ESMA_QA_2522
07/04/2025
Subject Matter
New exemptions for fungible securities in Prospectus Regulation.
    What are the requirements for the statement of continuous compliance with reporting and disclosure obligations under IV. in Annex IX to the Prospectus Regulation? More specifically, (i) is it possible to add any disclaimers to this statement, (ii) when is an issuer considered to have ‘continuous compliance’, (iii) to which time period should the statement pertain (i.e. does the statement need to cover the entire period that the issuer’s securities have been admitted to trading) and (iv) are issuers allowed to use an ‘exempted document’ drawn up using Annex IX if this statement is not ‘clean’?
    Status: Forwarded to EC/Public Consultation/Other

    Additional Information

    Level 1 Regulation
    Prospectus Regulation 2017/1129
    Topic
    Initial Public Offer/IPO