Displaying 1401 - 1405 of 1542
ESMA_QA_2037
Topic
Transparency
23/10/2015
Subject Matter
Change of home Member State and impact on Prospectus Regulation; TD Art 2(1)(i) letter (iii)
Question
Is a change of home Member State by a third country issuer during the transitional period valid for the purposes of the PR?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_2038
Topic
Financial reporting
23/10/2015
Subject Matter
The requirement to “remain publicly available”; TD Art 4, 5 and 6
Question
From what date should an issuer apply the 10 year period requirements for the information to remain publicly available under Articles 4(1), 5(1) and 6 of the TD?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_2039
Topic
Transparency
23/10/2015
Subject Matter
Additional periodic information (including quarterly reports); TD Art 3
Question
Could additional periodic financial information (including quarterly reports) published on a voluntary basis be considered as regulated information?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_2040
Topic
Transparency
23/10/2015
Subject Matter
Publication of sanctions and administrative measures without “undue delay”; TD Art 29
Question
As regards the decision making process, shall National Competent Authorities (NCAs) publish decisions on sanctions and measures only after the exhaustion of all relevant legal remedies (or the expiry of the deadline to exercise them)?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_2041
Topic
Notifications of major shareholdings
23/10/2015
Subject Matter
Major shareholding notification – group notifications; TD Art. 12(3)
Question
Question a: According to Article 12(3) an undertaking is exempted from making the notification if the notification is made by its (ultimate) parent undertaking – in which cases does Article 12(3) apply?

Question b: What details regarding its subsidiary undertakings does a parent undertaking have to provide if it makes use of Art. 12(3)?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC