding requirements.48 When portfolio management …” „… client information transmitted by the latter investment firm. The investment firm which mediates the …” „… instructions will remain responsible for the completeness and accuracy of the information transmitted. 43 Art …”

Articles 21 to 25 a S. 1288-1291

„… regard to regulatory technical standards on information for registration and certification of credit …” „… presentation of the information that credit rating agencies make available to the European Securities and …” „… and Recommendations, Guidelines on periodic information to be submitted by Credit Rating Agencies, 23 …”

Article 73 Reporting of infringements S. 373-375

„… – will likely be committed in secrecy, the competent authorities often depend on private information to …” „… of information on an infringement to actors or entities outside the company, of which reporting to an …” „… require the anonymity of the reporting person and the erection of insulating “information walls”.2 …”

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

„… infringement, from exercising management functions in investment firms; (f) in the event of repeated …” „… exercising management functions in investment firms; (g) a temporary ban of a person discharging managerial …” „… the last available accounts approved by the management body, or in the Member States whose currency is …”

Article 29 Publication of decisions S. 1223-1226

„… imposed for a breach of this Directive without undue delay, including at least information on the type and …” „… include information to that effect in the publication at the time of the publication or to amend the …” „… information or disclosure subject, not covered by the TD (for example, intention disclosure), Article 29 would …”

Article 11 Withdrawal of the authorisation S. 1487-1488

„… the conditions for initial authorisations. This relates to the information specified in Art 7 AIFMD …” „… qualifying holdings in the AIFM because such information forms part of the mandatory information for the …” „… with Directive 2006/49/EC if its authorisation also covers the discretionary portfolio management …”

Article 106 Reporting of auditors to competent authorities S. 1458-1459

„… on-the-spot verifications and investigations and the exchange of information between competent authorities, OJ …” „… restriction on disclosure of information imposed by contract or by any legislative, regulatory or …” „… II. Commentary Art 106(1) of UCITSD imposes a duty on the auditor of the UCITS, the management …”

Article 26 Right of appeal S. 1030-1031

„… regimes which make, at least, an issuer or its administrative, management or supervisory bodies, an …” „… may be, responsible for the information given in a prospectus. In general, sanctions apply to a broad …” „… information in a prospectus, omitting material information from a prospectus, selling securities to the public …”

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

„… in the management of another entity of the same group. They shall exchange all information regarding …” „… to provide the information necessary for the monitoring of their compliance with the standards set by …” „… market concerned. Article 87 Cooperation and exchange of information with ESMA 1. The competent …”

Article 90 Fees S. 1431

„… remuneration and the expenditure which a management company is empowered to charge to a common fund and the …” „… field governed by this Directive. 3. Member States shall ensure that complete information on the laws …” „… electronic means. Member States shall ensure that that information is available in a language customary in …”

Article 58 Definitions, investment limits, exemptions S. 1397-1398

„… different entities, the master’s and the feeder’s management company as well as the depositary can be the …” „… information referred to in Article 78 of the feeder and the master UCITS; (c) the agreement between the feeder …” „… applicable, the information to be provided to unit-holders referred to in Article 64(1); (e) if the master …”

Article 22 S. 1090-1091

„… relation to a key information document (‘KID’) receive a substantive reply in a timely and proper manner.3 …” „… infringement; (d) an order prohibiting the provision of a key information document which does not comply with …” „… information document; (e) administrative fines of at least: (i) in the case of a legal entity: – up to EUR 5 …”

Article 17 Access to quotes S. 463-465

„… mn 18 above for more information. Article 16 Obligations of competent authorities The competent …” „… systematic internalisers, and the determination has to be objective and consistent with the risk management …” „… policy and procedures of the systematic internaliser.5 Part of any risk management policy must be a …”

Article 28 a Breaches S. 1219

„… the issuer to make public, within the required time limit, information required under the national …” „… requirements to publish information under Articles 14 and 16. Further, all violations of voting rights …” „… annual accounts approved by the management body; where the legal entity is a parent undertaking or a …”

Article 30 Transitional provisions S. 1226-1227

„… However, the NCA may, in its own discretion, either delay the publication or publish the information on an …” „… date, unless it has already made a notification containing equivalent information before that date …” „… . Notwithstanding Article 12(6), an issuer shall in turn disclose the information received in those notifications no …”

