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Daniel R. Block, Howard B. Rosing - Chicago

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Daniel R. Block, Howard B. Rosing

Chicago

2015

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4 Markets and Retail S. 89-126

doi.org/10.5771/9781442227279

Rainer Kirchdörfer, Daniel C. Schmid - Der europäische Facheinzelhandel - Herausforderungen und Perspektiven

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Rainer Kirchdörfer (ed.), Daniel C. Schmid (ed.)

Der europäische Facheinzelhandel - Herausforderungen und Perspektiven

2011

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Josef Sanktjohanser Der Handel als Marke – Retail Branding am Beispiel der REWE Supermärkte S. 125-145

„… Zielsystem des Retail-Branding-Konzepts bildet das die Grundlage, auf der über die Markenbekanntheit, das …” „… Retail-Brand-Strategie eine grundsätzlich dauerhafte Kombination von Maßnahmen und deren relevante Teilbereiche, um die …” „… Retail-Brand-Strategie sind identisch mit denen der allgemeinen Markenstrategie und beinhalten die folgenden Fragen: Was …”

Regine Kalka Die Messung der Markenstärke im Einzelhandel S. 145-169

„… Kern einer Retail-Brand und bildet somit den Ausgangspunkt für alle strategischen Vorgaben bezüglich …” „… Retail-Brand-Image die vereinfachte Beurteilung des Handelsunternehmens seitens des Konsumenten anhand von für ihn …” „… analysieren und zum anderen Entscheidungen über den Ausbau sowie die Pflege der Retail-Marke zielgerecht …”

Susanne Eichholz, Christian Lerch Entwicklung des Einzelhandels in Europa S. 27-43

„… , IBH RETAIL CONSULTANTS Quelle: Eurostat, IBH RETAIL CONSULTANTS So weist das Bruttoinlandsprodukt …” „… 1995–2009 Quelle: Eurostat, IBH RETAIL CONSULTANTS uelle: Eurostat, IBH RETAIL CONSULTANTS Folglich gibt …” „… : Handelsverband Deutschland, IBH RETAIL CONSULTANTS Die im Herbst 2008 aufkommende Wirtschafts- und Finanzkrise …”

Autorenverzeichnis S. 567-568

„… GmbH, München Dr. Susanne Eichholz-Klein, Projektleiterin der IBH Retail Consultants GmbH, Köln Prof …” „… Lerch, Consultant der IBH Retail Consultants GmbH, Köln Jürgen Maximow, geschäftsführender …” „… GmbH & Co. KG, Oberderdingen Klaus Peter Teipel, Managing Consultant der IBH Retail Consultants GmbH …”

Klaus Peter Teipel Strukturwandel im deutschen Einzelhandel S. 43-63

„… Deutschland, IBH RETAIL CONSULTANTS Der Einzelhandel profitiert nur unterdurchschnittlich vom …” „… 1995–2009 Quelle: IBH RETAIL CONSULTANTS Dabei zeichnen sich in den einzelnen Betriebsformen Tendenzen ab …” „… : IBH RETAIL CONSULTANTS uelle: IBH RETAIL CONSULTANTS Auf der anderen Seite ist ein schmales, aber …”

Martin Natter Preispolitik im Handel S. 331-351

„… , V. R./Srinivasan, S./Pauwels, K.: Retail-Price Drivers and Retailer Profits, Marketing Science, Vol …” „… for Retailer Coupons?, International Journal of Research in Marketing, Vol. 27, 2010, S. 281-291. Nijs …” „… . http://www.zgv-online.de/Themen/Recht-Steuern/Kartell-und-Wettbewerbsrecht/Das-Kartellrecht-der-Verbundgruppen-E2218.htm; 2005. Shankar, V./Bolton, R.: An Empirical Analysis of Determinants of Retailer Pricing …”

Friedemann Stöckle Relevanz der Marktinformationen – insbesondere Handelspanelinformationen – für langlebige Gebrauchsgüter im Handel S. 351-367

„… Marktsituationen eingesetzt werden? Grundlage von Wissen sind Informationen. Retail and Technology ist auf …” „… Möglichkeiten in der graphischen Aufbereitung der Information durch die GfK Retail and Technology Software „GfK …” „… investiert derzeit in tiefergehende Analysemöglichkeiten (Retail Analytics), die durch Store-Group-Analyses …”

Leo N. J. van der Velde Systemansatz für das Supply-Chain-Design S. 437-461

„… Einzelhandelsorganisation (Retail Organisation; RO). Definition der Entscheidungsfindungseinheit (Decision Making Unit, DMU …” „… , dass der Endproduzent (End Manufacturer; EM) oder die Einzelhandelsorganisation (Retail Organisation …” „… , Chicago 1996. Merkel, H/Kromer, S.: Herausforderungen in der Wirtschaftsinformatik, Retail Loop, 2006, S …”

Michelle Gutting, Daniel C. Schmid Verkaufsförderung im Handel – Konzepte, Instrumente und Wirkungsweisen S. 283-297

„… Vgl. Marketicon 2010a. 28 Vgl. Quelch, J. 1987, S. 32. 29 Vgl. BBE Retail Experts 2009. 30 Vgl …” „… trends“, Wharton School Publishing, 2008. BBE Retail Experts: „Verbrauchsgüter …”

Titelei/Inhaltsverzeichnis S. 2-12

„… Handel als Marke – Retail Branding am Beispiel der REWE Supermärkte 127 9 Regine Kalka Die Messung der …”

Gerald Böse Die Bedeutung von Messen für den Einkauf im Facheinzelhandel in der Möbel- und Küchenmöbelbranche – Status quo und Zukunftsperspektiven S. 105-124

„… , andererseits muss 3.2. 10 AUMA (Hrsg.): Die Messewirtschaft 2003/2004, S. 9. 11 EHI Retail Institute, S. 1-2 …” „… : möbel kultur-POS Guide zur imm cologne, Hamburg, Januar 2010. EHI Retail Institute (Hrsg.): Struktur des …”

Kai Hudetz Multi-Channel-Effekte im Einzelhandel – Empirische Ergebnisse und Konsequenzen für das Handelsmanagement S. 81-93

„… .: IBH-Branchenreport „Internet- und Versandhandel“, Jahrgang 2010. Eine Studie der IBH Retail Consultants GmbH, Köln …” „… Schramm-Klein, H.: Multi-Channel-Retailing: Verhaltenswissenschaftliche Analyse der Wirkung von …”

Sebastian Deppe Erfolgsfaktoren im Handel S. 207-221

„… (Retail Brand) - Preispremium - Preisabschlag ggü. relevanten Wettbewerbern Wertaussage Sebastian Deppe …”

Dirk-Uwe Klaas Entwicklungstendenzen im europäischen Einzelhandel – Überlegungen zur Vertikalisierung von Industrie und Handel unter besonderer Berücksichtigung der Möbelwirtschaft S. 63-81

„… • Retail Management • Bestandsrisiken Besserer Zugang zum Nachfrager • Möglichkeit für …”

Werner Heilos, Julia Rink Die Bedeutung von Handelsmarken und deren Anforderungen an das Marketing am Beispiel der Küchenbranche S. 267-283

„… namenlosen Absatzmittler zur markanten retail brand, 2001 Pepels, W.: Produktmanagement – Produktinnovation …”

Reinhard Chr. Zinkann Erfolgsfaktor „Premium“ S. 247-267

„… erleichtert gemeinsame Marketingaktionen mittelständischer Fachhändler, 3 Quelle: BBE Retail Experts, Teipel …”

Daniel C. Schmid Kundenzufriedenheitsmanagement im Handel S. 169-193

„… Multiple-Item Scale for Measuring Consumer Perceptions of Service Quality, Journal of retailing, 64, 1, 1988, S …” „… Comparative Assessment Based on Psychometric and Diagnostic Criteria, Journal of Retailing, 70, 3, 1984, S …”

Julia Rink, Daniel C. Schmid, Thomas Otter Aktives Beschwerdemanagement im Handel – Bestandteile und Implikationen für die Einführung S. 221-247

„… 2009, S. 87–199 und S. 323–372 Schröder, H.: Multichannel-Retailing – Marketing in Mehrkanalsystemen …”

Markus Preißner Effektive Gebührengestaltung in Franchisesystemen S. 397-416

„… Retailing, Vol 77, No. 4, 2001, S. 537-545. Kaufmann, P. J./Lafontaine, F.: Cost of control. The source of …” „… the franchisor and their strategic implications, in: Journal of Retailing, Vol. 44, No. 4, 1968, S …”

doi.org/10.5771/9783845234724

Fruzsina Gárdos-Orosz, Kinga Zakariás - The main lines of the jurisprudence of the Hungarian Constitutional Court

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Fruzsina Gárdos-Orosz (ed.), Kinga Zakariás (ed.)

