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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 22 Annual report S. 1512-1514

„… Annual report 1. An AIFM shall, for each of the EU AIFs it manages and for each of the AIFs it markets in …” „… the Union, make available an annual report for each financial year no later than 6 months following …” „… the end of the financial year. The annual report shall be provided to investors on request. The annual …”

Article 4 Annual financial reports S. 1118-1124

„… control. Chapter II Periodic information Article 4 Annual financial reports (1) The issuer shall make …” „… public its annual financial report at the latest four months after the end of each financial year and …” „… shall ensure that it remains publicly available for at least 10 years. (2) The annual financial report …”

Article 11 Annual financial reports S. 1155-1156

„… in relation to notification. Article 11 Annual financial reports (1) Articles 9 and 10(c) shall not …” „… European Parliament, Report on the proposal for a European Parliament and Council directive on the …”

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

„… the annual report. The UCITSD does not regulate an external control concerning the half-yearly reports …” „… reports, is not subject to this Directive. Article 74 Submission of prospectus, annual and bi-annual …” „… amendments thereto, as well as their annual and half-yearly reports, to the competent authorities of the …”

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

„… the annual report. The UCITSD does not regulate an external control concerning the half-yearly reports …” „… reports, is not subject to this Directive. Article 74 Submission of prospectus, annual and bi-annual …” „… amendments thereto, as well as their annual and half-yearly reports, to the competent authorities of the …”

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

„… . Article 73 Audited accounting information, reproduction of auditors’ statement in annual report The …” „… accounting information given in the annual report shall be audited by one or more persons empowered by law to …” „… qualifications, shall be reproduced in full in the annual report. I. Purpose The rule certifies that at least …”

Article 29 Specific provisions regarding the annual report of AIFs exercising control of non-listed companies S. 1526-1527

„… Article 29 Specific provisions regarding the annual report of AIFs exercising control of non-listed …” „… managing such an AIF shall either: (a) request and use its best efforts to ensure that the annual report of …” „… themselves within the period such annual report has to be drawn up in accordance with the national applicable …”

Article 23 Disclosure to investors S. 1514-1517

„… II. Commentary Art 22 requires AIFM to publish an annual report for each of the EU-AIF it manages …” „… and for each of the non-EU AIF it markets in the European Union. The annual report must be published …” „… AIFM to publish semi-annual reports. The annual report only needs to be provided to (existing …”

Article 28 Disclosure in case of acquisition of control S. 1524-1526

„… Specific provisions regarding the annual report of AIFs exercising control of non-listed companies 1 …” „… an AIF shall either: (a) request and use its best efforts to ensure that the annual report of the …” „… period such annual report has to be drawn up in accordance with the national applicable law; or (b) for …”

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

„… principles as for the annual financial reports. This means that the national financial reporting framework of …” „… the performance of the issuer between two annual financial reports. Therefore, information should be …” „… update to the annual ‘full’ management report required according to Article 4(2).16 Article 5(4) explains …”

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 …” „… States may not require more frequent publication than the annual and the half-yearly financial report …”

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

„… . An investment or management company must publish a prospectus, an annual report for each financial …” „… regarding the obligation to publish an annual report and a half-yearly report. The obligated parties should …” „… annexed to the prospectus in accordance with Article 71(1). 3. The annual report shall include a …”

Article 68 Mandatory disclosure instruments S. 1409-1410

„… publish the following: (a) a prospectus; (b) an annual report for each financial year; and (c) a …” „… half-yearly report covering the first six months of the financial year. 2. The annual and half-yearly reports …” „… they relate: (a) four months in the case of the annual report; or (b) two months in the case of the …”

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

„… . Article 73 Audited accounting information, reproduction of auditors’ statement in annual report The …” „… accounting information given in the annual report shall be audited by one or more persons empowered by law to …” „… qualifications, shall be reproduced in full in the annual report. I. Purpose The rule certifies that at least …”

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

„… annual report of the feeder UCITS shall include a statement on the aggregate charges of the feeder UCITS …” „… and the master UCITS. The annual and the half-yearly reports of the feeder UCITS shall indicate how …” „… the annual and the half-yearly report of the master UCITS can be obtained. 3. In addition to the …”

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

„… Annual Report, showing that ESMA considers ratings and the methods for creating ratings to be of the …” „… repositories and monitoring of third country central counterparties – 2017 Annual Report and 2018 Work …” „… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153, p. 33 No 105. 2 See …”

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

„… ratings cannot be outsourced. As ESMA states in its 2017 annual report, there is a great deal of interest …” „… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153, p. 35, margin no …” „… third country central counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA …”

Article 27 S. 1092-1093

„… referred to in this Article in their annual reports. Article 28 1. Competent authorities shall establish …” „… Council (),1 the relevant total annual turnover shall be the total annual turnover or the corresponding …” „… simultaneously report those administrative sanctions or measures to the competent ESA. 1 Directive 2013/34/EU of …”

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

„… in the key investor information document or the annual and half-yearly reports as well. Also, changes …” „… Audited accounting information, reproduction of auditors’ statement in annual report The accounting …” „… information given in the annual report shall be audited by one or more persons empowered by law to audit …”

Articles 14 to 20 S. 1284-1288

„… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153 ESMA, Guidelines and …” „… central counterparties – 2017 Annual Report and 2018 Work Programme, ESMA80-199-153 of 8 February 2018, p …” „… third country central counterparties – 2017 Annual Report and 2018 Work Programme, ESMA80-199-153 of 8 …”

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

„… disclose any payments to governments worldwide in an annual report. The provision is mostly applicable to …” „… ‘separate report’, thus not to be incorporated into the annual financial report. Article 6 requires the …” „… additional periodic financial information (including quarterly reports). This may be due to marketing reasons …”

Article 71 Publication of decisions S. 368-371

„… information in an annual report. Where Member States have chosen, in accordance with Article 70, to lay down …” „… sanctions imposed. ESMA shall publish data on criminal sanctions imposed in an annual report. 5. Where the …” „… competent authorities to report to ESMA. These reporting obligations include, inter alia, the communication …”

Article 9 Outsourcing S. 1276-1277

„… third country central counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA …” „… ratings cannot be outsourced. As ESMA states in its 2017 annual report, there is a great deal of interest …” „… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153, p. 35, margin no …”

Article 63 Additional disclosures to investors and feeder’s competent authority S. 1404-1405

„… annual report of the feeder UCITS shall include a statement on the aggregate charges of the feeder UCITS …” „… and the master UCITS. The annual and the half-yearly reports of the feeder UCITS shall indicate how …” „… the annual and the half-yearly report of the master UCITS can be obtained. 3. In addition to the …”

