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Institute for Peace Research and Security Policy at the University of Hamburg / IFSH - OSCE-Yearbook 2016

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Institute for Peace Research and Security Policy at the University of Hamburg / IFSH (ed.)

OSCE-Yearbook 2016

Series: OSCE Yearbook

Volume 2017

Results in this title

Wolfgang Richter The OSCE’s Role in Conflict Management: What Happened to Co-operative Security? Reviving Conventional Arms Control in Europe. A Contribution to Military Stability in Times of Crisis S. 51-80

„… instruments for conflict prevention, crisis management, and military transparency. While Russia evaluates the …” „… The OSCE’s Role in Conflict Management: What Happened to Co-operative Security? Introduction …” „… , the CSCE began to focus more on conflict management rather than on building a pan-European …”

Nico Schernbeck Between Strategic Re-orientation and Operational Fixes: Current Challenges and Opportunities in Strengthening Early Warning and Early Action as Part of OSCE Crisis and Conflict Prevention S. 135-148

„… prevention, namely that it offers more cost-effective instruments for long-term conflict management.2 …” „… current approach. It reflects a fundamental shift in the perception and execution of conflict management …” „… practical efforts in the area of conflict management by proposing recommendations for action. Comparable …”

Marcel Peško The OSCE’s Engagement in Response to the Crisis in Ukraine: Meeting New Challenges with New Solutions S. 19-32

„… rights and fundamental freedoms, and facilitating efforts aimed at a peaceful resolution of the conflict …” „… world’s largest regional security organization in contributing to peaceful conflict resolution in …” „… and prolonged military conflict, the SMM has managed to adapt to a fluid situation and deliver …”

Ursel Schlichting Preface S. 13-18

„… , rebuilding trust, restoring security”:2 1. crisis and conflict management; this largely focused on the …” „… success in the area of conflict management in Ukraine; in the end, the “Conclusions of the …” „… conflict management role in Ukraine and discusses new solutions for the existing challenges. Against the …”

Annexes S. 327-380

„… – Difficult Crisis Management in a Deadlocked Conflict, IFK-Monitor International 35/2016, Vienna 2016 …” „… Conflict Management, in: Mina Zirojević/Vesna Ćorić (eds), Četrdeset godina od potpisivanja helsinškog …” „… (2010), Astana 2016, pp. 98- 102. Zellner, Wolfgang, Conflict Management in a Confrontational Political …”

Stephanie Liechtenstein How Can the OSCE Contribute to Managing the Current Migrant and Refugee Challenge? S. 211-222

„… Organization has a strong mandate for early warning, conflict prevention, and crisis management. Managing …” „… that refugee flows have been accelerated by the ongoing armed conflicts in the European Union’s …” „… conflict in the Middle East and North Africa was added to a pre-existing long-term flow of migrants …”

Frank-Walter Steinmeier Foreword by the Chairperson-in-Office S. 9-12

„… remains indispensible. This is true with regard to crisis and conflict management, but even more so in …” „… Organization’s capacities for civil crisis management and conflict prevention, also remain unresolved. Yet this …” „… international law, the ongoing conflict in the east of Ukraine remains one of the greatest challenges for the …”

Larissa Daria Meier OSCE Peacekeeping – Conceptual Framework and Practical Experience S. 149-164

„… conflict management shows that OSCE FOPs have played an active role in peacekeeping. In terms of the ideas …” „… management”1 and adopted a set of guidelines that provide the CSCE with the political mandate to deploy …” „… , Dordrecht 1993, pp. 701-777, Chapter III, para. 17. 2 Heinz Vetschera, Ten Years of the Conflict …”

David Buerstedde Managing Migration – The OSCE’s Response S. 199-210

„… Ministerial Council Decision on Migration Management2 focused squarely on the effective governance of labour …” „… migration-related issues such as human trafficking, cross-border criminal activities, border management, and police …” „… that are the root causes of displacement and migration, including not only conflict, poverty, and …”

Vaidotas Verba Supporting Reform, Dialogue, and Crisis Response in Ukraine S. 125-134

„… of our work has undergone a sea change with the Euromaidan revolution and the conflict in and …” „… sustainable reforms, 2. promote dialogue, 3. contribute where possible to the OSCE’s conflict response, and …” „… quickly to the new hazards resulting from the current conflict. Most notably, the PCU shifted its …”

Sian MacLeod Co-operative Security in 21st Century Europe: A Diplomatic Caucus Race? S. 81-92

„… resources to political, conflict-management, and humanitarian aspects of the crisis, we have made …” „… attention and energy in management of protracted and post-conflict situations and, where the OSCE can make …” „… “multidimensional” approach to promoting stability and reducing the risk of conflict and instability. We need …”

Kurt P. Tudyka The Second Basket: Evolution of the Economic and Environmental Dimension of the OSCE S. 259-272

„… for turning conflict into coexistence were replaced by arrangements to turn coexistence into …” „… post-conflict rehabilitation (2000), transparency and good governance in economic matters (2001), cooperation …” „… and transport (2011). The debates in the 2014 Forum focused on joint approaches to disaster management …”

Wolfgang Zellner Old and New Challenges for the OSCE S. 33-44

„… policies in areas such as conflict management with an honest long-term dialogue on norms and principles. A …” „… exemplary manner the possibilities and limits of the OSCE. The political management of this conflict is not …” „… “The Conflict Cycle” by the Conflict Prevention Centre (CPC)5 show that innovation in the OSCE can …”

Jean P. Froehly The OSCE and the Refugee Crisis S. 223-232

„… conflicts and the violation of CSCE principles (including in the human dimension), that mass flows of …” „… Management Concept, MC.DOC/2/05 of 6 December 2005, in: Organization for Security and Co-operation in Europe …” „… border management.4 Secretary General Zannier was alluding to the key role that the OSCE’s partnership …”