The main lines of the jurisprudence of the Hungarian Constitutional Court

2022

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Márton Varju 18. Decision 3194/2014. (VII. 15.) AB – Tobacco Retail S. 331-344

„… Decision 3194/2014. (VII. 15.) AB – Tobacco RetailMárton Varju*The commercial retail of tobacco …” „… . Decision Tobacco Retail concerning the new regulation of the commercialretail of tobacco products in …” „… regulation over the position of the individuals affected andits protection. Decision Tobacco Retail narrowed …”

Titelei/Inhaltsverzeichnis S. 1-16

„… 3194/2014. (VII. 15.) AB – Tobacco Retail18. 331Márton VarjuDecision 23/2014 (VII. 15.) AB – Concurrent …”

doi.org/10.5771/9783748929826

Tim Alexander Herberger - Digitale Transformation und Nachhaltigkeit in der globalen Finanzwirtschaft

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Tim Alexander Herberger (ed.)

Digitale Transformation und Nachhaltigkeit in der globalen Finanzwirtschaft

Series: Andrássy Studien zur Europaforschung

Volume 28 2022

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Felix Hübner, Tim Alexander Herberger, Michel Charifzadeh Die Rolle des Kundenrückgewinnungsmanagements im Kontext eines nachhaltigen Relationship Marketings im Retail-Banking S. 237-278

„… Investition für Retail-Banken sein kann. JEL Classification: G20, G21, G29 Key Words: Retail-Banking …” „… im Retail-BankingFelix Hübner1, Tim Alexander Herberger2* & Michel Charifzadeh3AbstractAufgrund der …” „… festgestellt werden, dass die erfolgreiche Kundenrückgewinnung im Retail-Banking kundenseitig eine generelle …”

Titelei/Inhaltsverzeichnis S. 1-8

„… nachhaltigen Relationship Marketings im Retail-Banking 237Felix Hübner, Tim Alexander Herberger & Michel …”

J. Brunhuber, N. Danninger, A. Fuchs, M. Wimpissinger, M. Sageder Akzeptanz von digitalen Finanzdienstleistungen bei KMU S. 281-316

„… .Bofondi, Marcello, & Lotti, Francesca. (2006). Innovation in the Retail Banking Industry: The Diffusion of …” „… on incumbent retail banks’ share prices. Financial Innovation, 3(1), 26. https://doi.org/10.1186/s …”

Jörg Müller Anreizwirkungen bei ESG-Finanzierungen S. 109-138

„… Produktanforderungen deutscher Retailanleger, Wiesbaden.Stenitzer, S. (2020), Grüne Anleihen als Instrument gegen den …”

doi.org/10.5771/9783748928812

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

„… AIF by non-EU AIFM to professional investors. The marketing of AIF by non-EU AIFM to retail investors …” „… VIII Marketing to retail investors Article 43 Marketing of AIFs by AIFMs to retail investors 1. Without …” „… prejudice to other instruments of Union law, Member States may allow AIFMs to market to retail investors in …”

Article 13 S. 1073-1081

„… document Article 13 1. A person advising on, or selling, a PRIIP shall provide retail investors with the …” „… key information document in good time before those retail investors are bound by any contract or offer …” „… decisions on behalf of the retail investor in respect of transactions concluded under that written authority …”

Article 14 S. 1081-1086

„… . Finally, the retail investor must consent to receiving the KID after concluding the transaction and …” „… selling the PRIIP. The consent of the retail investor shall be documented. Article 13(4) Article 13(4 …” „… PRIIP are carried out on behalf of a retail investor in accordance with instructions given prior to the …”

Article 1 S. 1033-1036

„… Packaged Retail and Insurance-based Investment Products Regulation (PRIIPR) Regulation (EU) No …” „… packaged retail and insurance-based investment products (PRIIPs) Bibliography: Bengtzen M, ‘EU and UK …” „… Packaged Retail and Insurance-based Investment Products (PRIIPs)’ in Relation to Callable Corporate Bonds …”

Article 8 S. 1054-1063

„… it should be taken into consideration where the investment firm is located, where the retail …” „… investor has his registered address and in which languages the retail investor is familiar. Based on this …” „… criteria an investment firm shall be allowed to provide a KID in the retail investor’s domestic language …”

