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  Art. 24 EU-ProspV Inhalt der Zusammenfassung des Prospekts und des Basisprospekts

  Dr. Timo Holzborn, Elke Glismann

  …prospectus or 15 pages, whichever is the longer. It shall not contain cross-refer- ences to other parts of the prospectus. The order of the sections and of…
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  Anh. XXII EU-ProspV Für die Zusammenfassung vorgeschriebene Angaben

  Dr. Timo Holzborn, Elke Glismann

  …is not under an ob- ligation to include a summary in a prospectus but wishes to produce some overview section in the prospectus, it should ensure that… …it is not titled “summary” unless it complies with all the disclosure requirements for summaries. Section A — Introduction and warnings Annexes… …it does not provide, when read together with the other parts of the pros- pectus, key information in order to aid investors when consi- dering whether… …competes. 1 B.4a A description of the most significant recent trends affecting the issuer and the industries in which it operates. 4, 11 B.4b A description… …of any known trends affecting the issuer and the industries in which it operates. 1, 4, 9, 11 B.5 If the issuer is part of a group, a description of… …guarantor as if it were the is- suer of the same type of security that is the subject of the gu- arantee. Therefore provide such information as required for a… …operates and legal form which it has adopted under the legislation.” 15 B.33 The following information from Annex 1: – B.1 – B.2 – B.5 – B.6 – B.7 –… …interest” – “where the rate is not fixed, description of the underlying on which it is based” – “maturity date and arrangements for the amortisation of the… …the effect that investors may lose the value of their entire investment or part of it, as the case may be, and/or, if the investor’s liability is not…

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  Anh. I EU-ProspV Mindestangaben für das Registrierungsformular für Aktien (Modul)

  Dr. Holger Alfes, Dr. Laurenz Wieneke

  …certain parts of it, with, in the latter case, an in- dication of such parts. In the case of nat- ural persons including members of the is- suer’s… …su- pervisory bodies or partner. It is not necessary to list all the subsidiaries of an issuer of which the person is also a member of the… …standards, it must be pre- sented in the form of restated financial statements. Mindestangaben Anh. I EU-ProspV Alfes/Wieneke 277 Die geprüften… …tion must be independently audited or reported on as to whether or not, for the purposes of the registration document, it gives a true and fair view, in…

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  Art. 4a EU-ProspV Schema für Aktienregistrierungsformulare bei komplexer finanztechnischer Vorgeschichte oder bedeutenden finanziellen Verpflichtungen

  Prof. Dr. Anne d'Arcy

  …, including the economic substance of the transac- tions by which the issuer has ac- quired or disposed of its business un- dertaking or any part of it, and the… …information which it is required to provide under item 20.1 of Annex I, item 15.1 of Annex Mindestangaben Art. 4a EU-ProspV d‘Arcy 397 zulegen hat, geben… …as having made a significant financial commitment if it has entered into a binding agreement to un- dertake a transaction which, on comple- tion, is… …conditions, including ap- proval by a regulatory authority, shall not prevent that agreement from being treated as binding if it is reasonably cer- tain that… …those conditions will be fulfilled. In particular, an agreement shall be treated as binding where it makes the completion of the transaction conditional…

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  Anh. II EU-ProspV Modul für Pro forma-Finanzinformationen

  Prof. Dr. Anne d'Arcy

  …clude a description of the transaction, the businesses or entities involved and the period to which it refers, and must clearly state the following: a)… …the purpose to which it has been pre- pared; b) the fact that it has been prepared for illustrative purposes only; c) the fact that because of its… …Basis mit den Rechnungs- legungsstrategien des Emittenten konsistent ist. a) the basis upon which it is prepared; b) the source of each item of…

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  Anh. III EU-ProspV Mindestangaben für die Wertpapierbeschreibung für Aktien (Schema)

  Dr. Isabel Rauch

  …responsible for the infor- mation given in the prospectus and, as the case may be, for certain parts of it, with, in the latter case, an indication of such… …Statement Statement by the issuer that, in its opin- ion, the working capital is sufficient for the issuer’s present requirements or, if not, how it proposes… …over- allotment option or it is otherwise pro- posed that price stabilising activities may be entered into in connection with an of- fer: 6.5.1. The fact… …that stabilisation may be undertaken, that there is no assurance that it will be undertaken and that it may be stopped at any time; 6.5.2. The beginning… …that such statement or report is in- cluded, in the form and context in which it is included, with the consent of the per- son who has authorised the…

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  Anh. IV EU-ProspV Mindestangaben für das Registrierungsformular für Schuldtitel und derivative Wertpapiere (Schema) (Schuldtitel und derivative Wertpapiere mit einer Stückelung von weniger als 100.000 EUR)

  Elke Glismann

  …for the infor- mation given in the registration docu- ment and, as the case may be, for certain parts of it, with, in the latter case, an in- dication… …is- suer’s position within it. 7.2. If the issuer is dependent upon other entities within the group, this must be clearly stated together with an… …und enthal- ten ausschließlich nicht irreführende Zahlen, die im Wesentlichen it den im nächsten geprüften Jahresabschluss zu veröffentlichenden Zahlen… …standards, it must be pre- sented in the form of restated financial statements. The most recent years’s historical finan- cial information must be presented… …independently au- dited or reported on as to whether or not, for the purposes of the registration docu- ment, it gives a true and fair view, in ac- cordance with… …registration document is dated more than nine months after the end of the last audited financial year, it must contain interim financial informa- tion, covering… …issued capital, the number and classes of the shares of which it is composed with details of their principal characteristics, the part of the issued… …, in the form and context in which it is included, with the consent of that person who has au- thorised the contents of that part of the registration…

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  Anh. V EU-ProspV Mindestangaben für die Wertpapierbeschreibung für Schuldtitel (Schema) (Schuldtitel mit einer Stückelung von weniger als 100.000 EUR)

  Elke Glismann

  …given in the prospectus and, as the case may be, for certain parts of it, with, in the latter case, an indication of such parts. In the case of natural… …setting out the type of underlying and a description of the underlying on which it is based and of the method used to relate the underlying and the rate and… …the repayment procedures. Where ad- vance amortisation is contemplated, on the initiative of the issuer or of the holder, it shall be described… …effect that such statement or re- port is included, in the form and context in which it is included, with the consent of that person who has authorised the…

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  Anh. VI EU-ProspV Mindestangaben für Garantien (Zusätzliches Modul)

  Dr. Timo Holzborn

  …guarantor The guarantor must disclose information about itself as if it were the issuer of that same type of security that is the subject of the guarantee…
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  Anh. VII EU-ProspV Mindestangaben für das Registrierungsformular für durch Vermögenswerte unterlegte Wertpapiere („asset backed securities“/ABS) (Schema)

  Jens H. Pegel

  …Responsible 1.1. All persons responsible for the infor- mation given in the registration docu- ment and, as the case may be, for certain parts of it, with, in… …which it is composed. 5. Business Overview 5.1. A brief description of the issuer’s principal activities. 5.2. A global overview of the parties to the… …standards. If such financial information is not equiv- alent to these standards, it must be pre- sented in the form of restated financial statements. The… …purposes of the registration document, it gives a true and fair view, in accordance with auditing standards applicable in a Member State or an equivalent… …purposes of the registra- tion document, it gives a true and fair view, in accordance with auditing standards applicable in a Member State or an equivalent… …produced at the issuer’s request a statement to that effect that such state- ment or report is included, in the form and context in which it is included…

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