Article 76 Publication of unit prices S. 1416-1417

„… , annual and biannual reports to investors. The rule reflects the changing realities of the digital age …” „… request and free of charge. According to Art 75(3) of UCITSD the annual and half-yearly reports are to be …” „… marketing information other than those that the UCITSD prescribes (prospectus, annual and bi-annual report …”

Article 28 b Sanctioning powers S. 1219-1222

„… )). Breaches by the issuer include the periodic requirements to publish annual and halfyearly financial reports …” „… (Articles 4 and 5) and a report on payments to governments (Article 6), as well as the additional …” „… entity, – up to EUR 10,000,000 or up to 5 % of the total annual turnover according to the last available …”

Article 28 a Breaches S. 1219

„… )). Breaches by the issuer include the periodic requirements to publish annual and halfyearly financial reports …” „… (Articles 4 and 5) and a report on payments to governments (Article 6), as well as the additional …” „… entity, – up to EUR 10,000,000 or up to 5 % of the total annual turnover according to the last available …”

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

„… manages, a management company, shall publish the following: (a) a prospectus; (b) an annual report for …” „… . 2. The annual and half-yearly reports shall be published within the following time limits, with …” „… effect from the end of the period to which they relate: (a) four months in the case of the annual report …”

Articles 21 to 25 a S. 1288-1291

„… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153. ESMA, Guidelines …” „… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153, p. 29, margin no 79 …” „… agencies, trade repositories and monitoring of third country central counterparties – 2017 Annual Report …”

Article 24 S. 1091-1092

„… , the corresponding value in the national currency on 30 December 2014, or up to 3 % of the total annual …” „… Parliament and of the Council (),1 the relevant total annual turnover shall be the total annual turnover or …” „… public, it shall simultaneously report those administrative sanctions or measures to the competent ESA. 1 …”

Article 43 S. 594-597

„… 2013 on the annual financial statements, consolidated financial statements and related reports of …” „… of 26 June 2013 on the annual financial statements, consolidated financial statements and related …” „… reports of certain types of undertakings, amending Directive 2006/43/EC of the European Parliament and of …”

Article 29 S. 1093-1095

„… reports. Article 28 1. Competent authorities shall establish effective mechanisms to enable reporting of …” „… 2. The competent authority shall, on an annual basis, provide the competent ESA with aggregate …” „… Article 24(2). 3. The ESAs shall publish the information referred to in this Article in their annual …”

Article 28 Administrative measures and sanctions S. 1216-1219

„… the Financial Services Sector COM(2010) 716 final (8 December 2010). 4 CESR, Report on the Mapping of …” „… (lit. (b)). Breaches by the issuer include the periodic requirements to publish annual and halfyearly …” „… financial reports (Articles 4 and 5) and a report on payments to governments (Article 6), as well as the …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 3 1114 Chapter II Periodic information Annual financial reports …” „… . . . . . . . . . . . . . . . . . . . . .Article 10 1148 Annual financial reports …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 25 494 Obligation to report transactions …”

Article 25 S. 1092

„… Council (),1 the relevant total annual turnover shall be the total annual turnover or the corresponding …” „… simultaneously report those administrative sanctions or measures to the competent ESA. 1 Directive 2013/34/EU of …” „… the European Parliament and of the Council of 26 June 2013 on the annual financial statements …”

Article 26 S. 1092

„… Council (),1 the relevant total annual turnover shall be the total annual turnover or the corresponding …” „… simultaneously report those administrative sanctions or measures to the competent ESA. 1 Directive 2013/34/EU of …” „… the European Parliament and of the Council of 26 June 2013 on the annual financial statements …”

Article 8 d Use of multiple credit rating agencies S. 1274-1276

„… country central counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA …” „… annual turnover generated from credit rating activities and ancillary services, at group level. 4 At …” „… Securities and Financial Markets Regulation, VII.2.8.2 (p. 667 et seq.). 2 European Commission, Report from …”

Article 28 S. 1093

„… reports. Article 28 1. Competent authorities shall establish effective mechanisms to enable reporting of …” „… 2. The competent authority shall, on an annual basis, provide the competent ESA with aggregate …” „… Article 24(2). 3. The ESAs shall publish the information referred to in this Article in their annual …”

Article 44 S. 597-598

„… Article 44 A company must have published or filed its annual accounts in accordance with national …” „… generally that a company has published or filed its annual accounts in accordance with national law for the …” „… : publication or filing of annual accounts for the preceding three years As a general rule, the first sentence …”

Article 77 Marketing communications S. 1417-1418

„… (prospectus, annual and bi-annual report, key investor information document, net asset value price, other …” „… limited to where and how the prospectus and the annual and half-yearly report can be obtained on request …”

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

„… suffer any adverse effects for doing so. In its 2017 Annual Report, ESMA states its view that compliance …” „… counterparties – 2017 Annual Report and 2018 Work Programme, ESMA80-199-153 of 8 February 2018, p. 34 No 109. 26 …” „… annual revenue of the agency)16 and when a shareholder or member of the rating agency holding 5% or more …”

Article 99 d Protection of whistleblowers S. 1445-1447

„… . ESMA shall publish that information in an annual report. 2. Where the competent authority has disclosed …” „… report. The objective of the reporting requirement is the assumption that a certain level of financial …” „… person or the annual income in the case of a natural person; (d) the importance of the profits gained or …”

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

„… in Articles 4, 9, 10 and 11 and regularly report, at least on an annual basis, to the European …” „… the parties involved. Member States shall, at regular intervals, publish assessment reports on the …” „… and preparing reports to the European Parliament and to the Council on the international application …”

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

„… an annual basis. These periodic reports must include details about price, costs, speed and likelihood …” „… quality of execution of transactions on that venue on at least an annual basis and that following …” „… was executed. Periodic reports shall include details about price, costs, speed and likelihood of …”

Article 30 Asset stripping S. 1527-1529

„… The additional information that must be included in either or both annual reports is prescribed by …” „… required under Art 29 if they are only contained in the AIF’s annual report. Article 30 Asset stripping 1 …” „… date of the last financial year the net assets as set out in the company’s annual accounts are, or …”

Article 33 Exchange of information with ESMA S. 868-869

„… publish that information in an annual report. Competent authorities shall also provide ESMA annually with …” „… 30, 31 and 32. ESMA shall publish data on criminal sanctions imposed in an annual report. 3. Where …” „… “pre-existing” duty based on law or a contract to report the information exists. This exception might stimulate …”

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

„… the calculation of the total annual turnover with respect to parent undertakings and subsidiaries …” „… of a legal person or the annual income of a natural person; (d) the importance of the profits gained …” „… reports of infringements and their follow-up, including the establishment of secure communication channels …”

Article 14 Authorisation of a CCP S. 1612-1613

„… regularly report, at least on an annual basis, to the European Parliament and the Council. Where the report …” „… authorities, the Commission shall, within 30 calendar days of the presentation of the report, withdraw the …” „… decision is subject to annual review and may be withdrawn. TITLE III AUTHORISATION AND SUPERVISION OF CCPS …”

