14 Amendments of Derk Jan EPPINK related to 2009/0161(COD)
Amendment 400 #
Proposal for a directive – amending act
Article 5 – point 4
Article 5 – point 4
Directive 2003/71/EC
Article 16 – paragraph 3 – first subparagraph
Article 16 – paragraph 3 – first subparagraph
3. In order to ensure uniform application of this Article and to take account of technical developments on financial markets, the European Securities and Markets Authority shallmay develop draft technical standards to determine the conditions of applicprocedures to be followed in relation tof the obligation to provide a supplement to the prospectus in case of a significant new factor, material mistake or inaccuracy relating to the information included in the prospectus. The Authority shall submit those draft technical standards to the Commission by 1 January 2014.
Amendment 402 #
Proposal for a directive – amending act
Article 5 – point 8 – point a
Article 5 – point 8 – point a
Directive 2003/71/EC
Article 22 – paragraph 3
Article 22 – paragraph 3
3. Paragraph 1 shall not prevent the competent authorities from exchanging confidential information or from transmitting confidential information to the European Securities and Markets Authority or the European Systemic Risk Board, subject to constraints relating to firm- specific information and effects on third countries as provided for in the [ESMA Regulation] and [ESRB Regulation] respectively. Information exchanged between competent authorities and the European Securities and Markets Authority or the European Systemic Risk Board shall be covered by the obligation of professional secrecy, to which the persons employed or formerly employed by the competent authorities receiving the information are subject.
Amendment 408 #
Proposal for a directive – amending act
Article 6 – point 2
Article 6 – point 2
Directive 2004/39/EC
Article 7 – paragraph 4 – subparagraph 1
Article 7 – paragraph 4 – subparagraph 1
4. In order to ensure uniform application of this Article and of Articles 7, 9(2)-(4), 10(1)-(2), and 12, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the requirementsspecify the information, formats, templates, criteria, and procedures for such authorisation as laid down in this Article and in Articles 7, 9(2)-(4), 10(1)-(2) and 12.
Amendment 428 #
Proposal for a directive – amending act
Article 6 – point 9
Article 6 – point 9
Directive 2004/39/EC
Article 56 – paragraph 6 – first subparagraph
Article 56 – paragraph 6 – first subparagraph
6. In order to ensure uniform application of paragraphs 1 and 2, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application relating to practical issues associated with the obligation for competent authorities to cooperate according to paragraph 1 and to the content of the cooperation agreements according to paragraph 2, including the development of standard forms and templates.
Amendment 429 #
Proposal for a directive – amending act
Article 6 – point 10 – point b
Article 6 – point 10 – point b
Directive 2004/39/EC
Article 57 – paragraph 2 – first subparagraph
Article 57 – paragraph 2 – first subparagraph
2. In order to ensure uniform application of paragraph 1, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the obligspecify procedures relating to the cooperation ofor competent authorities to cooperate in supervisory activities, on-the- spot- verifications, and investigations.
Amendment 475 #
Proposal for a directive – amending act
Article 11 – point 3
Article 11 – point 3
Directive 2009/65/EC
Article 12 – paragraph 4
Article 12 – paragraph 4
4. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measures adopted by the Commission regarding the procedures, arrangements, structures and organisational requirements referred to in paragraph 3 of this Article. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.
Amendment 476 #
Proposal for a directive – amending act
Article 11 – point 4
Article 11 – point 4
Directive 2009/65/EC
Article 14 – paragraph 3
Article 14 – paragraph 3
3. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measures adopted by the Commission regarding the criteria, principles and steps referred to in points (a), (b), and (c) of the first subparagraph of this Articleparagraph 2. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts pursuant Article 7290 of Regulation .../.... [ESMA]the Treaty.
Amendment 477 #
Proposal for a directive – amending act
Article 11 – point 7
Article 11 – point 7
Directive 2009/65/EC
Article 43 – paragraph 6
Article 43 – paragraph 6
6. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measuredelegated acts adopted by the Commission regarding the content, format and method by which the information referred to in paragraphs 1 and 3 of this Article should be provided. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.
Amendment 478 #
Proposal for a directive – amending act
Article 11 – point 9
Article 11 – point 9
Directive 2009/65/EC
Article 51 – paragraph 5
Article 51 – paragraph 5
5. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measuredelegated acts adopted by the Commission regarding the criteria and rules referred to in points (a), (b) and (c) of paragraph 4. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.
Amendment 479 #
Proposal for a directive – amending act
Article 11 – point 10
Article 11 – point 10
Directive 2009/65/EC
Article 60 – paragraph 7
Article 60 – paragraph 7
7. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measuredelegated acts adopted by the Commission regarding the agreement, measures and procedures referred to in points (a), (b) and (c) of paragraph 6. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.
Amendment 480 #
Proposal for a directive – amending act
Article 11 – point 11
Article 11 – point 11
Directive 2009/65/EC
Article 61 – paragraph 4
Article 61 – paragraph 4
4. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measuredelegated acts adopted by the Commission regarding the agreement and types of irregularities referred to in points (a) and (b) of paragraph 3. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.
Amendment 481 #
Proposal for a directive – amending act
Article 11 – point 12
Article 11 – point 12
Directive 2009/65/EC
Article 64 – paragraph 5
Article 64 – paragraph 5
5. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application of the implementing measuredelegated acts adopted by the Commission regarding the information andformat and the manner in which the information is to be provided and the procedure referred to in points (a) and (b) of paragraph 4. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.
Amendment 482 #
Proposal for a directive – amending act
Article 11 – point 14
Article 11 – point 14
Directive 2009/65/EC
Article 78 – paragraph 8
Article 78 – paragraph 8
8. In order to ensure uniform application of this Article, the European Securities and Markets Authority may develop draft technical standards for endorsement by the Commission to determine the conditions of application of the implementing measuredelegated acts adopted by the Commission according to paragraph 7 regarding the information referred to in paragraph 3. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor implementing acts pursuant Article 7290 of Regulation .../.... [ESMA].the Treaty
Amendment 483 #
Proposal for a directive – amending act
Article 11 – point 16
Article 11 – point 16
Directive 2009/65/EC
Article 95 – paragraph 2
Article 95 – paragraph 2
2. In order to ensure uniform application of Article 93, the European Securities and Markets Authority may develop draft technical standards to determine the conditions of application with regard tospecify: (a) the form and contents of a standard model notification letter to be used by a UCITS for the purpose of notification referred to in Article 93(1), including an indication as to which documents the translations refer to; (b) the form and contents of a standard model attestation to be used by competent authorities of Member States referred to in Article 93(3); (c) the procedure for the exchange of information and the use of electronic communication between competent authorities for the purpose of notification under the provisions of Article 93. The Commission may adopt the draft technical standards referred to in the first subparagraph in accordance with the procedure laid down infor delegated acts in accordance with Article 7290 of Regulation .../.... [ESMA]the Treaty on the Functioning of the European Union.