Article 25 Sanctions S. 1029-1030

„… administrative liability regimes which make, at least, an issuer or its administrative, management or supervisory …” „… the case may be, responsible for the information given in a prospectus. In general, sanctions apply to …” „… untrue material information in a prospectus, omitting material information from a prospectus, selling …”

Article 1 Subject matter and scope S. 623-624

„… sanctions for insider dealing, for unlawful disclosure of inside information and for market manipulation to …” „… ) transactions, orders or behaviours carried out in pursuit of monetary, exchange rate or public debt management …” „… information’ means information within the meaning of Article 7(1) to (4) of Regulation (EU) No 596/2014; (5 …”

Article 6 Scope of authorisation S. 37-38

„… to the management of investment firms under Article 9(6) and the information for the notifications …” „… adopted pursuant to this Directive. 2. The investment firm shall provide all information, including a …” „… regulatory technical standards to specify: (a) the information to be provided to the competent authorities …”

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

„… shall communicate to ESMA and to the competent authorities of the other Member States the information …” „… or an OTF to also supply without undue delay the information referred to in paragraph 2 to the …” „… circumstances that trigger an information requirement as referred to in paragraph 2 of this Article. I …”

Article 85 Powers for host Member States S. 384

„… in the management of another entity of the same group. They shall exchange all information regarding …” „… to provide the information necessary for the monitoring of their compliance with the standards set by …”

Article 23 S. 1091

„… for, and the nature of, the infringement; (d) an order prohibiting the provision of a key information …” „… of a new version of a key information document; (e) administrative fines of at least: (i) in the case …” „… management body, or – up to twice the amount of the profits gained or losses avoided because of the …”

Article 65 Fines S. 1666-1667

„… that the trade repository or its senior management acted deliberately to commit the infringement. 2 …” „… ) to supply complete information which has been requested by a decision pursuant to Article 61; (ii) to …” „… material required and to complete and correct other information provided in an investigation launched by a …”

Article 22 a Delegation by depositary S. 1357-1359

„… the instructions of the management company on behalf of the UCITS; (c) the reuse is for the benefit of …” „… management company acting on behalf of the UCITS which have been entrusted to it; (b) for custody tasks …” „… ) the investment company, or the management company on behalf of the UCITS, has instructed the …”

Article 85 Valuation rules S. 1428-1429

„… management company is not free to determine the payouts of profits. Fund documents tend to specify whether …” „… the UCITS is retaining profits or paying out profits. This is important information for investors due …” „… ; (b) a management company or depositary acting on behalf of a common fund. 2. Paragraph 1 shall not …”

Article 14 S. 1081-1086

„… information is provided. As of 3 January 2018, such telephone calls are governed by the record keeping …” „… . Article 14 1. The person advising on, or selling, a PRIIP shall provide the key information document to …” „… information document to the retail investor in one of the following media: (a) on paper, which should be the …”

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

„… circumstances, ESMA may itself adopt position management measures. This is the case when (1) the orderly …” „… following measures: (1) a request for information, (2) an order requiring the reduction or elimination of a …” „… for adopting the measure and the time when the measure takes effect. Note the information duties with …”

Article 49 Compartments deemed UCITS S. 1380-1381

„… (6) The unit-holders of the merging and receiving UCITS need to acquire the information specified …” „… in the draft merger terms. The merger, according to Chapter VI UCITSD, will benefit the management …” „… and from the perspective of the management company, the small UCITS generates attractive (minimum …”

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

„… following information to the competent authorities of its home Member State: (a) the Member State in which …” „… the investment firm shall, within one month from receipt of all the information, communicate to the …” „… and activities in that Member State. The host Member State shall publish such information. ESMA may …”

Articles 14 to 20 S. 1284-1288

„… Council with regard to regulatory technical standards on information for registration and certification of …” „… , reinsurance undertakings, institutions for occupational retirement provision, management and investment …” „… 17 points of information set out in Annex II CRA Regulation. That includes general information about …”

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

„… trading venue must make public the information concerning each transaction before the end of the relevant …” „… information available to the public on a continuous basis during normal trading hours. That publication …” „… for making public the information referred to in paragraph 1 to investment firms which are obliged to …”

Article 3 Definitions S. 654-657

„… Article 19(10), who is: (a) a member of the administrative, management or supervisory body of that entity …” „… access to inside information relating directly or indirectly to that entity and power to take managerial …” „… Article 11(2), and discloses information in the course of a market sounding; (33) ‘high-frequency trading …”