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

„… assisted by ESMA in monitoring and preparing reports, at least on an annual basis, to the European …” „… report, at least on an annual basis, to the European Parliament and to the Council. Within 30 calendar …” „… days of the presentation of the report where the report reveals a significant defect or inconsistency …”

Article 21 Depositary S. 1504-1512

„… discharge its liability. Chapter IV Transparency requirements Article 22 Annual report 1. An AIFM shall, for …” „… annual report for each financial year no later than 6 months following the end of the financial year. The …” „… annual report shall be provided to investors on request. The annual report shall be made available to the …”

Articles 34 to 35 S. 1293-1294

„… third country central counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA …” „… repositories and monitoring of third country central counterparties – 2017 Annual Report and 2018 Work …”

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

„… content of the annual and halfyearly report, including details concerning the remuneration policy …” „… use periodic disclosure in the annual report.2 ESMA has yet to develop draft regulatory technical …”

Article 7 Authorisation of deferred publication S. 425-428

„… trade-publication and shall submit an annual report to the Commission on how they are applied in practice. Where a …” „… monitor the deferring process and must submit an annual report to the Commission explaining how deferments …” „… ) 2017/587.10 When a trade report is cancelled, a new report has to be published which contains all the …”

Article 21 Review and evaluation S. 1617-1621

„… ESMA annual Report (2012), 39. 6 EMIR Review – Second set of amendments – June 2017. Art. 21 EMIR 5 …” „… concerned. The review and evaluation shall be updated at least on an annual basis. The CCPs shall be subject …” „… Level Group on Financial Supervision in the EU, Report (2009) 25; however the consideration of the …”

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

„… clarified that existing phone, communications and data traffic reports could be used by the competent …” „… the national currency on 17 September 2014, or 10 % of the total annual turnover of the legal person …” „… accordance with Directive 2013/34/EU of the European Parliament and of the Council, the relevant total annual …”

Article 20 Languages S. 1189-1193

„… requirements under Articles 4-6 such as the annual financial report, the half-yearly report, and the report on …” „… periodic information requirements under Articles 4-6 such as the annual financial report, the half-yearly …” „… report, and the report on payments to governments. It would also apply to the publication of received …”

Article 4 Use of credit ratings S. 1242-1246

„… repositories and monitoring of third country central counterparties – 2017 Annual Report and 2018 Work …” „… Annual Report and 2018 Work Programme, ESMA80-199-153 of 8 February 2018, No 73 (p. 27). 6 Commission …” „… . Level 3: ESMA, Final report – Update of the guidelines on the application of the endorsement regime …”

Article 18 Entry into force S. 1784-1785

„… – fundamentals MiFID II 17 5 et seq. Annual class determination MiFIR 14 14 Annual financial report – 2013 …”

Article 33 SME growth markets S. 217-221

„… issuer on the market, for example audited annual reports; (e) issuers on the market as defined in point …” „… publish annual financial reports within 6 months after the end of each financial year, and half-yearly …” „… documents, reports and information are published.6 Moreover, Art 33(3)(d) MiFID II requires operators of …”

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

„… Articles 14 and 15, EUR 15,000,000 or 15 % of the total annual turnover of the legal person according to …” „… of Articles 16 and 17, EUR 2,500,000 or 2 % of its total annual turnover according to the last …” „… consolidated financial accounts pursuant to Directive 2013/34/EU, the relevant total annual turnover shall be …”

Article 32 Trading obligation procedure S. 519-524

„… 29 and regularly report, at least on an annual basis, to the European Parliament and to the Council …” „… conflicting rules (1) The Commission shall be assisted by ESMA in monitoring and preparing reports, at least …” „… on an annual basis, to the European Parliament and to the Council on the international application of …”

Article 50 Eligible assets S. 1381-1385

„… in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities …” „… capital and reserves amount to at least EUR 10,000,000 and which presents and publishes its annual …” „… ) of the Treaty on the annual accounts of certain types of companies, is an entity which, within a …”

Article 1 Subject matter and scope S. 1099-1104

„… annual report. See also Articles 15 and 16 of that Directive on the squeeze-out and sell-out rights. For …” „… (→ Art 4-8) impose a continuing obligation to disclose financial reports on the issuer to satisfy the …” „… European Commission, Report from the Commission to the Council, the European Parliament, the European …”

Article 2 Definitions S. 1104-1114

„… on a more frequent basis than the annual financial reports referred to in Article 4 and the …” „… basis than the annual financial reports referred to in Article 4 and the half-yearly financial reports …” „… covered by TD.30 Noteworthy examples include prospectuses,31 annual corporate governance statements …”

Article 11 Incorporation by reference S. 995-997

„… are the following: (1) annual and interim financial information; (2) documents prepared on the …” „… occasion of a specific transaction such as a merger or de-merger; (3) audit reports and financial …” „… incorporates by reference the annual financial statements drawn up in Polish. See the paragraph below for the …”

Article 13 Accepted market practices S. 756-767

„… monitor the application of accepted market practices and shall submit an annual report to the Commission …” „… markets concerned, and submit an annual report on its findings to the Commission (Art 13(10)). Legislative …” „… authorities, forms the basis of an annual report on the operation of the AMP regime which is provided to the …”

Article 13 Public disclosure fees S. 1283-1284

„… agencies, trade repositories and monitoring of third country central counterparties – 2017 Annual Report …” „… Regulation 2015/2 as of 1 January 2016.5 Article 12 Transparency report A credit rating agency shall publish …” „… annually a transparency report which includes information on matters set out in Part III of Section E of …”

Article 11 Authorisation of deferred publication S. 442-450

„… application of those arrangements for deferred trade-publication and shall submit an annual report to the …” „… participants and the public.9 ESMA must monitor the deferrals and must submit an annual report to the …” „… MiFIR.4 After these three years, this is reduced to 5 minutes. If a trade report which has already been …”

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

„… in an annual report. 2. Where the competent authority has disclosed administrative penalties or …” „… measures to the public, it shall simultaneously report those administrative penalties or measures to ESMA …” „… , competent authorities need to report to ESMA all penalties imposed in an aggregated manner; ESMA will …”

Article 13 Remuneration S. 1489-1492

„… also includes requirements with respect to remuneration disclosure. The annual report which each AIFM …” „… the remuneration policy periodically; (d) at least on an annual basis, the implementation of the …”

Article 72 Exercise of supervisory powers and powers to impose sanctions S. 371-373

„… obligations for national competent authorities to report to ESMA. These reporting obligations include, inter …” „… or the annual income and net assets of the responsible natural person; (d) the importance of profits …” „… reports on potential or actual infringements and their follow-up, including the establishment of secure …”

