in force 2024-12-04 INSERTED+2,082 −0§
Amended by Regulation (EU) 2024/2809 32024R2809
applies from: unknown (an inserted provision states its own application date only in prose)
Sources disagree — the text comparison and the EU's own amendment metadata found this change; the amending act's instructions do not mention it. All are shown; none is overruled.
Annex IX is newly added, setting out a list of information items to be included in the document referred to in Article 1(4), first subparagraph, points (da) and (db), and in Article 1(5), first subparagraph, point (ba), covering matters such as issuer identification, a responsibility declaration, the competent authority and non-prospectus status, compliance with reporting obligations, availability of regulated information, inside information disclosure, reasons for issuance, risk factors, securities characteristics, dilution, offer terms, and admission to trading on other markets.
Cited: Annex IX, v2
text before / after
inserted text (02017R1129-20241204)
ANNEX IX INFORMATION TO BE INCLUDED IN THE DOCUMENT REFERRED TO IN ARTICLE 1(4), FIRST SUBPARAGRAPH, POINTS (DA) AND (DB), AND IN ARTICLE 1(5), FIRST SUBPARAGRAPH, POINT (BA) I. The name of the issuer (including its LEI), country of incorporation, link to the issuer’s website. II. A declaration by those responsible for the document that, to the best of their knowledge, the information contained in the document is in accordance with the facts and that the document makes no omission likely to affect its import. III. The name of the competent authority of the home Member State in accordance with Article 20. A statement that the document does not constitute a prospectus within the meaning of this Regulation and that the document has not been subject to the scrutiny and approval by the competent authority of the home Member State. IV. A statement of continuous compliance with reporting and disclosure obligations throughout the period of being admitted to trading, including under Directive 2004/109/EC, where applicable, Regulation (EU) No 596/2014 and, where applicable, Delegated Regulation (EU) 2017/565. V. An indication of where the regulated information published by the issuer pursuant to ongoing disclosure obligations is available and, where applicable, where the most recent prospectus can be obtained. VI. Where there is an offer of securities to the public, a statement that at the time of the offer the issuer is not delaying the disclosure of inside information pursuant to Regulation (EU) No 596/2014. VII. The reason for the issuance and use of proceeds. VIII. The risk factors specific to the issuer. IX. The characteristics of the securities (including their ISIN). X. For shares, the dilution and shareholding after the issuance. XI. Where there is an offer of securities to the public, the terms and conditions of the offer. XII. Where applicable, any regulated markets or SME growth markets where the securities fungible with the securities to be offered to the public or to be admitted to trading on a regulated market are already admitted to trading.