Titelei/Inhaltsverzeichnis S. 1-8

„… P. Terrence Hopmann The OSCE’s Role in Conflict Management: What Happened to Co-operative Security …” „… , Mechanisms, and Procedures Conflict Prevention and Dispute Settlement Hans-Joachim Schmidt The …” „… Early Action as Part of OSCE Crisis and Conflict Prevention 135 Larissa Daria Meier OSCE …”

Geoffrey Corry, Pat Hynes, Kieran Doyle Creating Political Oxygen to Break the Cycle of Violence 1981-1994: Lessons from the Northern Ireland Peace Process S. 165-182

„… circles that conflicts between civil, religious, or ethnic groups, however long or intense, have no real …” „… of the Syrian quagmire, with its high casualties and millions of displaced people. Resolving conflict …” „… is about repairing the broken relationships that gave rise to the conflict in the first place, often …”

Maria Chepurina Migration Crisis in the OSCE Area: Action Lines from the OSCE Parliamentary Assembly S. 249-258

„… ; - developing and promoting dialogue-based mechanisms for the prevention and resolution of conflicts …” „… border management.9 In 2015, the PA adopted the Resolution Calling for Urgent Solutions to the …” „… persecution and armed conflict to apply for asylum in an OSCE country, as enshrined in the Geneva Convention …”

Patricia Flor From Lisbon to Hamburg – Supporting a New Start in Conventional Arms Control in Europe. Arms Control and Confidence- and Security-Building Measures under Germany’s OSCE Chairmanship in 2016 S. 45-50

„… conflict-management activities in Ukraine, the German federal government worked hard during the Chairmanship year to …” „… earlier CFE Treaty. A large number of crises and regional conflicts have revealed clear limitations in …”

Svenja Gertheiss, Sabine Mannitz From Exclusion to Participation: Refugee Protection and Migration Policy in Crisis S. 183-198

„… neighbouring conflict areas – also reflects just how badly the policy fields of refugees and asylum, migration …” „… does not exist. EU measures frequently concentrate on projects relating to border management and the …” „… accept the normality of immigration and to address the conflicts that this doubtlessly also provokes …”

Florent Marciacq, Tobias Flessenkemper, Ivana Boštjančič Pulko The Response of OSCE Field Operations in South-Eastern Europe to the Migration and Refugee Crisis S. 233-248

„… . 5/09 on migration management of 2 December 2009. Under the co-ordinated Swiss and Serbian OSCE …” „… jeopardize regional security and hinder post-conflict transition. The crisis, however, has not affected all …” „… support in the area of integrated border management (IBM), which had been a primary area of EU activity …”

Loïc Simonet, Hans Georg Lüber The OSCE and Its Legal Status: Revisiting the Myth of Sisyphus S. 273-314

„… for early warning, conflict prevention, crisis management and post-conflict rehabilitation”.5 …” „… ineffective, varies over time, and results in conflicts with the OSCE regulatory framework, which, however …” „… recurring problem that is addressed by the Permanent Council’s Advisory Committee on Management and Finance …”

doi.org/10.5771/9783845282855

David B. Lott - Conflict Management in Congregations

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David B. Lott (ed.)

Conflict Management in Congregations

2001

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Preface S. i-12

„… chapters in this book, except liThe Basics of Conflict Management in Congregations "originally appeared in …” „… of Conflict Management in Congregations" originally appeared in a different form as A Lay Person …” „… 's Guide to Conflict Management (Bethesda: Alban, 1979). Original copyright © 1979 by the Alban Institute …”

Part One: The Dynamics of Conflict S. 13-80

„… . We're out of control." Now they will address the problems. 1 6 Conflict Management in Congregations …” „… Church 1 7 When is an outside person helpful in the management of conflict? At level three. At lower …” „… conflict management skills when they're involved in the lower levels of conflict. Dramatic, public …”

Part Three: Situational Conflict S. 123-160

„… consistory voted to recommend to the congregation that 1 26 Conflict Management in Congregations the …” „… proceedings set in process, was tempered by sadness. 1 28 Conflict Management in Congregations ANALYZING THE …” „… post office and greet people like Reverend Jamison used to do when 1 30 Conflict Management in …”

Part Two: Responding to Conflict S. 81-122

„… enjoy or appreciate. This risk was 84 Conflict Management in Congregations highlighted when an …” „… Conflict Management in Congregations of small groups because there are complaints about lack of fellowship …” „… a new and potentially exciting form of 90 Conflict Management in Congregations ministry involving …”

Contributors S. 161-164

„… work continues in team building, conflict management, and visioning with PneumanIBruehl Associates …” „… 62 Conflict Management in Congregations David B. Lott, volume editor, is managing editor for the …” „… work continues in team building, conflict management, and visioning with PneumaniBruehl Associates (4 1 …”

doi.org/10.5771/9781566994927

Matthias Heise, Kathrin Rucktäschel - Indonesia's Search for Democracy

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Matthias Heise (ed.), Kathrin Rucktäschel (ed.)