Article 7 Responsibility and liability S. 1135-1137

„… to be disclosed under Articles 4, 5, 6, and 16, thus the annual financial reports, the half-yearly …” „… financial reports, the report on payments to governments, and the additional information disclosed under …” „… Article 16. Out of these, solely the reference to the payments report in Article 6 could be in doubt, as …”

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

„… authorities of its home Member State: (a) an annual report of each EU AIF managed by the AIFM and of each AIF …” „… . Article 24 Reporting obligations to competent authorities 1. An AIFM shall regularly report to the …” „… obligations to report and provide information provided for in this Article. Those measures shall take into …”

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

„… Commission Delegated Regulation (EU) 2017/587.10 When a trade report is cancelled, a new report has to be …” „… published which contains all the information in the original report and a specific cancellation “flag …” „… The same applies if a trade report is later amended, and a new report with the corrected details and …”

Article 42 Validation of valuation, merger-related payments, exchange ratio S. 1374-1375

„… Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, to validate the …” „… independent auditors for the purposes of paragraph 1. 3. A copy of the reports of the independent auditor, or …” „… information, the right to obtain a copy of the report of the independent auditor or the depositary on request …”

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

„… its instruments of incorporation, its prospectus and, where appropriate, its latest annual report and …” „… any subsequent half-yearly report translated in accordance with the provisions of Article 94(1)(c) and …”

Article 20 Withdrawal of authorisation S. 1616-1617

„… competent authority shall conduct a risk assessment of the CCP and submit a report to the college. Within 30 …” „… calendar days of receipt, and on the basis of the findings in, that report, the college shall reach a joint …” „… the activities of the CCPs concerned. The review and evaluation shall be updated at least on an annual …”

Article 30 Transitional provisions S. 1226-1227

„… drawing up its financial statements in accordance with Article 4(3) and its management report in …” „… that annual financial statements prepared by issuers from such a third country give a true and fair …” „… from disclosing half-yearly financial report in accordance with Article 5 for 10 years following 1 …”

Article 35 Addressees S. 1230-1231

„… country central counterparties – 2017 Annual Report and 2018 Work Programme of 8 February 2018, ESMA …” „… 80-199-153; ESMA, Final Report – Update of the guidelines on the application of the endorsement regime under …”

Article 49 Compartments deemed UCITS S. 1380-1381

„… business of the other collective investment undertakings is reported in half-yearly and annual reports to …” „… by the sufficiently independent and qualified institution (auditor or depositary) and a report must …” „… enable an assessment to be made of the assets and liabilities, income and operations over the reporting …”

Article 8 a Sovereign ratings S. 1269-1271

„… reports. Such reports shall be made publicly available. 2. Public communications other than credit ratings …” „… , rating outlooks, or accompanying press releases or reports as referred to in point 5 of Part I of Section …” „… website and submit to ESMA on an annual basis, in accordance with point 3 of Part III of Section D of …”

Article 41 Verification by depositary of merging and receicing UCITS S. 1374

„… Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, to validate the …” „… independent auditors for the purposes of paragraph 1. 3. A copy of the reports of the independent auditor, or …”

Article 32 Reporting of infringements S. 865-868

„… that information in an annual report. Competent authorities shall also provide ESMA annually with …” „… for reporting and for following-up reports, and measures for the protection of persons working under a …” „… the receipt of reports of infringements and their follow-up, including the establishment of secure …”

Article 19 Home Member State control S. 1187-1189

„… concerns, inter alia, the periodic information requirements under Articles 4-6 such as the annual financial …” „… report, the half-yearly report, and the report on payments to governments. It would also apply to the …”

Article 30 S. 1095-1096

„… entities the higher of (i) up to EUR 5,000,000, or (ii) up to 3 per cent of the total annual turnover of …” „… impose on each national competent authority the obligation to report to competent European Supervisory …” „… of three years from 30 December 2014. The Commission shall draw up a report in respect of the …”

Article 15 Execution of client orders S. 458-463

„… to be published under Art 14 MiFIR. Annual class determination (Art 14(6) MiFIR) The determination as …” „… authority of the most relevant market in terms of liquidity on, at least, an annual basis under Art 26 MiFIR …” „… public on their websites the specific publication arrangements (see Art 17(3)(a) MiFIR) used to report …”

Index S. 1785-1803

„… – fundamentals MiFID II 17 5 et seq. Annual class determination MiFIR 14 14 Annual financial report – 2013 …” „… filing system TD 19 1 et seq. Transparency requirements EMIR 9 – annual report AIFMD 22 1 et seq …” „… . – liability TD 7 8 – management report TD 4 12 et seq. – origins TD 4 2 – publication TD 4 17 et seq …”

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

„… reflect the purpose of the report, which is to prove whether the recommendation given was, in fact …” „… will carry out a periodic assessment of suitability, the periodic report must contain an updated …” „… quality of execution of transactions on that venue on at least an annual basis and that following …”

Article 9 Reporting obligation S. 1596-1600

„… supervision of credit rating agencies and trade repositories: 2016 annual report and 2017 work plan’ (2017), 3 …” „… , counterparties shall agree, before the reporting deadline, on the number of separate reports to be sent to a …” „… respective responsibilities and mandates. 4. A counterparty or a CCP that reports the details of a derivative …”

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

„… the application of the waivers and submit an annual report to the Commission on how they are applied …” „… annual report to the Commission detailing how waivers apply in practice. 5. 6. 7. 28 ESMA, Q&A on MiFID …” „… ESMA, Final Report, Draft RTS on package orders for which there is a liquid market, 28 February 2017 …”

Article 4 Definitions S. 22-34

„… monitor the firm’s solvency and that of its proprietors; (c) the firm’s annual accounts must be audited by …” „… to provide the service of publishing trade reports on behalf of investment firms pursuant to Articles …” „… authorised under this Directive to provide the service of collecting trade reports for financial instruments …”

Article 40 Common draft terms of merger S. 1373-1374

„… statutory audits of annual accounts and consolidated accounts, to validate the following: (a) the criteria …” „… the purposes of paragraph 1. 3. A copy of the reports of the independent auditor, or, where applicable …”

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

„… of non-EU AIFMs 1. ESMA shall, on an annual basis, conduct a peer review analysis of the supervisory …” „… . In the report referred to in Article 43(5) of Regulation (EU) No 1095/2010, ESMA shall inform the …” „… in the future. 9. The Commission shall duly take those reports into account in its review of this …”

Article 55 Investment limits for UCI target investments S. 1393-1394

„… indicate in its annual report the maximum proportion of management fees charged both to the UCITS itself …”

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

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 4. Recipient of the reports …” „… .2 It also allowed to report through unofficial third parties. MiFIR considerably expands and …” „… standards for the annual publication by investment firms of information on the identity of execution venues …”