Article 12 S. 1072-1073

„… the retail investor, seat of the custodian bank or the trading venue.15 Article 11(4) Article 11(4 …” „… of the regulation, which is to ensure, that retail investors have an effective right of redress and …” „… that all retail investors across the Union have the same right of redress,16 that restrictions or …”

Article 9 S. 1063-1065

„… requirements for marketing communications regarding packaged retail and insurance-based products (‘PRIIP’). II …” „… point of view of a retail investor, marketing statements are likely to diminish the significance of the …” „… , including the PRIIP manufacturer´s website.2 The aim of such a notice is firstly, to make a retail investor …”

Article 4 S. 1039-1046

„… . Article 4 For the purposes of this Regulation, the following definitions apply: (1) ‘packaged retail …” „… the retail investor is subject to fluctuations because of exposure to reference values or to the …” „… performance of one or more assets which are not directly purchased by the retail investor; (2 …”

Article 11 S. 1067-1072

„… of ‘direct communication’, such as mailing lists or email alerts, to inform the retail investors …” „… documents or with the requirements laid down in Article 8. 2. A retail investor who demonstrates loss …” „… of the European Parliament and of the Council on key information documents for packaged retail and …”

Article 5 S. 1046-1048

„… . Before a PRIIP is made available to retail investors, the PRIIP manufacturer shall draw up for that …” „… whenever a packaged retail and insurance-based investment product (‘PRIIP’) is ‘made available’ to retail …” „… European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail …”

Article 7 S. 1051-1054

„… manufacturer must use clear, succinct and comprehensible language18 that is accessible to retail investors and …” „… avoid ‘financial jargon and terminology which is not immediately clear to retail investors’.19 The use …” „… to, if the branding or logo does not distract the retail investor from the information in the KID or …”

Article 6 S. 1048-1051

„… paragraph 2, where a PRIIP offers the retail investor a range of options for investments, such that all …” „… readable size; (b) focus on the key information that retail investors need; (c) be clearly expressed and …” „… document, it shall not distract the retail investor from the information contained in the document or …”

Article 10 S. 1065-1067

„… information document revised where a PRIIP is made available to retail investors in a non-continuous manner …” „… ; (d) the circumstances in which retail investors are to be informed about a revised key information …” „… document for a PRIIP purchased by them, as well as the means by which the retail investors are to be …”

Article 2 S. 1036-1038

„… retail investor can no longer buy the product or enter into the relevant contract for the product.16 For …” „… scope of the PRIIP Regulation if they make PRIIPs available to retail investors in the EU.18 …” „… PRIIP to a retail investor domiciled in the EU.19 Accordingly, where a PRIIP is exclusively available to …”

Article 33 Addressees S. 1032-1033

„… Lucantoni Packaged Retail and Insurance-based Investment Products Regulation (PRIIPR) Regulation (EU) No …” „… packaged retail and insurance-based investment products (PRIIPs) Bibliography: Bengtzen M, ‘EU and UK …” „… Packaged Retail and Insurance-based Investment Products (PRIIPs)’ in Relation to Callable Corporate Bonds …”

Foreword to Articles 24 to 30 Foreword to Arts 24 to 30 S. 155-157

„… primarily address market failures6 that exist in retail markets using product design, distribution and …” „… Retail Investment Services – Final Report, 2011. 6 For an overview see Campbell et al., ‘Consumer …” „… Empirical studies on retail investor competence and decision-making show that retail investors in the EU are …”

Article 3 Obligation to publish a prospectus S. 965-969

„… publish a prospectus and the retail cascade regime. As a result, this article, in combination with Art 4 …” „… do not need the same type of protection that retail investors need because qualified investors are …” „… retail investors. As stated under Arts 3(2)(c) and (d), there is no obligation to prepare a prospectus …”

Article 20 S. 1089-1090

„… selling, the PRIIP shall establish appropriate procedures and arrangements which ensure that: (a) retail …” „… investors have an effective way of submitting a complaint against the PRI- IP manufacturer; (b) retail …” „… reply in a timely and proper manner; and (c) effective redress procedures are also available to retail …”

Article 4 Interoperability S. 1756-1759

„… conditions: 1. 2. 1 Janczuk-Gorywoda, ‘Evolution of EU retail payments law’ [2015] 40 European Law Review 858 …” „… participants of a retail payment system within the Union shall ensure that their payment system is technically …” „… interoperable with other retail payment systems within the Union through the use of standards developed by …”