Article 64 Procedural rules for taking supervisory measures and imposing fines S. 1664-1666

„… review the necessity for the inspection or demand to be provided with the information on ESMA’s file. The …” „… power to request information in accordance with Article 61 and to conduct investigations and on-site …” „… documents and information gathered by ESMA in its supervisory activities. 3. Upon completion of his …”

Article 73 Supervisory measures by ESMA S. 1669-1670

„… its management systems or internal controls; (c) whether financial crime has been occasioned …” „… requests for information in accordance with Article 61 and to conduct investigations and on-site …” „… information by and to ESMA. 3. In accordance with the regulation on fees adopted by the Commission pursuant to …”

Introduction to Chapter IV S. 236-237

„… regulating the exchange of information for the purpose of preserving the integrity of the market and …” „… appointed to be responsible for the management of the branch and they all comply with the requirement laid …” „… effective exchange of information in tax matters, including, if any, multilateral tax agreements; (f) the …”

Overview of Articles 18-31 S. 929-930

„… provide the requested information within four calendar days.27 Chapter V Powers of intervention of …” „… , (2012) 8 Brigham Young University International Law & Management Review 61, 80-81; Payne, (2012) 13 EBOR …” „… mn 5. 8 Elineau, (2012) 8 Brigham Young University International Law & Management Review 61, 85-86 …”

Article 22 Competent authorities S. 835-838

„… , directly or indirectly, an advantage or profits from the disclosure or the dissemination of the information …” „… & Management 459. Chapter 4 ESMA and competent authorities Art. 21 MAR Jörn Axel Kämmerer 835 9 10 11 12 …” „… et seq. 4 For further information see Hilgendorf and Kusche, ‘Art. 2 MAR' in Tido Park (ed …”

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

„… fair reasonable and non discriminatory basis to: (i) relevant price and data feeds and information of …” „… in the effectiveness of information and education of consumers.3 Nor does the Action Plan of the G20 …” „… sows doubts as to the effectiveness of the information model, according to which investors (and capital …”

Article 5 Requirement for authorisation S. 35-37

„… the investment firm’s management body. Art 10-13 MiFID specify the rules on the acquisition and sale …” „… shall be publicly accessible and shall contain information on the services or activities for which the …” „… information on the services or activities for which each investment firm is authorised and it shall be updated …”

Article 10 Non-financial counterparties S. 1600-1603

„… reporting on behalf of both counterparties to the transaction; (iii) the management company that manages a …” „… representations received; they may rely on such representations unless they are in possession of information which …” „… . Financial counterparties shall have risk-management procedures that require the timely, accurate and …”

Article 82 Exercise of the delegation S. 1678-1679

„… management and board members (para 6). To complete the regulatory regime, rules are provided to govern …” „… operational reliability and disaster recovery (Article 79) and to safeguard and record information (Article 80 …” „… repositories should grant service providers non-discriminatory access to the information held by the repository …”

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

„… were concluded. That information shall be made public through an APA. 2. The information which is made …” „… . Relevant information and deferral regime (Art 20(2) MiFIR) . . . . . . . . . . . . . 18 4. Outsourcing of …” „… information in APAs, see the commentary on → MiFID II Arts 59-63 mn 14, Arts 64-66 mn 7 et seq. 2 For more …”

Article 105 S. 616-617

„… power to decide upon listing to the ‘Geschäftsführung’ (management board) of the stock exchange (§ 32(1 …” „… official listing), Art 16 (with respect to information requests) and Art 17 (with respect to ‘naming and …” „… necessary for the purpose of carrying out their duties and shall exchange any information useful for that …”

Article 9 Reporting obligation S. 1596-1600

„… counterparty or a CCP shall not be considered in breach of any restriction on disclosure of information imposed …” „… . The information must be provided to special trade repositories (TRs), which act as a contact for the …” „… delegate the reporting of the information on a derivative contract to a third party (Article 9(2) EMIR …”

Article 9 S. 1702-1706

„… Collateral plays a crucial role for the risk management in payment and securities settlement systems. It …” „… to gather the information necessary in order to determine the precise location of the certificate …” „… accordance with Article 6(2). ESMA shall publish that information on its website. The system operator shall …”