Indonesia's Search for Democracy

Series: Transformation, Development, and Regionalization in Greater Asia

Volume 10 2013

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I Nyoman Sudira Interethnic Conflict Management in Indonesia: The Municipality of Denpasar, Bali S. 123-142

„… 123 Interethnic Conflict Management in Indonesia: The Municipality of Denpasar, Bali I Nyoman …” „… management of interethnic conflicts that occur between migrant and the Balinese has already been put into …” „… management of the interethnic conflict in Bali especially during SBY presi- 37 Cf. Kivimaki 2006, p. 13 …”

Bangkit Rahmat Tri Widodo Indonesia’s Peacekeeping Missions within the “Independent and Active Foreign Policy” S. 143-162

„… the tacit western alignment under Suharto through a more multilateral direction in the management of …” „… regional leadership in the ASEAN paved the way to help resolve the conflict in Indochina in 1978 …” „… opposition to the U.S. that was mainly backing Israel.41 Due to domestic susceptibility to conflicts …”

Matthias Heise, Kathrin Rucktäschel Indonesia’s Democratic Consolidation: Political, Security, and Economic Perspectives S. 7-18

„… Lombok Treaty. In the chapter on Interethnic Conflict Management in Indonesia: The Municipality of …” „… conflict’s settlement and management since the reign of Suharto’s New Order. Drawing on guideline theories …” „… elections since 1998, and had improved the freedom of press, appeased ethno-religious conflicts, and …”

Kathrin Rucktäschel Indonesia’s Environmental Policy Related to Forestry Issues: Caught between International Posture and Internal Conditions S. 67-96

„… to better cooperate in matters of environmental management. Simultaneously, it introduced AMDAL …” „… national authority responsible for environmental management and environmental issues, gained very few …” „… multi-level system of administration aimed at ending the previously existing conflicts over co-determination …”

Yasintha Sembiring The Indonesian Media between Freedom and Responsibility: A Study of the Ambalat Block DisputeMargareth S. 277-298

„… conflict or dispute that directly or indirectly poses threats to national sovereignty houses a high degree …” „… of complexity and a sound analysis of such conflict will go beyond military skirmishes and their …” „… that the pursuit of his own welfare should not conflict with, nor in any way harm the right of others …”

Matthias Heise The Challenge of Civil-Military Relations in Indonesia’s Democratic Consolidation: Reforming the Institutional Setting and Military Education S. 37-66

„… actors are committed to resolving conflicts peacefully and in accordance with the rule of law, specific …” „… also “requires that habituation to the norms and procedures of democratic conflict regulation be …” „… conflicts. As such, imparting the social skills needed for peaceful cooperation – and not the workings of …”

Will Albert Triwibowo, Aknolt Kristian Pakpahan Fighting Corruption in Indonesia: In Search of Greater Political S. 233-258

„… conflicts with the regulations and laws; (d) of embezzlement which refers to government officials who …” „… Treasury; Law 15/2004 on Inspection, Management and State Financial Responsibilities; Law 16/2004 on …” „… . http://www.seknasfitra.org/. 70 Cf. The World Bank -Poverty Reduction and Economic Management 2007. 71 Bolongaita 2010 …”

Adrianus Harsawaskita Rationale for Defending Indonesia: The Case of the Lombok Treaty S. 97-122

„… stance toward the conflict between the Indonesian nationalists and the Dutch. They had no intention to …” „… settlement of the Western Papua conflict. He responded by unilaterally repudiating the nation’s debt as …” „… Australia Months of intense conflict in the former Portuguese colony of Timor did not change the …”

Titelei/Inhaltsverzeichnis S. 2-6

„… Indonesia: The Case of the Lombok Treaty Adrianus Harsawaskita 97 Interethnic Conflict Management …”

Antje Missbach Stuck in Limbo: Transit Migration in Indonesia S. 259-276

„… turns out to be an enduring situation. As many case studies show, conflict-generated refugees can …” „… restrictive EU policies rather than the cessation of conflict.23 In contrast, although Australia’s annual …” „… improvement of their migration management processes. Based on Australia’s request that refugees and asylum …”

Markus Paesler, Katharina Vitt Quintessential Elements of Indonesian Economic Policy in SBY’s First Term 2004–2009 S. 191-210

„… was concerned, the currency’s external value was relatively steady and currency risk management …” „… demand management, while the neoclassical school of thought strives to improve the conditions for …” „… prevent social conflict, restructuring processes were thus slowed down. The two central goals in …”

doi.org/10.5771/9783845239118

Institute for Peace Research and Security Policy at the University of Hamburg / IFSH - OSCE Yearbook 2009

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Institute for Peace Research and Security Policy at the University of Hamburg / IFSH (ed.)

OSCE Yearbook 2009

2010

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Alice Ackermann OSCE Mechanisms and Procedures Related to Early Warning, Conflict Prevention, and Crisis Management S. 223-233

„… Prevention, and Crisis Management Introduction Early warning, conflict prevention, and crisis …” „… mechanisms and procedures related to early warning, conflict prevention, and crisis management, as contained …” „… , conflict prevention, and crisis management mechanisms. Discussions of existing OSCE mechanisms and …”

Janne Taalas, Kari Möttölä The Spirit of Helsinki 2.0 – The Finnish OSCE Chairmanship 2008 S. 315-333

„… Chairmanship – Conflict Management and Resolution in Georgia The worsening security situation in the …” „… Chairmanship sprang into conflict management action. Together with Bernard Kouchner, Chairman of the EU’s …” „… violent conflict in the OSCE region, the year was full of activity in the pursuit of all three sides of …”

Herbert Salber, Alice Ackermann The OSCE’s Comprehensive Approach to Border Security and Management S. 289-303

„… on border security- and management-related issues with other relevant international agencies. It …” „… management-related issues”.12 The BSMC is implemented through a variety of activities and projects that include …” „… Central Asia, with an emphasis on border securityand management-related initiatives, including economic …”

Alexandre Keltchewsky The OSCE Centre in Astana at Ten: Activities and New Directions S. 213-223

„… Related to Early Warning, Conflict Prevention, and Crisis Management Introduction Early warning …” „… , conflict prevention, and crisis management have always been at the core of the OSCE, and the mechanisms …” „… , conflict prevention, and crisis management can be traced to the aftermath of the 6 August 2007 missile …”

Renatas Norkus The OSCE and European Security – A Lithuanian Perspective S. 117-123