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

„… , objectives and other characteristics of the retail client. Where the agreement to buy or sell a financial …” „… preferences, objectives and other characteristics of the retail client. Art. 25 MiFID II 1. Security …” „… types of financial instruments; (c) the retail or professional nature of the client or potential clients …”

Article 21 S. 1090

„… personal data. II. Commentary The packaged retail and insurance-based product (‘PRIIP’) manufacturer,1 as …” „… arrangements to ensure that retail investors have an effective way of submitting a complaint against a PRIIP …” „… manufacturer provide its address to retail investors. Further, it is not required that a person advising on, or …”

Article 33 S. 1096-1097

„… of Directive 2009/65/EC, to non-UCITS funds offered to retail investors, the exemption laid down in …” „… on, or selling, units of such funds to retail investors. Article 33 1. By 31 December 2018, the …” „… market for retail investment products and the feasibility, costs and possible benefits of introducing a …”

Article 34 S. 1097-1099

„… Commission shall conduct a market survey to determine whether online calculator tools which allow the retail …” „… such tools exist or that existing tools do not enable retail investors to understand the aggregate …” „… Parliament and of the Council on key information documents for packaged retail and insurance-based investment …”

Article 22 S. 1090-1091

„… personal data. II. Commentary The packaged retail and insurance-based product (‘PRIIP’) manufacturer,1 as …” „… arrangements to ensure that retail investors have an effective way of submitting a complaint against a PRIIP …” „… manufacturer provide its address to retail investors. Further, it is not required that a person advising on, or …”

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

„… MiFID II Delegated Regulation. For example, a suitability statement must indicate to a retail …” „… client whether the recommended services or instruments are likely to require the retail client to seek a …” „… statement has to be provided to a retail client when that client has been provided with investment advice …”

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

„… investors. The marketing of AIF by non-EU AIFM to retail investors is addressed by Art 43. II. Commentary …” „… AIF is established are cooperating countries for FATF purposes. Chapter VIII Marketing to retail …” „… investors Article 43 Marketing of AIFs by AIFMs to retail investors 1. Without prejudice to other …”

Article 3 S. 1038-1039

„… information documents for packaged retail and insurance-based investment products (PRIIPs) [2014] OJ L352. Art …” „… Regulation, the following definitions apply: (1) ‘packaged retail investment product’ or ‘PRIP’ means an …” „… , regardless of the legal form of the investment, the amount repayable to the retail investor is subject to …”

Article 3 Reachability S. 1755-1756

„… honour the direct debit.10 Examples of significant retail payment systems (RPS) within the meaning given …” „… in Art 2(19) above are Compensation Retail (CORE) in France, and Equens in the Netherlands. Retail …” „… conditions: 1. 2. 1 Janczuk-Gorywoda, ‘Evolution of EU retail payments law’ [2015] 40 European Law Review 858 …”

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

„… Retail cascade The second paragraph of Art 3(2) deals with retail cascading, a practice that …” „… involves an underwriter selling securities to financial intermediaries which then resell them to retail …” „… customers. As a result of retail cascading, retail customers may not be able to benefit from the prospectus …”

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

„… instrument is intended for retail or professional clients, taking account of the identified target market in …” „… incentive to its staff to recommend a particular financial instrument to a retail client when the investment …” „… package offered to a retail client are likely to be different from the risks associated with the …”

Article 18 S. 1089

„… selling, the PRIIP shall establish appropriate procedures and arrangements which ensure that: (a) retail …” „… investors have an effective way of submitting a complaint against the PRI- IP manufacturer; (b) retail …” „… reply in a timely and proper manner; and (c) effective redress procedures are also available to retail …”

Article 19 S. 1089

„… selling, the PRIIP shall establish appropriate procedures and arrangements which ensure that: (a) retail …” „… investors have an effective way of submitting a complaint against the PRI- IP manufacturer; (b) retail …” „… reply in a timely and proper manner; and (c) effective redress procedures are also available to retail …”

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

„… following the specific instruction. Where an investment firm executes an order on behalf of a retail client …” „… taking into account the size and type of order and the retail or professional nature of the client; (b …” „… are consistent with the execution policy of the firm.16 Due to the limited ability of retail clients …”

Article 31 S. 1096

„… of Directive 2009/65/EC, to non-UCITS funds offered to retail investors, the exemption laid down in …” „… on, or selling, units of such funds to retail investors. Article 33 1. By 31 December 2018, the …” „… market for retail investment products and the feasibility, costs and possible benefits of introducing a …”