Article 4 Use of credit ratings S. 1242-1246

„… commissioned or the rated entity provided information for that rating. The term is, therefore, applicable to …” „… occupational retirement provision, management companies, investment companies, alternative investment fund …” „… includes clear and prominent information stating whether or not such credit ratings are issued by a credit …”

Article 70 Sanctions for infringements S. 362-368

„… this Directive, to the members of the investment firms’ and market operators’ management body, and any …” „… against any member of the investment firm’s management body or any other natural person, who is held …” „… responsible, to exercise management functions in investment firms; (e) a temporary ban on any investment firm …”

Article 3 Definitions S. 1236-1242

„… parties to disseminate information.4 Article 3 Definitions 1. For the purpose of this Regulation, the …” „… it has provided information for that credit rating; […] (h) ‘rating category’ means a rating symbol …” „… available information to assign a rating. However, the participation of an issuer or rated entity in the …”

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

„… the information immediately to the competent authorities of the trading venues concerned (Art 16(4 …” „… information (1) An issuer shall inform the public as soon as possible of inside information which directly …” „… concerns that issuer. The issuer shall ensure that the inside information is made public in a manner which …”

Introduction to Chapter I S. 34-35

„… for the investment firm’s management body. Art 10-13 MiFID specify the rules on the acquisition and …” „… shall be publicly accessible and shall contain information on the services or activities for which the …” „… information on the services or activities for which each investment firm is authorised and it shall be updated …”

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

„… (potentially) abusive, see Elineau, (2012) 8 Brigham Young University International Law & Management Review 61 …” „… & Management Review 61, 77; Juurikkala, (2012) 9 ECFR 307, 323; Howell, (2016) 16 JCLS 333, 348, 349: “has not …” „… counterparties,25 (c) securities settlement systems, (d) central banks, (e) national debt management entities, (f …”

Article 23 Conflicts of interest S. 151-155

„… appropriate measures are in place to enable the competent authorities to obtain the information needed to …” „… conflicts of interest is management and avoidance of conflicts; disclosure is a measure of last resort and …” „… . Preventing conflicts of interest is also one of the core responsibilities of the management body of an …”

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

„… topics, 12 July 2018, ESMA70-872942901-35, p. 30. 21 For further information on package orders see ESMA …” „… venue shall make that information available to the public on a continuous basis during normal trading …” „… information referred to in paragraph 1 to investment firms which are obliged to publish their quotes in shares …”

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

„… markets must establish arrangements to facilitate members’ or participants’ access to information required …” „… market, it may not be obliged by that regulated market to provide information pursuant to Art 51(3) MiFID …” „… information which has been made public in accordance with EU law – free of charge and accessible on their …”

Article 1 Subject matter and scope S. 392-396

„… of ESMA on position management controls and position limits; 22 Art 3 MiFIR. 23 Art 8 MiFIR. 24 The …” „… further information). Exemptions (Arts 1(5 a) to 1(7) MiFIR) Per Art 1(5 a), Title II and Title III of …” „… management service provided by a member of the ESCB to central banks in other countries in accordance with …”

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

„… ratings and the rating outlooks it issues are based on a thorough analysis of all the information that is …” „… shall adopt all necessary measures so that the information it uses in assigning credit ratings and …” „… members and management of a rating agency or a company conducting rating activities. 16 ESMA, Q&As on …”

Article 46 General provisions S. 560-566

„… ESMA with all information necessary for its registration. Within 30 working days of receipt of the …” „… shall set a deadline by which the applicant third-country firm is to provide additional information. The …” „… country. Art. 46 MiFIR 1. Security Markets and Services 560 Dirk Zetzsche The information in the first …”

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

„… to ensure proper management of operational or other risks. ESMA shall have ongoing authority to …” „… very imprecise. A Level 2 measure sets out time limits for the information about the acceptance or …” „… rejection of clearing by the trading venue.5 Generally, the information 2. 2 The notion ‘regulated market …”

Article 32 Suspension and removal of financial instruments from trading on an MTF or an OTF S. 212-217

„… transactions or live orders, as well as unavailability of information indispensable for trading; (9) any major …” „… is due to suspected market abuse, a take-over bid or the non-disclosure of inside information about …” „… information about the issuer or financial instrument infringing Articles 7 and 17 of Regulation (EU) No …”

