COMMISSION IMPLEMENTING REGULATION (EU) No 827/2012
of 29 June 2012
laying down implementing technical standards with regard to the means for public disclosure of net position in shares, the format of the information to be provided to the European Securities and Markets Authority in relation to net short positions, the types of agreements, arrangements and measures to adequately ensure that shares or sovereign debt instruments are available for settlement and the dates and period for the determination of the principal venue for a share according to Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject Matter
CHAPTER II
MEANS FOR PUBLIC DISCLOSURE OF SIGNIFICANT NET SHORT POSITIONS IN SHARES
[ARTICLE 9 OF REGULATION (EU) No 236/2012]
Article 2
Means by which information may be disclosed to the public
CHAPTER III
FORMAT OF THE INFORMATION TO BE PROVIDED TO ESMA BY COMPETENT AUTHORITIES IN RELATION TO NET SHORT POSITIONS
[ARTICLE 11 OF REGULATION (EU) No 236/2012]
Article 3
Format of the periodic information
Article 4
Format of the information to be provided upon request
CHAPTER IV
AGREEMENTS, ARRANGEMENTS AND MEASURES TO ADEQUATELY ENSURE AVAILABILITY FOR SETTLEMENT
[ARTICLES 12 AND 13 OF REGULATION (EU) No 236/2012]
Article 5
Agreements to borrow and other enforceable claims having similar effect
Article 6
Arrangements and measures to be taken in relation to short sales of a share admitted to trading on a trading venue
[Article 12(1)(c) of Regulation (EU) No 236/2012]
Article 7
Arrangements with third parties to be taken in relation to sovereign debt
[Article 13(1)(c) of Regulation (EU) No 236/2012]
Article 8
Third parties with whom arrangements are made
CHAPTER V
DETERMINATION OF THE PRINCIPAL TRADING VENUE FOR THE EXEMPTION
[ARTICLE 16 OF REGULATION (EU) No 236/2012]
Article 9
Date and period for principal trading venue calculations
Article 10
Date of notification to ESMA
Article 11
Effectiveness of the list of exempted shares
Article 12
Specific cases of review of exempted shares
CHAPTER VI
FINAL PROVISIONS
Article 13
Entry into force
ANNEX I
Position holder |
Name of the issuer |
ISIN |
Net short position (%) |
Date position was created, changed or ceased to be held (yyyy-mm-dd) |
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ANNEX II
Information |
Format |
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For shares only: ISIN of the main class of ordinary shares of the issuer. If there are no ordinary shares admitted to trading, the ISIN of the class of preference shares (or of the main class of preference shares admitted to trading if there are several classes of such shares) |
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Two letter code for the sovereign issuer country in accordance with ISO standard 3166-1 |
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Date for which the position is reported. Format in accordance with ISO standard 8601:2004 (yyyy-mm-dd) |
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Percentage figure rounded to 2 decimal places |
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Percentage figure rounded to 2 decimal places |
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Figure of equivalent nominal amount in Euros |
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Figure of equivalent nominal amount in Euros |