„… such discussions. In this context, crisis management – including early warning, conflict prevention …” „… of mass destruction); - strengthen conflict-prevention and crisis-management efforts …” „… visible problems have to do with ongoing protracted conflicts, and with unfortunate developments in the …”

Lorenz Barth Ministerial Council Decision No. 7/08 on Strengthening the Rule of Law – The Search for Common Ground in the Third Dimension S. 277-289

„… in conflict and post-conflict societies (S/2004/616, 3 August 2004, item 6), which was approvingly …” „… controversial: Rule of Law in (Post-)Conflict Situations The Georgian delegation made an interpretive …” „… by unresolved conflicts. During the negotiations, Georgia had made a number of proposals on this …”

Bernard Aussedat How Can Confidence and Security Be Restored in Moldova? S. 191-201

„… Mission to Moldova was established in February 1993, a few months after the end of the conflict fought …” „… the parties to the conflict in pursuing negotiations on a lasting political settlement of the …” „… conflict, consolidating the independence and sovereignty of the Republic of Moldova along with an …”

OSCE Selected Bibliography 2008/2009 S. 409-431

„… 2008. ODIHR, Human Rights in the War-Affected Areas Following the Conflict in Georgia, Warsaw 2008 …” „… and Environmental Forum, Migration Management and Its Linkages with Economic, Social and …” „… Management and Its Linkages with Economic, Social and Environmental Policies to the Benefit of Stability and …”

Ursel Schlichting Preface S. 13-16

„… multiethnic state with no major domestic conflicts. Nonetheless, it was also clear that the country had …” „… OSCE’s Conflict Prevention Centre (CPC) relates the evolving tasks of the OSCE Mission in Kosovo …” „… . Retired General Bernard Aussedat discusses the prospects for settlement of the conflict over …”

Abbreviations S. 431-437

„… Border Monitoring Operation BOMCA Border Management Programme for Central Asia BRIC Brazil, Russia …” „… , India, and China BSEC Black Sea Economic Cooperation BSMC Border Security and Management Concept CACO …” „… COMECON Council for Mutual Economic Assistance CORE Centre for OSCE Research CPC Conflict Prevention …”

George A. Papandreou Foreword by the Chairman-in-Office S. 9-12

„… conflict in Georgia proved that the OSCE remains an indispensable actor for the provision of early warning …” „… field of non-military security by focusing on counterterrorism, border management, policing, and …” „… the Ministerial Decisions on energy security and migration management are proof of the potential that …”

Daniel Warner, Marianne von Grünigen, Andrei Zagorski, Vesna Marinkovic From the OSCE Cluster of Competence to the Focus on the OSCE S. 373-380

„… States, and in the conflict management. For the OSCE to live up to its promises, however, he emphasized …” „… in Geneva on the topic of “The Politico-Military Dimension of the OSCE: Arms Control and Conflict …” „… Management Issues”, in close collaboration with the DDPS. In the context of the Slovenian Chairmanship of …”

OSCE Conferences, Meetings, and Events 2008/2009 S. 403-409

„… concerning the conflict in Georgia, Brussels 26 August The Chairperson-in-Office condemns Russia’s decision …” „… Environmental Forum: Migration management and its linkages with economic, social and environmental policies to …” „… the OSCE Economic and Environmental Forum – Part 1: Migration management and its linkages with …”

Titelei/Inhaltsverzeichnis S. 2-8

„… Mechanisms and Procedures Related to Early Warning, Conflict Prevention, and Crisis Management 223 7 …” „… , and Procedures Conflict Prevention and Dispute Settlement Robert Bosch Fighting Domestic Abuse …” „… Approach to Border Security and Management 289 Stephan Hensell Police Reform as a “Solicitous Siege …”

Stephan Hensell Police Reform as a “Solicitous Siege” – International Actors and Local Subversion in the Balkans S. 303-314

„… project management, as well as knowledge of the operational processes in the police, donor priorities …” „… Proxima.14 The organizations also came into conflict with each other. The OSCE fell out not only with the …” „… conflict, as the Delegation was losing competencies and personnel in the process, and felt that its …”

Ulrich Heider Military Aspects of the OSCE Mission to Bosnia and Herzegovina S. 167-179

„… internal conflict. Our approach is one of co-operative security based on democracy, respect for human …” „… resolving conflicts in Bosnia and Herzegovina”.6 The OSCE Mission’s DSC is responsible for guiding and …” „… intention of decreasing the threat of another conflict; they have also promoted the use of OSCE instruments …”

Andrei Zagorski The Russian Proposal for a Treaty on European Security: From the Medvedev Initiative to the Corfu Process S. 43-61

„… .shtml. 46 the prevention and peaceful settlement of conflicts in the Euro-Atlantic space by placing …” „… control and conflict resolution. According to the amended proposal, arms control, confidence-building …” „… ongoing adaptation of existing arms control regimes. The use of force for purposes of conflict resolution …”

Pál Dunay, Graeme P. Herd Redesigning Europe? The Pitfalls and the Promises of the European Security Treaty Initiative S. 77-99

„… conflict-management cycle would acknowledge that the OSCE is endowed with insufficient resources to render it a …” „… give priority in conflict management to a pan-European organization or to an institution with a …” „… contended, unable or unwilling to prevent or manage conflict in Europe. Even though there has been no …”

Marcin Czaplinski The OSCE in the New International Environment in Kosovo S. 179-191

„… Lamberto Zannier, who, as the former Director of the OSCE Conflict Prevention Centre, has a very good …” „… structure and management, and take a critical look at its staffing levels (“post table”). The budget has …” „… after the end of the conflict fought between forces on opposing sides of the Dniestr river. According …”

Egon Bahr, Reinhard Mutz Do We Need a New European Security Culture? Why the Best of Détente Is Yet to Come S. 61-77