Article 13 S. 1073-1081

„… the key information document (‘KID’), it appears to be especially concerned with excluding any …” „… the respective insurance contract has taken place. Section III Provision of the key information …” „… key information document in good time before those retail investors are bound by any contract or offer …”

Article 15 Execution of client orders S. 458-463

„… that financial instrument.30 The information regarding class determinations must be made public to all …” „… definition of a systematic internaliser.2 Competent authorities must relay the information to ESMA, which …” „… change to the status of a systematic internaliser. A notification must contain at least the information …”

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

„… Disclosure of information about the services provided 1. A clearing firm shall publish the conditions under …” „… protection and of the costs associated with the different levels of segregation it provides. Information on …” „… respective levels of segregation offered, including information on the insolvency law applicable in the …”

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

„… AIFM shall provide its supervisory authorities with information about the identity of those entities …” „… country where the non-EU AIF is established in order to ensure an efficient exchange of information that …” „… legal representative shall perform the compliance function relating to the management and marketing …”

Article 52 Diversification S. 1389-1391

„… UCITS EAD defines techniques and instruments for the purpose of efficient portfolio management under …” „… Commission and ESMA shall immediately forward that information to the other Member States together with any …” „… comments they consider appropriate and shall make the information available to the public on their website …”

Article 32 Amendments S. 1228

„… quarterly financial reporting and statements by the management of issuers. The Commission integrated these …” „… /EC on the harmonisation of transparency requirements in relation to information about issuers whose …”

Article 26 S. 1092

„… last available consolidated financial statements approved by the management body of the ultimate parent …” „… , the PRIIP to issue a direct communication to the retail investor concerned, giving them information …”

Article 25 S. 1092

„… last available consolidated financial statements approved by the management body of the ultimate parent …” „… , the PRIIP to issue a direct communication to the retail investor concerned, giving them information …”

Article 113 S. 622-623

„… disclosure of inside information and for market manipulation to ensure the integrity of financial markets in …” „… monetary, exchange rate or public debt management policy in accordance with Article 6(1) of Regulation (EU …”

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

„… , rating analysts and rating teams regarding shareholders, administrative and management bodies and sales …” „… ) with regard to corporate governance, organisation, and the management of conflicts of interest. They …” „… 26, Issue 9, 1 September 2013, p. 2270 (2271), with further information about rating shopping and …”

Article 11 Market soundings S. 718-730

„… Article 11 Market soundings 1. A market sounding comprises the communication of information, prior …” „… point (a), (b) or (c). 2. Without prejudice to Article 23(3), disclosure of inside information by a …” „… information is necessary to enable the parties entitled to the securities to form an opinion on their …”

Article 9 Sanctions for legal persons S. 637-640

„… , and in the case of unlawful disclosure of inside information (Art 4 of MAD 2014), it must be at least …” „… legal persons, Arts 8 and 9 The offences of insider dealing, unlawful disclosure of inside information …” „… and senior management of a company. Under Art 8(1)(b) and (c), it is also permissible for Member …”

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

„… with the operational and technical requirements established by the CCP including the risk management …” „… ESMA which other CCPs have access to the trading venue and ESMA will publish that information so that …” „… access must be permitted by a CCP, including confidentiality of information provided regarding financial …”

Article 31 Transposition S. 1227-1228

„… statements by the management of issuers. The Commission integrated these three separate reporting …” „… requirements in relation to information about issuers whose securities are admitted to trading on a regulated …”

Introduction S. 1466-1467

„… as well as transparency requirements, in particular in the form of mandatory information to be …” „… governing the provision of asset management services by non-EU AIFM in the EU. Article 2 Scope 1. Subject to …”

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

„… correct any false information.20 Recipient of the reports The information is to be addressed to the …” „… investment firm in question. The information shall be shared with the competent authority where most of the …” „… The competent authority has to make the information available to ESMA on request.24 ESMA can also …”

Article 49 Tick sizes S. 292-296

„… relevant persons initiating those orders.199 This information has to be available to competent authorities …” „… limit orders resting in an order book and orders held in an order management system; the rules do not …” „… market abuse. In general, clock synchronisation leads to better information for comparing transactions …”

Article 13 Accepted market practices S. 756-767

„… dissemination of false or misleading information by the same persons or by persons linked to them; and (b …” „… acceptance. Chapter 2 Inside information, insider dealing, market manipulation Art. 13 MAR Carsten …” „… dissemination of misleading information and benchmark manipulation, because the legislator was of the opinion …”