Article 32 S. 1096

„… of Directive 2009/65/EC, to non-UCITS funds offered to retail investors, the exemption laid down in …” „… on, or selling, units of such funds to retail investors. Article 33 1. By 31 December 2018, the …” „… market for retail investment products and the feasibility, costs and possible benefits of introducing a …”

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

„… Consulting, The EU market for consumer long-term retail savings vehicles, Final Report, 15 November 2007 …” „… retail investment services: a behavioural economics perspective, Final Report, November 2010; Enriques L …” „… speculative products to retail investors under MiFID, 31 March 2017, ESMA/ 35-36-794; ESMA/EBA/EIOPA, Joint …”

Introduction S. 941-951

„… by introducing a retail-investor-friendly summary of key information, and ensures that the rules are …” „… Wirtschafts- und Bankrecht 460; Burn L and Wells B, ‘The Pan-European Retail Market – Are We There Yet’ (2007 …” „… 336; Burn L and Wells B, ‘The Pan-European Retail Market – Are We There Yet’ (2007) 2 CMLJ 275; La …”

Article 30 S. 1095-1096

„… of Directive 2009/65/EC, to non-UCITS funds offered to retail investors, the exemption laid down in …” „… on, or selling, units of such funds to retail investors. Article 33 1. By 31 December 2018, the …” „… market for retail investment products and the feasibility, costs and possible benefits of introducing a …”

Article 42 Provision of services at the exclusive initiative of the client S. 242-246

„… client Member States shall ensure that where a retail client or professional client within the meaning of …” „… retail investors and investors which who may be treated as professionals on request from additional …” „… referred to in Annex 4 of Commission Delegated Regulation No 231/2013 one packaged retail investment …”

Article 39 Establishment of a branch S. 237-239

„… investment activities with or without any ancillary services to retail clients or to professional clients …” „… retail clients and clients who have been upgraded to professionals on their request (cf. Section II of …” „… to the fact that the branch serves retail investors which have a right to demand compensation under …”

Article 17 S. 1087-1089

„… arrangements which ensure that: (a) retail investors have an effective way of submitting a complaint against …” „… the PRI- IP manufacturer; (b) retail investors who have submitted a complaint in relation to the key …” „… procedures are also available to retail investors in the event of cross-border disputes, in particular where …”

Article 23 Conflicts of interest S. 151-155

„… average client within the relevant category of clients (e.g. professional or retail clients), not …” „… ’, which means the professional or retail nature of a client and indicates that it is not necessary to …” „… primarily address market failures6 that exist in retail markets using product design, distribution and …”

Article 2 Definitions S. 1751-1755

„… such instructions; (22) ‘retail payment system’ means a payment system the main purpose of which is to …” „… provider is allowed to honour the direct debit.10 Examples of significant retail payment systems (RPS …” „… ) within the meaning given in Art 2(19) above are Compensation Retail (CORE) in France, and Equens in the …”

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

„… . Operators of retail payment systems for a Member State which does not have the euro as its currency shall …” „… retail payment systems located and PSUs making use of a payment service, in that Member State shall …” „… typical for retail payments (cf. Art. 2(22)) and not for payments within a large-value payment system (cf …”

Titelei/Inhaltsverzeichnis S. I-XLII

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 941 Packaged Retail and Insurance-based Investment Products Regulation (PRIIPR) Regulation (EU) No …” „… for packaged retail and insurance-based investment products (PRIIPs …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 33 1032 Packaged Retail and Insurance-based Investment Products Regulation (PRIIPR) Chapter I …”

Article 5 The prospectus S. 974-984

„… right for investors. For a complete view of the EU retail market disclosure regime and the tools …” „… Parliament and the Council of 26 November 2014 on key information documents for packaged retail and …” „… Council on key information documents for packaged retail and insurance-based investment products (PRIIPs …”

Article 25 S. 1092

„… , the PRIIP to issue a direct communication to the retail investor concerned, giving them information …” „… person responsible for the infringement; (c) the impact of the infringement on retail investors …”

Article 26 S. 1092

„… , the PRIIP to issue a direct communication to the retail investor concerned, giving them information …” „… person responsible for the infringement; (c) the impact of the infringement on retail investors …”