Article 3 Exclusions from the scope S. 1323-1324

„… the annual financial statements, consolidated financial statements and related reports of certain …”

Article 21 Access to regulated information S. 1193-1197

„… 4-6 such as the annual financial report, the half-yearly report, and the report on payments to …” „… ]’, suggesting that the issuer’s (reasonable) expectation matters. 11 I.e. the reports and statements referred to …”

Article 14 Conflicts of interest S. 1492-1493

„… remuneration committee. AIFMD also includes requirements with respect to remuneration disclosure. The annual …” „… report which each AIFM must produce for every EU AIF it manages and for every AIF it markets in the EU …”

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

„… (→ Art 21) and the annual report (→ Art 22) with respect to such non-EU AIF. By contrast, EU AIFM must …”

Article 50 Synchronisation of business clocks S. 296-299

„… mesures Annual Report on Time Activities. See Art 1 of the Commission Delegated Regulation (EU) 2017/574 …” „… Delegated Regulation (EU) 2017/590, which specifies that a date and time in a transaction report must refer …” „… to the moment when the parties decide the content which is recorded in certain fields of the report …”

Article 1 Purpose and scope S. 951-958

„… , http://ec.europa.eu/finance/securities/docs/esme/report-qualified-investor_en.pdf. 5 2004 Prospectus Regulation under rec 20 clarifies that securities issued by third countries or …” „… last annual or consolidated accounts, meet at least two of the following three criteria: an average …” „… 43,000,000 and an annual net turnover not exceeding EUR 50,000,000; g. ‘credit institution’ means an …”

Article 2 Definitions S. 958-965

„… ; f. ‘small and medium-sized enterprises’ means companies, which, according to their last annual or …” „… the financial year of less than 250, a total balance sheet not exceeding EUR 43,000,000 and an annual …” „… report on MiFID I, published by the European Commission on October 31 2008, and available at …”

Article 8 Exemptions S. 1137-1140

„… ranking pari passu under Article 18. II. Commentary The obligation to publish annual financial reports …” „… and half-yearly financial reports under Articles 4 and 5 theoretically applies to all issuers of …” „… credit institutions that issue only debt securities from the half-yearly financial reporting requirement …”

Article 93 Notification procedure S. 1433-1436

„… instruments of incorporation, its prospectus and, where appropriate, its latest annual report and any …” „… subsequent half-yearly report translated in accordance with the provisions of Article 94(1)(c) and (d); and …”

Article 34 Publication of decisions S. 869-874

„… in an annual report. 3. Where the competent authority has disclosed administrative or criminal …” „… person subject to that decision has been informed of that decision. Such pub- 1. 2. 1 ESMA, Final report …” „… Report (11535/12, 21 June 2012), para 4 et seq. 3 On the contrary view see Rüdiger Veil …”

Articles 26 to 32 S. 1291-1293

„… counterparties – 2017 Annual Report and 2018 Work Programme, 8 February 2018, ESMA80-199-153. II. Commentary In …”

Article 56 Prohibition of controlling stakes S. 1394-1396

„… to invest. It shall indicate in its annual report the maximum proportion of management fees charged …”

Articles 32 to 41 S. 937-939

„… imposed on an annual basis. Chapter VII-IX Delegated acts, implementing acts, and transitional and final …” „… . This communication draws on the insights of the now famous de Larosière- Report. Recital 41 SSR …”

Articles 42 to 48 S. 939-941

„… on an annual basis. Chapter VII-IX Delegated acts, implementing acts, and transitional and final …” „… . This communication draws on the insights of the now famous de Larosière- Report. Recital 41 SSR …”

Article 1 Subject matter S. 1231-1234

„… country central counterparties – 2017 Annual Report and 2018 Work Programme of 8 February 2018, ESMA …” „… 80-199-153; ESMA, Final Report – Update of the guidelines on the application of the endorsement regime under …”

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

„… its intention of exercising them; 56 See further → Art 28 b mn 9 et seq. 57 ESMA, Final Report on …” „… Directive (response to the European Commision’s Report), November 2013, available at …” „… Marccus Partners, Transparency Directive Assessment Report- Prepared for the European Commission Internal …”

Article 29 Publication of decisions S. 1223-1226

„… ) and its management report in accordance with Article 4(5) as long as (a) the competent authority of …” „… the home Member State acknowledges that annual financial statements prepared by issuers from such a …”

Article 17 Algorithmic trading S. 120-134

„… deployment of algorithms Testing and deployment of trading algorithms systems and strategies Art 9 Annual …” „… request to report, either regularly or ad-hoc, the nature of its algorithmic trading strategies, details …” „… algorithmic trading. Record keeping (Art 17(2), fourth para MiFID) The reports, as well as the algorithms used …”

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

„… and 54 of Directive 2014/65/EU. A person referred to in the first subparagraph shall report orders and …” „… and maintain effective arrangements, systems and procedures to detect and report suspicious orders and …” „… regulatory technical standards are based on earlier work by CESR regarding suspicious transactions reports …”

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

„… limited to where and how the prospectus and the annual and half-yearly report can be obtained on request …”

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

„… positary (→ Art 21) and the annual report (→ Art 22) with respect to such non-EU AIF. By contrast …”

Article 20 Investment recommendations and statistics S. 824-833

„… Report obligation Under Art 38, the European Commission is required to submit a report to the …” „… European Parliament and to the Council on the application of MAR by 3 July 2019. Inter alia, that report …” „… , the report should include a legislative proposal to amend it if appropriate. Article 20 Investment …”

Article 3 Optional exemptions S. 18-22

„… journalist or TV reporter who give investment advice through the media. Since they have another profession …” „… proprietors; (c) the firm’s annual accounts must be audited by one or more persons empowered, under national …”

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

„… annual reports; (e) issuers on the market as defined in point (21) of Article 3(1) of Regulation (EU) No …” „… , therefore, also subject to publication obliga- 8 ESMA, Final Report: Draft implementing technical standards …” „… ongoing periodic financial reporting by or on behalf of an issuer on the market, for example audited …”

Article 4 Definitions S. 1471-1477

„… subsidiaries or associated companies, as evidenced in its annual report or other official documents; (p) ‘home …” „… 2013 paper “Final Report Guidelines on Key Concepts of the AIFMD” (“ESMA Key Concepts Paper …”

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

„… any existing periodic reporting to clients.58 The annual post-sale information must be provided once a …” „… Delegated Directive. 19 ESMA, Final report: Guidelines on MiFID II product governance requirements, 2 June …” „… ESMA, Final report: Guidelines on MiFID II product governance requirements, 2 June 2017 …”

