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Market Abuse Regulation - Commentary and Annotated Guide edited by Ventoruzzo, Marco; Mock, Sebastian (30th November 2017)

List of Abbreviations and Legislation

Marco Ventoruzzo, Sebastian Mock

From: Market Abuse Regulation: Commentary and Annotated Guide

Edited By: Marco Ventoruzzo, Sebastian Mock

From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber: null; date: 28 May 2020

AFM

Netherlands Authority for the Financial Market

BaFin

German Federal Financial Supervisory Authority

Brussels I bis Regulation (2012/1215/EU)

Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12 December 2012 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (OJ L 351 (20 December 2012) 1)

Buy-back Programmes and Stabilisation Regulation (2273/2003/EC)

Commission Regulation (EC) No 2273/2003 of 22 December 2003 implementing Directive 2003/6/EC of the European Parliament and of the Council as regards exemptions for buy-back programmes and stabilisation of financial instruments (OJ L 336 (23 December 2003) 33)

Capital Maintenance Directive (2012/36/EU)

Directive 2012/30/EU of the European Parliament and of the Council of 25 October 2012 on coordination of safeguards which, for the protection of the interests of members and others, are required by Member States of companies within the meaning of the second paragraph of Article 54 of the Treaty on the Functioning of the European Union, in respect of the formation of public limited liability companies and the maintenance and alteration of their capital, with a view to making such safeguards equivalent (OJ L 315 (14 November 2012) 74)

Capital Requirements Directive (CRD IV) (2013/36/EU)

Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176 (27 June 2013) 338)

Capital Requirements Regulation (CRD IV) (2013/575/EU)

Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 321 (30 November 2013) 6)

CFR

Charter of Fundamental Rights of the European Union

CRIM MAD

See Market Abuse Directive on Criminal Sanctions (2014/57/EU)

Data Protection Directive (95/46/EC)

Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281 (23 November 1995) 31)

EBLR

European Business Law Review

EBOR

European Business Organization Law Review

ECFR

European Company and Financial Law Review

ESMA

European Securities and Markets Authority

ESMA Regulation (1095/2010/EU)

Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331 (15 December 2010) 84)

FCA

Financial Conduct Authority—United Kingdom

FSA

Financial Services Authority—United Kingdom

Greenhouse Gas Emission Allowances Directive (2003/87/EC)

Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC (OJ L 275 (25 October 2003) 32)

Greenhouse Gas Emission Allowances Regulation (1031/2010/EU)

Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emission allowances trading within the Community (OJ L 302 (18 November 2010) 1)

Insider Dealing Directive Proposal

Commission, Proposal for a council directive coordinating regulations on insider trading, COM(87) 111 final

Insider Dealing Directive (1989/592/EEC)

Council Directive 89/592/EEC of 13 November 1989 coordinating regulations on insider dealing (OJ L 334 (18 November 1989) 30)

Investment Recommendations Directive (2003/125/EC)

Commission Directive 2003/125/EC of 22 December 2003 implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the fair presentation of investment recommendations and the disclosure of conflicts of interest (OJ L 339 (24 December 2003) 73)

IOSCO

International Organization of Securities Commissions

(former) Market Abuse Directive (2003/6/EC)

Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse) (OJ L 96 (12 April 2003) 16)

Market Abuse Implementation Directive (2003/124/EC)

Commission Directive 2003/124/EC of 22 December 2003 implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the definition and public disclosure of inside information and the definition of market manipulation (OJ L 339 (24 December 2003) 70)

Market Abuse Directive on Criminal Sanctions (2014/57/EU)

Directive 2014/57/EU of the European Parliament and of the Council of 16 April 2014 on criminal sanctions for market abuse (market abuse directive) (OJ L 173 (12 June 2014) 179)

Market Abuse Regulation (2014/596/EU)

Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC (OJ L 173 (12 June 2014) 1)

Market Abuse Regulation Proposal

Commission, Proposal for a Regulation of the European Parliament and of the Council on insider dealing and market manipulation (market abuse), COM(2011) 651 final

Markets in Financial Instruments Directive I (2004/39/EC)

Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145 (30 April 2004) 1)

Markets in Financial Instruments Directive II (2014/65/EU)

Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173 (12 June 2014) 349)

Markets in Financial Instruments Implementation Regulation (1287/2006/EC)

Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive (OJ L 231 (2 September 2006) 241)

Markets in Financial Instruments Regulation (2014/600/EU)

Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173 (12 June 2014) 84)

MTFs

multilateral trading facilities

Omnibus I Directive (2010/78/EU)

Directive 2010/78/EU amending Directives 98/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC, 2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Supervisory Authority (European Banking Authority), the European Supervisory Authority (European Insurance and Occupational Pensions Authority) and the European Supervisory Authority (European Securities and Markets Authority) (OJ L 331 (15 December 2010) 120)

OTF

organized trading facility

PRIIPs Regulation (2014/1286/EU)

Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs)

Prospectus Directive (2003/71/EC)

Directive 2003/71/EC of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading and amending Directive 2001/34/EC (OJ L 345 (31 December 2003) 64)

Prospectus Regulation (2017/1129/EU)

Regulation on the prospectus to be published when securities are offered to the public or admitted to trading (hereafter Prospectus Regulation), as approved by the European Parliament in first reading on 5 April 5 2017

Rome II Regulation (864/2007/EC)

Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual obligations (Rome II) (OJ L 199 (31 July 2007) 40)

Short Selling Regulation (236/2012/EU)

Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps (OJ L 86 (24 March 2012) 3)

SME

small and medium-sized enterprises

SSM Regulation (1024/2013/EU)

Regulation 1024/2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions (OJ L 287 (29 October 2013) 63)

Stock Exchange Listing Directive I (1979/279/EEC)

Council Directive 79/279/EEC of 5 March 1979 coordinating the conditions for the admission of securities to official stock exchange listing (OJ L 66 (16 March 1979) 21)

Stock Exchange Listing Directive II (2001/34/EC)

Directive 2001/34/EC of the European Parliament and of the Council of 28 May 2001 on the admission of securities to official stock exchange listing and on information to be published on those securities (OJ L 184 (6 July 2001) 1)

STORs

Suspicious Transaction and Order Reports

STRs

Suspicious Transaction Reports

Takeover Directive (2004/25/EC)

Directive 2004/25/EC of the European Parliament and of the Council of 21 April 2004 on takeover bids (OJ L 142 (30 April 2004) 12)

(former) Transparency Directive (2004/109/EC)

Directive 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC (OJ L 390 (31 December 2004) 48)

Transparency Directive (2013/50/EU)

Directive 2013/50/EU of the European Parliament and of the Council of 22 October 2013 amending Directive 2004/109/EC of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market, Directive 2003/71/EC of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading and Commission Directive 2007/14/EC laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC (OJ L 294 (6 November 2013) 13)

UCITS V (2014/91/EU)

Directive 2014/91/EU of the European Parliament and of the Council of 23 July 2014 amending Directive 2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) as regards depositary functions, remuneration policies and sanctions (OJ L 257 (28 August 2014) 186)

Wholesale Energy Market Integrity and Transparency Regulation (2011/1227/EU)

Regulation (EU) No 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency (OJ L 326 (8 December 2011) 93)

(p. xl) (p. xli) (p. xlii) (p. xliii) (p. xliv)