16 Amendments of Elisa FERREIRA related to 2011/0295(COD)
Amendment 104 #
Proposal for a regulation
Recital 27
Recital 27
(27) Insider lists are an important tool for regulators when investigating possible market abuse, but national differences in regards to data to be included in those lists impose unnecessary administrative burdens on issuers. Data fields required for insider lists should therefore be uniform in order to reduce those costs. The requirement to keep and constantly update insider lists imposes administrative burdens specifically on issuers on SME growth markets. As competent authorities are able to exercise effective market abuse supervision without having those lists available at all times for those issuers they should be exempt from this obligation in order to reduce the administrative costs imposed by this Regulation.
Amendment 127 #
Proposal for a regulation
Article 2 – paragraph 1 – point b
Article 2 – paragraph 1 – point b
(b) financial instruments traded on a MTF or on an OTF in at least one Member State; This amendment (i.e. the deletion of "OTF") is horizontal. Adopting it will necessitate corresponding changes throughout including in recitals 8 and 21 and articles 2(1)(c), 5(4), 12(8), 13(3) and 16).
Amendment 190 #
Proposal for a regulation
Article 7 – paragraph 5 – subparagraph 1 – point d
Article 7 – paragraph 5 – subparagraph 1 – point d
(d) being involved in criminillegal activities.
Amendment 220 #
Proposal for a regulation
Article 8 – paragraph 1 – point b
Article 8 – paragraph 1 – point b
(b) entering into a transaction, placing an order to trade or any other behaviour affecting or likely to affect the price of one or several financial instruments or a related spot commodity contract, which employs a fictitious device or any other form of deception or contrivance; or
Amendment 236 #
Proposal for a regulation
Article 8 – paragraph 3 – point a
Article 8 – paragraph 3 – point a
(a) conduct by a person, or persons acting in collaboration, to secure a dominant position over the supply of or demand for a financial instrument or related spot commodity contracts which has or is likely to have the effect of fixing, directly or indirectly, purchase or sale prices or creating other unfair trading conditions,
Amendment 239 #
Proposal for a regulation
Article 8 – paragraph 3 – point b
Article 8 – paragraph 3 – point b
(b) the buying or selling of financial instruments at the close of the market withhich has or is likely to have the effect or intention of misleading investors acting on the basis of closing prices,
Amendment 252 #
Proposal for a regulation
Article 8 – paragraph 3 – point d
Article 8 – paragraph 3 – point d
(d) taking advantage of occasional or regular access to the traditional or electronic media by voicing an opinion about a financial instrument or related spot commodity contract (or indirectly about its issuer) while having previously taken positions on that financial instrument or related spot commodity contract and aiming at profiting subsequently from the impact of the opinions voiced on the price of that instrument or related spot commodity contract, without having simultaneously disclosed that conflict of interest to the public in a proper and effective way.
Amendment 279 #
Proposal for a regulation
Article 12 – paragraph 2 – subparagraph 1
Article 12 – paragraph 2 – subparagraph 1
An emission allowance market participant shall publicly, effectively and in a timely manneras soon as possible disclose inside information concerning emission allowances which it holds in respect of its business, including aviation activities as specified in Annex I of Directive 2003/87/EC or installations within the meaning of Article 3(e) of the same Directive which the participant concerned, or parent undertaking or related undertaking, owns or controls or for which the participant, or its parent undertaking or related undertaking, is responsible for operational matters, either in whole or in part. With regard to installations, such disclosure shall include relevant information to the capacity and utilisation of installations, including planned or unplanned unavailability of such installations.
Amendment 303 #
Proposal for a regulation
Article 13 – paragraph 2
Article 13 – paragraph 2
Amendment 313 #
Proposal for a regulation
Article 14 – paragraph 2 – introductory part
Article 14 – paragraph 2 – introductory part
2. For the purposes of paragraph 1 transactions that must be notifiedmade public shall include:
Amendment 330 #
Proposal for a regulation
Article 15 – paragraph 3 – subparagraph 1
Article 15 – paragraph 3 – subparagraph 1
ESMA shall develop draft regulatory technical standards to determine the technical arrangements, for the various categories of person referred to in paragraph 1, for objective presentation of information recommending or suggesting an investment strategy and for disclosure of particular interests or indications of conflicts of interest.
Amendment 334 #
Proposal for a regulation
Article 17 – paragraph 2 – point e
Article 17 – paragraph 2 – point e
(e) after having obtained prior authorisation from the judicial authority of the Member State concerned when required by and in accordance with national law, and where a reasonable suspicion exists that documents related to the subject-matter of the inspection may be relevant to prove a case of insider dealing or market manipulation in violation of this Regulation or Directive [new MAD], enter private premises in order to seize documents in any form ;
Amendment 366 #
Proposal for a regulation
Article 25 – paragraph 1 – point j
Article 25 – paragraph 1 – point j
(j) an issuer of a financial instrument or an emission allowance market participant, not exempted pursuant to the second subparagraph of paragraph 2 of Article 12, fails to inform the competent authority that the disclosure of inside information was delayed, in breach of Article 12 (24);
Amendment 367 #
Proposal for a regulation
Article 25 – paragraph 1 – point k
Article 25 – paragraph 1 – point k
(k) an issuer of a financial instrument or an emission allowance market participant, or a person acting on their behalf or on their account fails to disclose to the public the inside information disclosed to any person in the normal exercise of duties resulting from employment or profession, in breach of Article 12 (46);
Amendment 369 #
Proposal for a regulation
Article 26 – paragraph 1 – introductory part
Article 26 – paragraph 1 – introductory part
1. Without prejudice to the supervisory powers of competent authorities in accordance with Article 17, in case of a breach referred to in paragraph 1Article 25, competent authorities shall, in conformity with national law, have the power to impose at least the following administrative measures and sanctions:
Amendment 395 #
Proposal for a regulation
Article 30 – paragraph 1
Article 30 – paragraph 1
1. Competent and judicial authorities shall provide ESMA annually with aggregated information regarding all administrative measures, sanctions and fines imposed, either by them or by judicial authorities, in accordance with Articles 24, 25, 26, 27, 28 and 29. ESMA shall publish this information in an annual report.