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

„… disruptions to the orderliness of trading. Member States shall ensure that a regulated market reports the …” „… consistent and comparable manner, and that the competent authority shall in turn report them to ESMA. Member …” „… 2014), p. 471. 3 ESMA, Final Report, Technical Advice on the Evaluation of certain elements of the …”

Article 2 Definitions S. 1317-1323

„… Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial …” „… statements, consolidated financial statements and related reports of certain types of undertakings, amending …”

Article 4 Waivers for equity instruments S. 408-417

„… submit an annual report to the Commission on how they are applied in practice. 5. A competent authority …” „… Regulation or Directive 2014/65/EU and to report attempts to the competent authority. Where a competent …” „… should not allow trading venues to report transactions executed outside limits established in accordance …”

Article 35 a Civil Liability S. 1294-1301

„… counterparties – 2017 Annual Report and 2018 Work Programme, ESMA80-199-153 of 8 February 2018, p. 30 margin no …” „… PENALTIES, COMMITTEE PROCEDURE, REPORTING AND TRANSITIONAL AND FINAL PROVISIONS Chapter I Penalties …” „… , committee procedure and reporting Articles 36 to 39 Arts 36 through 39 are not reproduced here. I. General …”

Article 18 Insider lists S. 799-808

„… ); ESMA, Peer Review on Supervisory Practices against Market Abuse: Follow-up report, ESMA/2015/1905 …” „… knowledge of the inside information. This would likely be necessary when an absence due to illness or annual …” „… confusion: Some firms are reported to (incorrectly) interpret the provision to mean that passport numbers or …”

Article 16 Organisational requirements S. 65-120

„… requirements for small and medium credit institutions, see EBA, Proportionality in Bank Regulation, A Report by …” „… Research Institute Report, 2014; Hackethal and Inderst, Auswirkungen der Regulatorik auf kleinere und …” „… manner to the competent authority financial reports which reflect a true and fair view of their financial …”

Article 70 Sanctions for infringements S. 362-368

„… up to 10% of the total annual turnover of the legal person according to the last available accounts …” „… 2013/34/EU, the relevant total annual turnover shall be the total annual turnover or the corresponding …” „… fines, which may be determined by law or based on annual turnover of a legal person (point (f)), but may …”

Articles 36 to 39 S. 1301-1303

„… Art 36a(2) CRA Regulation. A fine may not exceed 20% of annual turnover of the rating agency, pursuant …” „… 3, the fine shall not exceed 20 % of the annual turnover of the credit rating agency concerned in …” „… to refer to the EuGVVO.36 TITLE IV PENALTIES, COMMITTEE PROCEDURE, REPORTING AND TRANSITIONAL AND …”

Article 99 c Factors to be taken into account when sanctioning S. 1445

„… person or the annual income in the case of a natural person; (d) the importance of the profits gained or …” „… mechanisms to encourage the reporting of potential or actual infringements of national provisions transposing …” „… this Directive to competent authorities, including secure communication channels for reporting such …”

Article 99 b Name and shame S. 1444-1445

„… person or the annual income in the case of a natural person; (d) the importance of the profits gained or …” „… mechanisms to encourage the reporting of potential or actual infringements of national provisions transposing …” „… this Directive to competent authorities, including secure communication channels for reporting such …”

Article 11 General and periodic disclosures S. 1280-1281

„… and shall publish summary information on the main developments observed on an annual basis. 3. A …” „… technical standards for the periodic reporting on fees charged by credit rating agencies for the purpose of …” „… regulatory technical standards for the periodic reporting on fees charged by credit rating agencies for the …”

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

„… received at annual general meetings of shareholders and members or as a result of compliance with the regu …” „… not need to be reported. In a similar vein, the transaction does not need to be reported prior to its …”

doi.org/10.5771/9783845279893

Finn Arnesen, Halvard Haukeland Fredriksen, Hans Petter Graver, Ola Mestad, Christoph Vedder - Agreement on the European Economic Area

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Finn Arnesen (ed.), Halvard Haukeland Fredriksen (ed.), Hans Petter Graver (ed.), Ola Mestad (ed.), Christoph Vedder (ed.)

Agreement on the European Economic Area

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2018

Results in this title

Per Andreas Bjørgan Article 21 [Annual report] S. 1006-1007

„… their interests before ESA. Article 21 [Annual report] The EFTA Surveillance Authority shall annually …” „… 3 4 5 The EFTA Surveillance Authority has published annual reports since 1994. The reports describe …” „… publish a general report on its activities. PART III: The Agreement on ESA and EFTA Court 1006 Bjørgan 1 2 …”

Dora Sif Tynes Article 94 [The EEA Joint Committee: presidency, meetings, sub-committees and working groups] Functioning of the EEA Joint Committee S. 786-789

„… case. 4. The EEA Joint Committee shall issue an annual report on the functioning and development of …” „… technical regulations where no adaptation text is usually required.10 III. Annual report The EEA Joint …” „… Committee is to issue an annual report on the functioning and development of the Agreement which is subject …”

Peter-Christian Müller-Graff Article 77 [Provisions on company law] S. 742-751

„… Agreement of Dir. 2013/34/EU on the annual financial statements and related reports of certain types of …” „… XXII Dir. 2013/34/EU on the annual financial statements, consolidated financial statements and related …” „… reports of certain types of undertakings. The EEA decision-making procedure is further commented upon by …”

Dora Sif Tynes Article 95 [The EEA Joint Parliamentary Committee] S. 789-791

„… the annual report of the EEA Joint Committee, issued in accordance with Article 94(4), on the …” „… committee has the fixed task of examining the Annual Report of the EEA Joint Committee. The EEA Joint …” „… express its views in the form of reports or resolutions, as appropriate. It shall, in particular, examine …”

Margrét Einarsdóttir, Ragnhildur Helgadóttir Iceland and the EEA S. 13-35

„… Agreement each year were mentioned in the annual report of the Foreign Minister to Parliament. See e.g …” „… Annual report of the Minister of Foreign Affairs to Parliament 2016 https://www.utanr …” „… . Literature Alþingistíðindi, A 1992-1993, þskj. 1, 224; Annual report of the Foreign Minister to Parliament …”

Per Andreas Bjørgan Introduction to Part III Article 22 Monitoring the application of the EEA Agreement S. 1007

„… The EFTA Surveillance Authority has published annual reports since 1994. The reports describe the …” „… main events, tasks, cases and statistics for the last year. The reports are available on the EFTA …”

Dora Sif Tynes Article 96 [The EEA Consultative Committee] S. 791-792

„… has the fixed task of examining the Annual Report of the EEA Joint Committee. The EEA Joint …” „… that the committee may express its views in reports and resolutions as appropriate. The committee …” „… in the form of reports or resolutions, as appropriate. 3. The EEA Consultative Committee shall adopts …”

