4 Amendments of Alfredo PALLONE related to 2009/0132(COD)
Amendment 134 #
Proposal for a directive – amending act
Article 1 – point 5 d (new)
Article 1 – point 5 d (new)
Directive 2003/71/EC
Article 6 – paragraph 1
Article 6 – paragraph 1
5d. Article 6(1) is replaced by the following: "1. Member States shall ensure that responsibility for the information given in a prospectus relates at least to the issuer or its administrative, management or supervisory bodies, the offeror, the person asking for the admission to trading on a regulated market or the guarantor, as the case may be, identifying one person amongst issuer and offeror who would be responsible for the entire document. The persons responsible shall be clearly identified in the prospectus by their names and functions or, in the case of legal persons, their names and registered offices, as well as declarations by them that, to the best of their knowledge, the information contained in the prospectus is in accordance with the facts and that the prospectus makes no omission likely to affect its import."
Amendment 141 #
Proposal for a directive – amending act
Article 1 – point 7 – point b
Article 1 – point 7 – point b
Directive 2003/71/EC
Article 7 – paragraph 2 – point g
Article 7 – paragraph 2 – point g
(g) a proportionate disclosure regime shall apply to rights issues and convertible bond issues of companies whose shares are admitted to trading on a regulated market.
Amendment 152 #
Proposal for a directive – amending act
Article 1 – point 12 a (new)
Article 1 – point 12 a (new)
Directive 2003/71/EC
Article 13 – paragraph 4
Article 13 – paragraph 4
12a. Article 13(4) is replaced by the following: "If the competent authority finds, on reasonable grounds, that the documents submitted to it are incomplete or that supplementary information is needed, the time limits referred to in paragraphs 2 and 3 shall apply only from the date on which such information is provided by the issuer, the offeror or the person asking for admission to trading on a regulated market. In the case referred to in paragraph 2 the competent authority should notify the issuer, the offeror or the person asking for admission to trading on a regulated market if the documents are incomplete or supplementary information is needed within 10 working days of the submission of the application."
Amendment 158 #
Proposal for a directive – amending act
Article 1 – point 14
Article 1 – point 14
Directive 2003/71/EC
Article 16 – paragraph 1
Article 16 – paragraph 1
1. Every significant new factor, material mistake or inaccuracy relating to the information included in the prospectus which is capable of affecting the assessment of the securities and which arises or is noted between the time when the prospectus is approved and the final closing of the offer to the publicing period or, as the case may be, the time when trading on a regulated market begins, whichever occurs earlier, shall be mentioned in a supplement to the prospectus. Such a supplement shall be approved in the same way in a maximum of seven working days and published in accordance with at least the same arrangements as were applied when the original prospectus was published. The summary, and any translations thereof, shall also be supplemented, if necessary to take into account the new information included in the supplement.