„… high. Wherever armed conflicts have broken out in Europe since the end of the Cold War, nationalism …” „… borders. How many times had Westerns states intervened militarily in conflict theatres during the same …” „… period? In the blink of an eye, a “frozen” regional conflict escalated into a major international crisis …”

Adam Daniel Rotfeld Does Europe Need a New Security Architecture? S. 19-43

„… no conflict of interests between Russia and France. Czartoryski believed that, to challenge the …” „… international law, collective security, and the politico-diplomatic settlement of conflicts”.11 In this respect …” „… solution to the conflict triggered by the secession of the self-proclaimed Transdniestrian Moldovan …”

Oleksandr Pavlyuk The Platform for Co-operative Security: Ten Years of Co-operation S. 341-361

„… on EU-OSCE co-operation in conflict prevention, crisis management, and post-conflict rehabilitation …” „… Conflict Prevention Centre (CPC) has, since 2002, regularly organized sessions or whole-day meetings with …” „… conflict prevention and in actual crisis situations be improved? It is often on the eve of and during …”

doi.org/10.5771/9783845222240

Matthias Lehmann, Christoph Kumpan - European Financial Services Law

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

European Financial Services Law

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2019

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Article 25 Inability to function as management company and depositary; conflicts of interests S. 1362-1363

„… management company and depositary; conflicts of interests 1. No company shall act as both management company …” „… create conflicts of interest between the UCITS, the investors in the UCITS, the management company and …” „… transparency, awareness and conflict management in these cases.1 To comply with the independence requirement …”

Article 15 Risk management S. 1493-1496

„… management. As part of the obligation to prevent and manage conflicts of interests, AIFM are obliged to …” „… , including the portfolio management function; (d) specific safeguards against conflicts of interest referred …” „… , measures specifying: (a) the types of conflicts of interest as referred to in paragraph 1; (b) the …”

Article 14 Conflicts of interest S. 1492-1493

„… management. As part of the obligation to prevent and manage conflicts of interests, AIFM are obliged to …” „… management and members of staff who have a material impact on the risk profile of the AIFM Article 14 …” „… Conflicts of interest 1. Member States shall require AIFMs to take all reasonable steps to identify …”

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

„… and Finn Schmidt 14 15 To ensure an appropriate handling of conflicts of interest, management bodies …” „… 45 Requirements for the management body of a market operator 1. Member States shall require that all …” „… members of the management body of any market operator shall at all times be of sufficiently good repute …”

Article 13 Remuneration S. 1489-1492

„… remuneration policy must include measures to avoid conflicts of interest; (c) the management body of the AIFM …” „… 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 …”

Article 14 Conduct of business rules S. 1337-1338

„… 2. The liability of the management company or the depositary shall not be affected by delegation by …” „… the management company of any functions to third parties. The management company shall not delegate …” „… down harmonised conditions home Member States must consider when adopting rules that allow management …”

Article 16 Organisational requirements S. 65-120

„… , identification and management of conflicts of interests, and inducements. 4. An investment firm shall take …” „… of CRDIV/CRR, and establishes joint principles on European asset management law.3 Conflicts of …” „… ancillary services or activities where such involvement may impair the proper management of conflicts of …”

Article 12 Prudential regulation S. 1334-1336

„… requirements, conflicts of interest, conduct of business, risk management and content of the agreement between …” „… to in Article 10 of Directive 2004/39/EC, mean, respectively, ‘management company’ and ‘management …” „… regulation 1. Each Member State shall draw up prudential rules which management companies authorised in that …”

Chapter 1 Organisational requirements S. 1628-1637

„… 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 …” „… 1095/2010. Article 27 Senior management and the board 1. The senior management of a CCP shall be of …”

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 23 Conflicts of interest S. 151-155

„… 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 …” „… interest risk profile. Portfolio management services, for example, generate significant conflicts of …”

Article 14 a Remuneration policy S. 1338-1339

„… conflicts of interest on behalf of the UCITS management company. Art 14 of UCITSD and implementing …” „… conflicts of interests. Article 14 a Remuneration policy 1. Member States shall require management companies …” „… to establish appropriate criteria for determining the types of conflicts of interest whose …”

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 24 Liability of depositary towards UCITS and unit-holders S. 1360-1362

„… and depositary; conflicts of interests 1. No company shall act as both management company and …” „… conflicts of interest between the UCITS, the investors in the UCITS, the management company and itself …” „… ; (g) all members of its management body and senior management, shall, at all times, be of sufficiently …”

Article 20 Delegation S. 1502-1504

„… management or risk management tasks from its other potentially conflicting tasks, and the potential conflicts …” „… 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 …”

Article 19 Valuation S. 1499-1502

„… independent from the portfolio management and the remuneration policy and other measures ensure that conflicts …” „… management or risk management tasks from its other potentially conflicting tasks, and the potential conflicts …” „… adequate and appropriate ressources for the proper management of AIF, with respect to both human and …”

Article 9 Management body S. 43-50

„… of clients as well as avoiding conflict of interest in the relationships with clients. The management …” „… investment firms for a period of five years. Article 9 Management body 1. Competent authorities granting the …” „… authorisation in accordance with Article 5 shall ensure that investment firms and their management bodies comply …”

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

„… ) with regard to corporate governance, organisation, and the management of conflicts of interest. They …” „… II ISSUING OF CREDIT RATINGS Article 6 Independence and avoidance of conflicts of interest 1. A …” „… rating outlook is not affected by any existing or potential conflicts of interest or business …”

Article 12 General principles S. 1488-1489

„… ) take all reasonable steps to avoid conflicts of interest and, when they cannot be avoided, to identify …” „… , manage and monitor and, where applicable, disclose, those conflicts of interest in order to prevent them …” „… AIFM the authorisation of which also covers the discretionary portfolio management service referred to …”