Per Andreas Bjørgan Article 20 [Language] S. 1005-1006

„… their interests before ESA. Article 21 [Annual report] The EFTA Surveillance Authority shall annually …” „… publish a general report on its activities. PART III: The Agreement on ESA and EFTA Court 1006 Bjørgan 1 2 …”

Christian Jordal, Gjermund Mathisen Article 62 [Review of State aid through the ESA and the Commission] S. 598-605

„… , with provisions on the form, content and other details of notifications, annual reports and complaints …” „… , on monitoring, has rules on annual reports from the EFTA States on their existing aid schemes (Art …”

Per Andreas Bjørgan Article 22 [Monitoring the application of the EEA Agreement and the SCA] S. 1007-1009

„… The EFTA Surveillance Authority has published annual reports since 1994. The reports describe the …” „… main events, tasks, cases and statistics for the last year. The reports are available on the EFTA …”

Per Andreas Bjørgan Article 14 [The staff of the EFTA Surveillance Authority] S. 1002-1003

„… , normally for two years. 1 ESA Annual Report 1994, available at www.eftasurv.int. PART III: The Agreement on …”

Halvard Haukeland Fredriksen, Jóhanna Jónsdóttir Article 3 [Responsibilities] S. 1085-1089

„… ) examine matters relative to capital movements and prepare reports thereon in cases where, according to the …” „… the EC Commission prepare, as appropriate, reports, assessments or the like with regard to the EFTA …” „… Committee shall prepare reports referred to in the said paragraph 5 in cases where these reports cover …”

Karl Harald Søvig Article 70 [Equal treatment of men and women] S. 683-690

„… 2012).17 The annual increase in female researchers in Norway during the period 2005–2011 was 5%, while for …” „… , She Figures (2015), Figure 4.8. Compound annual growth rate for researchers in the higher education …” „… example, the Norwegian trade union Lederne is a member of CEC European Managers. 6 See the Final Report by …”

Dora Sif Tynes Article 109 [The two-pillar surveillance system] S. 852-860

„… et al v Commission. 16 Further information on joint inspections is available in ESA’s annual reports …” „… regard, ESA and the Commission have bi-annual meetings. The former meeting takes place in the …”

Jóhanna Jónsdóttir Introduction to EEA cooperation outside the four freedoms S. 751-753

„… auditors and audit firms), environmental issues in the annual accounts and reports of companies …”

Dora Sif Tynes Article 93 [Composition of the EEA Joint Committee, decision‑making] S. 784-786

„… EEA Joint Committee in each individual case. 4. The EEA Joint Committee shall issue an annual report …”

Halvard Haukeland Fredriksen, Jóhanna Jónsdóttir Article 5 [Subcommittees and working groups] S. 1090-1095

„… nature, 1 According to the EFTA Annual Report for 2015, the Working Group on Food Chain oversaw the …”

Halvard Haukeland Fredriksen Article 111 [Dispute resolution in the EEA Joint Committee] S. 865-883

„… act on the matter.34 2. 31 EEA Joint Committee, Annual Report 2001, 19 April 2002, Part II, Point 10 …” „… . 32 EEA Joint Committee, Annual Report 2003, Annex 1, p. 3. 33 Joined Cases C-207/03 and C-252/03 …” „… Swiss-EU market access agreements; see the report by Pirker in Part I of this book. 47 The case is …”

Per Andreas Bjørgan Article 13 [Rules of procedure] S. 997-1002

„… work in ESA for a limited period, normally for two years. 1 ESA Annual Report 1994, available at …”

Thomas Chr. Poulsen Article 42 [Protocols and Annexes as integral part of the SCA] S. 1051-1056

„… notifications and annual reports referred to in Part II of Protocol 3. It also provides rules on calculation of …”

Titelei/Inhaltsverzeichnis

„… .................................................................................. 1 PART I: General Reports Iceland and the EEA …” „… Language .....................................................................Article 20 1005 Annual …” „… report ...............................................................Article 21 1006 Part III: The EFTA …”

Per Christiansen Article 117 [Provisions governing the EEA financial mechanism] S. 894-904

„… a sum of ECU 500 million. The annual interest rate rebates were set to be two percent and available …” „… report. The EEA Council may, where appropriate, take the political decisions with a view to opening …” „… to use local systems for its implementation, budgeting, management, procurement and reporting …”

Berte-Elen R. Konow Article 72 [Provisions on consumer protection] S. 691-713

„… http://ec.europa.eu/consumers/solving_consumer_disputes/non-judicial_redress/ecc-net/index_en.htm or https://forbrukereuropa.no/en/; see also ECC-Net Report, March 2013. 42 See Nebbia & Askham, EU …” „… Reporter (2016) 134-142, at p. 140. 50 Case C-49/11, 5.7.2012, Content Services. 51 See Baudenbacher …” „… , ‘After Brexit: is the EEA an option for the United Kingdom?’, European Law Reporter (2016) 134-142, at p …”

Index S. 1125-1141

„… I EU 43, FL 64; II 90 4, 108 3, 4 – amicus curie III 25 15 – annual report III 21 1 – best …”

Per Christiansen Article 116 [The EEA financial mechanism] S. 892-894

„… committed themselves to give project grants of up to a sum of ECU 500 million. The annual interest rate …” „… currently pays EUR 79 per person, whereas Norway pays EUR 115 (analysis reported in the Financial Times …”

doi.org/10.5771/9783845275796

Christian Klausegger, Peter Klein, Florian Kremslehner, Alexander Petsche, Nikolaus Pitkowitz, Irene Welser, Gerold Zeiler - Austrian Yearbook on International Arbitration 2022

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Christian Klausegger (ed.), Peter Klein (ed.), Florian Kremslehner (ed.), Alexander Petsche (ed.), Nikolaus Pitkowitz (ed.), Irene Welser (ed.), Gerold Zeiler (ed.)

Austrian Yearbook on International Arbitration 2022

2022

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Johanna Kathan-Spath VIAC‘s Annual Report – 2020 S. 399-410

„… 399VIAC‘s Annual Report – 2020A Year in which VIAC mastered challenges and seized …” „… .indb 400 19.01.22 10:25VIAC‘s Annual Report – 2020 401reports, electronically …” „… 402 19.01.22 10:25VIAC‘s Annual Report – 2020 403the traditional World Café panel …”

Judith Knieper Comprehensive International Mediation Framework with Three Newly Adopted Texts by UNCITRAL S. 387-398

„… Newly Adopted Texts by UNCITRALJohanna Kathan-SpathVIAC’s Annual Report – 2020A Year in which VIAC …” „… AnnexRegular Reports Judith KnieperComprehensive International Mediation Framework with Three …” „… Newly Adopted Texts by UNCITRALJudith KnieperI. Introduction1)At its fifty-fourth annual session in …”