Article 5 Clearing obligation procedure S. 1588-1593

„… derivatives; (c) the availability of fair, reliable and generally accepted pricing information in the relevant …” „… contracts through a CCP; (f) the risk management and the legal and operational capacity of the range of …” „… , reliable and generally accepted pricing information in the relevant class of OTC derivatives.6 Article 5(5 …”

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

„… ). Furthermore, appropriate cooperation agreements for the exchange of information must be in place between the …” „… Murphy D, ‘Central Counterparties (CCPs) and the law of default management’ (2017), 17 Journal of …”

Article 2 Definitions S. 883-888

„… International Law & Management Review 61, 62-63 comparing this definition to the one in the US Rule 200(a) of …” „… question acting reasonably having regard to publicly available information as to the composition of the …” „… real-time information as to such composition from any person. For the purposes of paragraphs 1 and 2 the …”

Article 12 Market manipulation S. 730-756

„… other form of deception or contrivance; (c) disseminating information through the media, including the …” „… made the dissemination knew, or ought to have known, that the information was false or misleading; 56 …” „… misleading information or providing false or misleading inputs in relation to a benchmark where the person …”

doi.org/10.5771/9783845279893

Deutschen Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH, Internationale Organization of Supreme Audit Institutions (INTOSAI) - Entidades Fiscalizadoras Superiores

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Deutschen Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH (ed.), Internationale Organization of Supreme Audit Institutions (INTOSAI) (ed.)

Entidades Fiscalizadoras Superiores

2013

Results in this title

Lista de autores S. 12-34

„… Estate Management Company of the Austrian Federal Railway. Dr Moser was member of the Supervisory Board …” „… ministries. Dr Moser held different management positions in the financial and provincial administration …” „… central policy unit on budget support and fiduciary risk management. In 1996–2000, he worked as a Senior …”

doi.org/10.5771/9783845251868

Giulia Brunello, Raphaël Bortolotti, Annette Kappeler - Feltre’s Teatro Sociale and the Role of Provincial Theatres in Italy and the Habsburg Empire during the Nineteenth Century

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Giulia Brunello (ed.), Raphaël Bortolotti (ed.), Annette Kappeler (ed.)

Feltre’s Teatro Sociale and the Role of Provincial Theatres in Italy and the Habsburg Empire during the Nineteenth Century

Series: Parodoi

Volume 1 2023

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Patrick Aprent The Diaries of Ignaz Siege. Nineteenth-Century Theatre Practice in the Habsburg Monarchy from the Perspective of a Main Protagonist S. 169-192

„… information about the general administration, ensemble management or staging practice, audience reception …” „… the 1840s, the dia-ries give first-hand insight into more than forty years of theatre management in …” „… the provinces of the Habsburg Empire and beyond. They comprise valuable information on general …”

Titelei/Inhaltsverzeichnis S. 1-16

„… vicissitudes of the theatre of Feltre, analysing the characteristics, administration and management of the …” „… , highlighting the link between theatre management, municipal pride and symbolic competition with other urban …” „… the Habsburg Empire. The source reveals informa-tion about the life and work of theatre artists, how …”

Giulia Brunello, Annette Kappele, Raphaël Bortolotti Introduction. Feltre’s Teatro Sociale and the Role of Provincial Theatres in Italy and the Habsburg Empire during the Nineteenth Century S. 19-43

„… ideas and where informa-tion was sought and public opinion formed.It is thus surprising that, apart from …” „… information not only about their history, organisation, repertoire and any scenic material preserved but also …” „… section on ‘public spirit’ presented also news from theatres: it pro-vided information on who was …”

Raphaël Bortolotti Provincial Scenography in Nineteenth-Century Italy The Stock Scenery of Feltre’s Theatre S. 327-346

„… However, some caution is required when drawing information from these docu-ments. They tell us nothing …” „… hypotheses for this subject, peri-odicals and various treatises on theatre management published in the first …”

doi.org/10.5771/9783987400414

Sabine Dedenbach-Salazar Sáenz - La transmisión de conceptos cristianos a las lenguas amerindias

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Sabine Dedenbach-Salazar Sáenz (ed.)

La transmisión de conceptos cristianos a las lenguas amerindias

Series: Collectanea Instituti Anthropos

Volume 48 2016

doi.org/10.5771/9783985721733

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