Article 62 Withdrawal of authorisations S. 341

„… conflicts of interest between members of the management body and users of the APA, CTP or ARM. (3) Member …” „… . 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 …”

Index S. 1785-1803

„… – exemptions AIFMD 3 1 et seq. – family office AIFMD 5 5 – marketing of units AIFMD 31 3 – risk management …” „… – UCITS management companies AIFMD 8 2 Algorithmic trading – application of MiFID II MiFID II 4 11 …” „… . – liability TD 7 8 – management report TD 4 12 et seq. – origins TD 4 2 – publication TD 4 17 et seq …”

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

„… out the instructions of the management company unless they conflict with the applicable national law …” „… notification, the supervision of the management company is split in a branch-based cross-border …” „… services all supervision is concentrated in the hands of the management company’s home competent authority …”

Article 26 Replacement of depositary S. 1363-1364

„… requires transparency, awareness and conflict management in these cases.1 To comply with the independence …” „… II. Commentary In the context of their respective roles the management company and the depositary …” „… independent from each other under paragraph 1. European law allows that depositary and management company to …”

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

„… to avoid conflicts of interest between members of the management body and users of the APA, CTP or …” „… (EU) No 600/2014. 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 …”

Titelei/Inhaltsverzeichnis S. I-XLII

„… . . . . . . . . . . . . . . . . . . . . . . . . . .Article 24 1360 Inability to function as management company and depositary; conflicts of interests …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 8 41 Management body …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 22 151 Conflicts of interest …”

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

„… relates to the provisions of Art 6 et seq. CRA Regulation and addresses conflicts of interests. Article 7 …” „… CRA Regulation primarily sets out conflict of interest rules pertaining to rating analysts, employees …” „… from a client or third party.3 Annex I, Section C No 2(b) and (c) prohibit conflicts or situations …”

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 …” „… transparency of the status of a market operators’ management board and ensures that competent authorities have …” „… management of the regulated market 1. Member States shall require the persons who are in a position to …”

Article 8 Withdrawal of authorisations S. 41-43

„… conflict of interest in the relationships with clients. The management body shall monitor and periodically …” „… 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 6 Exemption for monetary and public debt management activities and climate policy activities S. 670-673

„… that they are not in conflict with the market manipulation prohibitions, since they do not give …” „… 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 …”

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 …” „… those functions. 4. In order to avoid conflicts of interest between the depositary, the AIFM and/or the …”

Article 23 Disclosure to investors S. 1514-1517

„… management function as referred to in Annex I by the AIFM and of any safe-keeping function delegated by the …” „… depositary, the identification of the delegate and any conflicts of interest that may arise from such …” „… description of the AIF’s liquidity risk management, including the redemption rights both in normal and in …”

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 …” „… with, and (ii) conflicts of interest are properly managed and (iii) the transaction is conducted on an …” „… management company acting on behalf of the UCITS which have been entrusted to it; (b) for custody tasks …”

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

„… client must be clearly disclosed and are excluded from this point. 8. When providing portfolio management …” „… , and which by its nature cannot give rise to conflicts with the investment firm’s duties to act …” „… way that conflicts with its duty to act in the best interests of its clients. In particular, it shall …”

Article 44 Authorisation and applicable law S. 247-252

„… , p. 336; Kumpan Ch and Leyens PC, ‘Conflicts of Interest of Financial Intermediaries – Towards a …” „… Global Common Core in Conflicts of Interest Regulation’, European Company and Financial Law Review (ECFR …” „… markets, such as the management of a regulated market and specific organisational requirements. Hence, Art …”

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

„… conflicts of interest between members of the management body and users of the APA, CTP or ARM. (3) Member …” „… . 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 6 Authorisation requirement for management company S. 1327-1328

„… their core business and mitigates conflicts of interests. Therefore, UCITS management companies tend to …” „… Chapter III Obligations regarding management companies Section 1 Conditions for taking up business …” „… Article 6 Authorisation requirement for management company 1. Access to the business of management …”

Article 66 Organisational requirements S. 351-357

„… arrangements designed to prevent conflicts of interest with its clients. In particular, an ARM that is also a …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 6. Conflicts of interest and systems for security and accurateness . . . . . . . . . . . 23 I …” „… on the management body of market operators and data reporting services providers, 28 September 2017 …”

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

„… tion for management companies.6 The reasons for withdrawing authorisation under Art 29(4) of UCITSD …” „… are likewise analogous to those for the authorisation of the management company.7 Since the management …” „… managed investment company. This prompts the question of how the respective boards of the management …”

Article 4 Home member state assumption S. 1324-1325

„… , the UCITSD does not apply. The provision avoids a conflict between European and the laws of third …” „… . This is particularly true when the fund management is provided on a cross-border basis. Art 4 of UCITSD …” „… authorities of its home Member State have approved the application of the management company to manage that …”

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

„… ‘management company’ is replaced by ‘investment company’. In addition to Art 28 of UCITSD, investment …” „… selfmanaged investment companies are meant to reduce conflicts of interests. All companies …” „… which shall be observed at all times by investment companies that have not designated a management …”

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

„… administrative arrangements with a view to taking all reasonable steps designed to prevent conflicts of interest …” „… ; (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 64 Conversion disclosures and procedures S. 1405-1407

„… downsides (conflicts of interests) and opportunities (lower costs and higher returns) associated with their …” „… rely on information and documents received from the master UCITS or, where applicable, its management …” „… benefit is received by the feeder UCITS, its management company, or any person acting on behalf of either …”

Article 7 Conditions for authorisation S. 1328-1331

„… their core business and mitigates conflicts of interests. Therefore, UCITS management companies tend to …” „… 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 …”