Hermann J. Knott, Martin Winkler Emergency Arbitration S. 161-176

„… No-vember 4, 2021).5) SIAC Annual Report 2020, 21, available at …” „… : https://www.siac.org.sg/images/stories/articles/annual_report/SIAC_Annual_Report_2020.pdf (last accessed November 4, 2021).AYIA 2022.indb 161 19.01.22 10:25Hermann J …” „… Report on Emergency Arbitration Proceedings, April 2019 (hereinafter the ‘ICC EA Report’), Annex II. The …”

Titelei/Inhaltsverzeichnis

„… Three Newly Adopted Texts by UNCITRALJohanna Kathan-SpathVIAC‘s Annual Report – 2020A year in which VIAC …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397Johanna Kathan-Spath VIAC‘s Annual Report – 2020A Year in which VIAC mastered challenges and seized …” „… 10:29VIIOverviewAnnex Regular ReportsJudith KnieperComprehensive International Mediation Framework with …”

Clarisse von Wunschheim, Yupeng (Yves) Hu Selecting the Seat of Arbitration in Sino-European Disputes S. 139-160

„… (https://siac.org.sg/images/stories/articles/an-nual_report/SIAC_Annual_Report_2020.pdf, 17, last accessed on October 12, 2021). 3) “International arbitration is the respondents …” „… has been steadily increasing in recent years. According to the ICC Statistical Report 2020, Chinese …” „… Survey Report, 4. AYIA 2022.indb 139 19.01.22 10:25Clarisse von Wunschheim/Yupeng (Yves) Hu140 …”

Katherine Bell, Moritz Schmitt, Nicolas O. Zenz The Arbitrator’s Power to Adapt Contracts – Three Jurisdictions, Three Answers? S. 121-138

„… price themselves.13) The contract in dispute (only) stipulated the need for an annual 9) Fenyves, supra …” „… vein, arbitration practitioners report hardly any hesitation from tribunals seated in Germany when it …”

doi.org/10.5771/9783214164997

Nigel West - Historical Dictionary of Cold War Intelligence

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Nigel West

Historical Dictionary of Cold War Intelligence

2021

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Appendix 5: BfV Annual Report, 1963 S. 427-474

„… Annual Report, 1963428 • APPEndix 5 The other cases can be broken down as follows:Soviet intelligence …” „… public opinion reports and the views expressed by West German residents with regard to certain political …” „… reports from West Berlin. B did not hesitate to accept this offer. Every three to six weeks, he met …”

Preface

„… Soviet Defectors, August 1948 413Appendix 5: BfV Annual Report, 1963 427Appendix 6: CIA Clandestine …” „… Service Primer on HUMINT 475Appendix 7: CIA Report on the 1956 Hungarian Uprising 499Appendix 8: CIA …” „… Report into Operations in Lithuania 513Appendix 9: CIA Report on Penkovsky’s Legacy, 1971 535Appendix 10 …”

E S. 103-122

„… so they could report on troop movements in the event of conflict. In SAPO’s damage assessment it was …” „… émigré groups in contact 104 • EstoniAwith the partisans. A Central Intelligence Group report dated …” „… States. His contract dates from September 22, 1952, for one year, at the annual salary rate of $4,200.00 …”

S S. 279-298

„… news items, specialist magazine articles, service journals, naval contractor company annual reports …” „… consulate-general premises in New York and Los Angeles. The success of this unit may be judged by the KGB’s annual …” „… report in August 1967 which listed 168 systems in 72 capitalist countries that had been solved by Soviet …”

G S. 129-164

„… from the 1963 BfV’s annual report [See Appendix 5]Although the annual report only offers a snapshot of …” „… has disavowed the report.The stiffness of the resistance thus far can be attributed to the following …” „… torpedo. Many subsequent reports by Mad-dox sonar reported over the next hour, however, are believed to …”

Appendix 9: CIA Report on Penkovsky’s Legacy, 1971 S. 535-548

„… doctrine—in particular, the IRONBARK is critical Appendix 9Appendix 9CIA Report on Penkovsky’s Legacy, 1971536 …” „… think, of the current value of understand-ing the totality of the Penkovsky reports. By studying all the …” „… . The identified patterns, in turn, have helped us to evaluate the reports that we have received singly …”

P S. 237-260

„… knowledge.Annual political appraisal and C-M(63)30 on NATO defense policy, May 1963 ~These reports by the NATO …” „… achievements in relation to the stated requirements;the report on NATO military activities.Furthermore, the …” „… contains the report by the mili-tary committee on the minimum essential force requirements for the period …”

R S. 261-278

„… recent rhetoric and the annual ABLE ARCHER exercises in the Norwegian Sea when more than 80 NATO warships …” „… ]Report to center immediately if shelters are being taken out of storage or a start is being made on …” „… in the prices paid, report at once to the centre. 4. Put forward proposals for organizing a watch on …”

doi.org/10.5771/9781538120323

Jakub Urbanik, Adam Bodnar - Περιμένοντας τους Bαρβάρους. Law in a Time of Constitutional Crisis.

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Jakub Urbanik (ed.), Adam Bodnar (ed.)

Περιμένοντας τους Bαρβάρους. Law in a Time of Constitutional Crisis.

2021

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Petra Bárd The Bumpy Road to Rule of Law Enforcement: The Commission’s 2020 Annual Rule of Law Report S. 59-68

„… have enumerations of negative and positive developments, just by reading the Annual Reports one does …” „… surrounded the Commission’s 2020 Annual Rule of Law Report. Expectations were huge, since defence for the …” „… 2020 Annual Rule of Law Report mirrored this positive approach building on dialogue and preventing …”

Ben Smulders Some Reflections about the Role of the Rule of Law in a Democratic System in which the European Union Operates S. 665-678

„… the Advisory Council report no 104, De wil van het volk? Erosie van de democratische rechtsstaat in …” „… .; see also the report of the Secretary General of the Council of Europe, Populism – How strong are …” „… definition of the rule law and repeated it in a report in 2020: 18 See G. Corstens, De Rechtstaat moet je …”

Andrzej Drzemczewski The Erosion of the Rule of Law and of Judicial Independence in Poland since 2015: the Council of Europe’s Reaction – too Little, too Late? S. 149-168

„… . int/en/web/commissioner/-/the-independence-of-judges-and-the-judiciary-under-threat; her Annual Activity Report 2019, CommDH 7 (2020), p. 7, as well as her 4th Quarterly Activity …” „… -report-situation-ofjudges-in-memberstates/1680786ae1 §§ 134–165, 319–326 & the Polish authorities comments thereon, on pp. 74–76. 44 All …” „… GRECO reporting system is complex. The Addendum to the Second Compliance Report assessed the measures …”

Titelei/Inhaltsverzeichnis

„… The Bumpy Road to Rule of Law Enforcement: The Commission’s 2020 Annual Rule of Law Report …”

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