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

„… for non-retail clients and exist because the ability of some eligible counterparties to appreciate the …” „… apply only to retail or professional clients (e.g. Art 44 of the MiFID II Delegated Regulation …” „… . Investment firms may also, on their own initiative, treat a client as a professional or retail client where …”

Article 16 Organisational requirements S. 65-120

„… title transfer financial collateral arrangements with retail clients for the purpose of securing or …” „… of title transfer financial collateral arrangements with retail clients (Art 16(10) MiFID …” „… targeted at sophisticated investors shall not be marketed to risk averses retail clients. The manufacturer …”

Article 24 S. 1091-1092

„… , or selling, the PRIIP to issue a direct communication to the retail investor concerned, giving them …” „… responsibility of the person responsible for the infringement; (c) the impact of the infringement on retail …”

Article 27 S. 1092-1093

„… , the PRIIP to issue a direct communication to the retail investor concerned, giving them information …” „… person responsible for the infringement; (c) the impact of the infringement on retail investors …”

Introduction S. 1466-1467

„… regulated under the UCITS Directive are conceived for the mass retail market. AIFMD, by contrast, is focused …” „… marketed to retail investors in the relevant jurisdiction. In addition to the focus on manager regulation …”

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

„… that UCITS regulated under the UCITS Directive are conceived for the mass retail market. AIFMD, by …” „… may be marketed to retail investors in the relevant jurisdiction. In addition to the focus on manager …”

Article 13 Accepted market practices S. 756-767

„… extent of retail-investor participation in the relevant market. A market practice that has been …” „… relevant market, for example whether the market is regulated or unregulated and retail investors regularly …” „… the particular needs of retail investors, who are generally subject to more severe informational …”

Article 47 Equivalence decision S. 566-571

„… branch does not have the right to serve retail investors across the EU, even though a Member State may …” „… allow the branch to serve retail clients residing in its territory under Art 39(1) 2. 3. 16 Cf. Zetzsche …” „… and Services 570 Dirk Zetzsche 8 9 10 11 12 MiFID. The right to serve retail investors is reserved to …”

Article 29 S. 1093-1095

„… , competent authorities shall have the power to prohibit or suspend the marketing of a packaged retail and …” „… packaged retail and insurance-based investment products (PRIIPs) [2014] OJ L352. 2 Article 24(2)(a) and (b …”

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

„… the relevant market participants are retail or wholesale investors; (c) derivatives which are not …” „… and takes into account whether the relevant market participants are retail or wholesale investors, in …” „… instrument, or a class of financial instruments, consists in part of retail investors, the average value of …”

Article 28 Client order handling rules S. 202-205

„… the list. Where an investment firm executes orders for retail clients, it must provide those clients …” „… arises, the firm must inform a retail client about it promptly upon becoming aware of the difficulty.5 In …”

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

„… and/or complex financial retail products, regulators and supervisors have the necessary tools to control …” „… the aftermath of the crisis, these products led to sometimes existential losses suffered by retail …”

Commentary on Articles 40 and 41 Art. 40, 41 S. 545-549

„… strictly necessary. Example: Bank B sells shares of hedge funds to retail clients. While creating …” „… contracts for difference (CFDs) and binary options with retail investors. For CFDs, marketing, distribution …”

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

„… strengthen retail investor protection, investors may file complaints in the official language of the …”

Article 5 Requirements for credit transfer and direct debit transactions S. 1759-1765

„… transmitting payment transactions to another PSP or via a retail payment system; (c) they must ensure that PSUs …” „… and Zahrte, 229, 230; Janczuk-Gorywoda, ‘Evolution of EU retail payments law’ [2015] 40 European Law …”

Article 13 Addressees S. 1744-1745

„… ’, WM 2014, 1061; Janczuk-Gorywoda A, ‘Evolution of EU retail payments law’, ELRev. 40 1 OJ L 267 …”

Introduction to Chapter IV S. 236-237

„… retail clients or to professional clients within the meaning of Section II of Annex II in its territory …”

Article 48 Register S. 571-572

„… MiFID. The right to serve retail investors is reserved to firms residing within the Single Market …”

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

„… strengthen retail investor protection, investors may file complaints in the official language of the …”

Article 40 Obligation to provide information S. 239-240

„… to the fact that the branch serves retail investors which have a right to demand compensation under …”

Article 4 Home member state assumption S. 1324-1325

„… restriction to open-ended funds is based on the idea that the schemes are especially attractive for retail …”

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

„… for retail investors to be able to make an informed investment decision including a clear and easily …”