Article 18 General principles S. 1498-1499

„… independent from the portfolio management and the remuneration policy and other measures ensure that conflicts …” „… , adequate and appropriate human and technical resources that are necessary for the proper management of AIFs …” „… for the holding or management of investments in order to invest on its own account and ensuring, at …”

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

„… State insolvency laws, thereby encouraging the use of close-out netting as a risk management 1. 6 …” „… Schlaegel, 75. 1 Löber and Klima, 210. 2 Paech, ‘Close-Out Netting, Insolvency Law and Conflict …” „… provider or taker. Conflicts with statutory provisions may occur where a financial agreement is governed by …”

Article 11 Withdrawal of the authorisation S. 1487-1488

„… with Directive 2006/49/EC if its authorisation also covers the discretionary portfolio management …” „… reasonable steps to avoid conflicts of interest and, when they cannot be avoided, to identify, manage and …” „… monitor and, where applicable, disclose, those conflicts of interest in order to prevent them from …”

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

„… , Solvency II), which are intended to encourage rating users to expand the scope of their risk management …” „… retirement provision, management and investment companies, alternative investment fund managers and central …” „… methods. TITLE II ISSUING OF CREDIT RATINGS Article 6 Independence and avoidance of conflicts of interest …”

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 78 General requirements S. 1675

„… administrative arrangements to identify and manage any potential conflicts of interest concerning its managers …” „… 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 9 S. 1702-1706

„… Collateral plays a crucial role for the risk management in payment and securities settlement systems. It …” „… achieve this goal. Art 9(2) has the different purpose of determining the applicable law. Conflict of laws …” „… Closest Connection Doctrine in the Conflict of Laws in China’ (2009) 8 Chinese Journal of International …”

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

„… Article 21 Host member state supervision in case of a branch 1. A management company’s host Member …” „… State may, for statistical purposes, require all management companies with branches within its territory …” „… authorities of that host Member State. 2. A management company’s host Member State may require management …”

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

„… staff employed in risk and control functions; the policies and procedures to management conflicts of …” „… repository and its corporate governance; the remuneration policy for the senior management, board members and …”

Article 3 Exclusions from the scope S. 1323-1324

„… systems of the management company or from external events and includes legal and documentation risk and …” „… it possible to exercise a significant influence over the management of the undertaking in which that …” „… is sold only to investors outside the EU, the UCITSD does not apply. The provision avoids a conflict …”

Article 2 a Equivalence decisions for the purposes of the definition of OTC derivatives S. 1578-1579

„… makes it possible to exercise a significant influence over the management of the CCP or trade repository …” „… that raises a conflict of interests regarding the CCP concerned or its controlling shareholders, its …” „… management or its clearing members, and who has had no such relationship during the five years preceding his …”

Article 7 Responsibility and liability S. 1135-1137

„… at least with the issuer or its administrative, management or supervisory bodies and shall ensure …” „… it formerly referred to the interim management reports required pre-2013 reform. The reports on …” „… , management or supervisory body or bodies. Member States have thus discretion which of these four they charge …”

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 …”

Article 79 Operational reliability S. 1675-1676

„… administrative arrangements to identify and manage any potential conflicts of interest concerning its managers …” „… 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 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 …” „… countermeasures against conflicts of interests resulting from this overlap function. II. Overview While most …” „… both master and feeder UCITS are managed by the same management company, the agreement may be replaced …”

Article 2 Definitions S. 1576-1578

„… undertaking authorised in accordance with Directive 2005/68/EC, a UCITS and, where relevant, its management …” „… ) of that Directive, or which makes it possible to exercise a significant influence over the management …” „… has no business, family or other relationship that raises a conflict of interests regarding the CCP …”

Article 61 Request for information S. 1661-1662

„… staff employed in risk and control functions; the policies and procedures to management conflicts of …” „… repository and its corporate governance; the remuneration policy for the senior management, board members and …”

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 …” „… 8/9, 187-190; Zetzsche D A, ‘The AIFMD and the Joint Principles of European Asset Management Law’, in …”

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 …” „… regard to position limits and position management in commodity derivatives. The provisions are closely …”

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

„… for the sound management of the technical operations of the facility, including the establishment of …” „… consequences for the operation of the MTF or OTF, or for the members or participants and users, of any conflict …” „… . 281; Kumpan Ch and Leyens PC, ‘Conflicts of Interest of Financial Intermediaries – Towards a Global …”

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 77 Recognition of trade repositories S. 1673-1675

„… administrative arrangements to identify and manage any potential conflicts of interest concerning its managers …” „… 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 12 Assessment procedures S. 58-61

„… authorize the NCA to outright block the transaction. Such an order could conflict with another country’s law …” „… sound management of the investment firm at risk where management focuses on the transactions rather than …” „… , in order to ensure the sound and prudent management of the investment firm in which an acquisition is …”

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

„… management of conflicts of interest. 1. 2. Art. 31 MiFID II 1. Security Markets and Services 210 Christoph …” „… companies, UCITS and their management companies, pension funds and their management companies, other …”

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 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 …” „… same entity. The UCITSD must provide countermeasures against conflicts of interests resulting from this …”

Articles 14 to 20 S. 1284-1288

„… , reinsurance undertakings, institutions for occupational retirement provision, management and investment …” „… independence and the avoidance of conflicts of interest. A registered rating agency must continuously fulfil …” „… disclose conflicts of interest and indications of the expected main business activities. ESMA will examine …”

Article 6 Scope of authorisation S. 37-38

„… services only could create new conflicts of interest on the side of the intermediary unforeseen by the …” „… to the management of investment firms under Article 9(6) and the information for the notifications …”

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 …”

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

„… State insolvency laws, thereby encouraging the use of close-out netting as a risk management 1. 6 …” „… Schlaegel, 75. 1 Löber and Klima, 210. 2 Paech, ‘Close-Out Netting, Insolvency Law and Conflict …”

Article 3 Definitions S. 1236-1242

„… Strier, ‘Rating the Raters: Conflicts of Interest in the Credit Rating Firms’, Business and Society …” „… model” causes serious conflicts of interest which has led to discussions about abolishing the model …” „… : Conflict of Interest in the Credit Rating Firms’, Business and Society Review 113 (2008), p. 533 et seq. 24 …”

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

„… . These powers include judicial orders, sanctions against directors and those responsible for management …” „… hand, not exercised or otherwise used to intervene in the management of the issuer and, on the other …” „… , insurance undertaking, reinsurance undertaking, investment firm or UCITS management company authorised in …”

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

„… rating process and whether the credit rating agency had access to the accounts, management and other …” „… rating views, conflicts of interest and reports to ESMA and the rating platform see Moloney, EU …” „… , and whether the rating agency had access to books, management or other relevant internal documents of …”

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 …” „… the agency is registered in accordance with the CRA Regulation, any potential conflicts of interest it …”

Introduction S. 1710-1711

„… Conflict-of-Laws’ (2014) 14 Journal of Corporate Law Studies 419; Paech P, ‘The Value of Financial Market …” „… )) including: (i) public sector bodies of Member States charged with or intervening in the management of public …”

Article 69 Supervisory powers S. 358-362

„… to avoid conflict of interest and so that information obtained from carrying out the delegated tasks …” „… from the management board of an investment firm or market operator. By 3 July 2016, the Member States …” „… ’ management body, and any other natural or legal persons who, under national law, are responsible for an …”

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 …” „… conflicts of interest on the side of the intermediary unforeseen by the MiFID/MiFIR framework. For that …”

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

„… disclosure of conflicts of interest) to the extent of the substantial alteration. The substantially altered …” „… & Management 459. Chapter 4 ESMA and competent authorities Art. 21 MAR Jörn Axel Kämmerer 835 9 10 11 12 …”

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

„… governing the operation of MTFs and OTFs. Context Article 31 MiFID II requires an effective management of …” „… conflicts of interest. 1. 2. Art. 31 MiFID II 1. Security Markets and Services 210 Christoph Kumpan and …”

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 …” „… particular trading venue or execution venue which would infringe the requirements on conflicts of interest or …”

Article 34 Publication of decisions S. 869-874

„… that naming an (alleged) infringer includes an element of shaming, it conflicts with the presumption of …” „… International Law & Management Review 61 (cited as “Elineau, (2012) 8 Brigham Young University International Law …” „… & Management Review 61”); Dell’Erba M and Patti G, ‘The Monte dei Paschi Affaire. Distressed Banks and 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 …” „… conflict, the ESMA measure prevails over measures of NCAs.10 ESMA must review its measure at least every …”

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

„… proprietary capital. The purpose of the rule is to avoid conflicts of interest between market operators and …” „… (EU) 2017/584. The self-assessment must be approved by the management body or the senior management of …” „… responsibilities to ensure effective supervision of compliance.16 Compliance function While a management board is …”

Article 19 Managers’ transactions S. 808-824

„… Markets and Portfolio Management 25 (2011), 111; Fidrmuc, Korczak and Korczak, ‘Why does shareholder …” „… categories (a) or (b): (a) a member of the administrative, management or supervisory body of the entity in …” „… cross-directorship, where a person sits in the administrative, management or supervisory body of an issuer and also …”

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

„… of the administrative, management or supervisory bodies of the issuer or of an associate company. 3 …” „… underwriting agreement or lead management agreement which permits acceptance of subscriptions or offers to …” „… Art. 5 MAR Carsten Gerner-Beuerle 669 14 15 that they are not in conflict with the market manipulation …”

Articles 21 to 25 a S. 1288-1291

„… management, IT strategy and governance reports; (iv) possible violations of the provisions of the CRA …” „… Regulation; (v) new potential and actual conflicts of interest; (vi) executive minutes, independent opinions …”

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

„… initial decision to (re-)purchase the securities was made.36 On the other hand, management buyouts are not …” „… the mere fact that a management buy-out is planned. The information, accordingly, has to be disclosed …” „… the supervision of the management, for example to an external auditor, non-executive directors or …”

Article 13 Accepted market practices S. 756-767

„… the burden of establishing that the reason was legitimate. This rule is in conflict with the laws of …” „… person performing the AMP from the beneficiary, and structures addressing conflicts of interest between …” „… institution and are not influenced by orders to trade received from clients, portfolio management or …”

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 46 General provisions S. 560-566

„… fall victim to judicial conflicts between Member State courts and courts in third countries that …” „… management body; (c) firms providing investment services and activities are subject to adequate …”

Introduction S. 1563-1574

„… Perspectives 22; Braithwaite J and Murphy D, ‘Central Counterparties (CCPs) and the law of default management …” „… P, ‘Close-out netting, insolvency law and conflict-of-laws’ (2014) 14 JCLS 419; Paech P, ‘Securities …” „… risk-management mechanism, which in the past was left to the discretion of the operators. On one hand, the …”

Article 7 Inside information S. 673-692

„… bodies do not come into conflict with these prohibitions when intervening in the agricultural and …” „… belated disclosure of the intention of the chairman of the management board of Daimler to step down …” „… with the resignation of the chairman of Daimler’s management board and his replacement by resolution of …”

Article 12 Market manipulation S. 730-756

„… emission allowances, without having simultaneously disclosed that conflict of interest to the public in a …” „… Stuffing’ (2016) 45 Financial Management 583; Frankel, ‘The Regulation of Brokers, Dealers, Advisers and …”

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