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

„… actions or other remedies for collective redress, consumers / retail investors in collective investment …”

Article 6 Scope of authorisation S. 37-38

„… , Questions and Answers Relating to the provision of CFDs and other speculative products to retail investors …”

Article 3 Exclusions from the scope S. 1323-1324

„… schemes are especially attractive for retail investors, and therefore must be regulated effectively. II …”

Article 77 Marketing communications S. 1417-1418

„… shall be presented in a way that is likely to be understood by retail investors. 6. Key investor …”

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

„… for collective redress, consumers / retail investors in collective investment schemes are deterred …”

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

„… 4(2) on operators of retail payment systems located in a Member State outside the Eurozone. By virtue …”

Index S. 1785-1803

„… MiFID II 16 9 et seq. – prohibition of title transfer financial collateral arrangements with retail …” „… information PRIIPR 6 2 – prospectus PRIIPR 3 2 – retail investor PRIIPR 4 19, 5 4 – scope PRIIPR 1 11 et …” „… Responsibility statement TD 4 14 Retail cascade PD 3 11 Retail investor PRIIPR 4 19, 5 4 – description of the …”

Article 41 Granting of the authorisation S. 240-242

„… shall ensure that where a retail client or professional client within the meaning of Section II of Annex …”

Article 11 Authorisation of deferred publication S. 442-450

„… liquidity providers to undue risk and takes into account whether the relevant market participants are retail …” „… market participants are retail or wholesale investors.7 If market operators and investment firms …”

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

„… shared by the retail investors in the UCITS home Member State (this is an anti-externality clause). Art …”

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

„… information necessary for retail investors to be able to make an informed investment decision including a …”

Article 5 Requirement for authorisation S. 35-37

„… provision of CFDs and other speculative products to retail investors under MiFID, 31 March 2017, ESMA …”

Articles 42 to 48 S. 939-941

„… Wells B, ‘The Pan-European Retail Market – Are We There Yet’ (2007) 2 CMLJ 275; Christ B, Der Einfluss …”

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

„… provision of CFDs and other speculative products to retail investors under MiFID, 31 March 2017, ESMA …”

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

„… speculative products to retail investors under MiFID, 31 March 2017, ESMA35-36-794, p. 9-10. II. Commentary …”

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

„… May 2013, ESMA/2013/619 14. 4 On this issue, see Burn and Wells, ‘The Pan-European Retail Market – Are …”

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

„… to the public. II. Overview To strengthen retail investor protection, investors may file complaints …”

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

„… shall be presented in a way that is likely to be understood by retail investors. 6. Key investor …”

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

„… on the basis of “whether the client is a retail client, a professional client or an eligible …”

Article 7 Inside information S. 673-692

„… institutional as well as retail investors, must have access to the information, or sectoral disclosure to …” „… reasonable investor, which is commonly understood to mean a retail investor, not institutional and …” „… , question whether the average, retail investor can necessarily be expected to represent a ‘reasonable …”

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

„… the relevant market participants are retail or wholesale investors; (c) derivatives which are not …”

Article 1 Scope and UCITS definition S. 1304-1317

„… protection of retail investors.6 The initial UCITSD I instated an authorisation requirement with regard to …” „… audience including but not limited to retail investors. The assumption that UCITS are distributed to the …”

Article 42 Product intervention by competent authorities S. 549-554

„… difference (CFDs) and binary options with retail investors. For CFDs, marketing, distribution and sale has …”

Article 4 Definitions S. 1471-1477

„… AIFMD 4. Funds 1474 Christian Schmies (aj) ‘retail investor’ means an investor who is not a …”

Article 1 Subject matter and scope S. 1745-1751

„… die Internet-Lastschrift’, WM 2014, 1061; Janczuk-Gorywoda A, ‘Evolution of EU retail payments law …”

Article 2 S. 1684-1691

„… will normally only be the case for very important institutions, not for small institutions or retail …”

Article 4 Definitions S. 22-34

„… the criteria laid down in Annex II; (11) ‘retail client’ means a client who is not a professional …”

Article 17 Algorithmic trading S. 120-134

„… context of contingent liability transactions or repos for non-retail clients. (8) While some securities …”

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

„… position limits also cover buyers of commodities, such as food retailers, airlines, and energy companies …”

Article 12 Market manipulation S. 730-756

„… retail investors, not institutional or professional investors. In principle, the prohibition does not …”

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