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Directive 2001/34/EC of the European Parliament and of the CouncilShow full title

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 TABLE OF CONTENTS RECITALSTITLE I: DEFINITIONS AND SCOPE OF APPLICATIONChapter I: DefinitionsArticle 1Chapter II: Scope of applicationArticle 2Article 3Article 4TITLE II: GENERAL PROVISIONS CONCERNING THE OFFICIAL LISTING OF SECURITIESChapter I: General conditions for admissionArticle 5Article 6Article 7Chapter II: More stringent or additional conditions and obligationsArticle 8Chapter III: DerogationsArticle 9Article 10Chapter IV: Powers of the national competent authoritiesSection 1: Decision of admissionArticle 11Article 12Article 13Article 14Article 15Section 2: Information requested by the competent authoritiesArticle 16Section 3: Actions against an issuer failing to comply to the obligations resulting from admissionArticle 17Section 4: Suspension and discontinuanceArticle 18Section 5: Right to apply to the courts in case of refusal of admission or discontinuanceArticle 19TITLE III: PARTICULAR CONDITIONS RELATING TO OFFICIAL LISTING OF SECURITIESChapter I: Publication of listing particulars for admissionSection 1: General provisionsArticle 20Article 21Article 22Section 2: Partial or complete exemption from the obligation to publish listing particularsArticle 23Section 3: Permitted omission from the listing particulars of certain informationArticle 24Section 4: Contents of the listing of particulars in certain specific casesArticle 25Article 26Article 27Article 28Article 29Article 30Article 31Article 32Article 33Article 34Section 5: Control and circulation of listing particularsArticle 35Article 36Section 6: Determination of the competent authorityArticle 37Section 7: Mutual recognitionArticle 38Article 39Article 40Section 8: Negotiations with non-member countriesArticle 41Chapter II: Particular conditions for the admission of sharesSection 1: Conditions relating to companies for the shares of which admission to official listing is soughtArticle 42Article 43Article 44Section 2: Conditions relating to the shares for which admission is soughtArticle 45Article 46Article 47Article 48Article 49Article 50Article 51Chapter III: Particular conditions relating to the admission to the official listing of debt securities issued by an undertakingSection 1: Conditions relating to undertakings for the debt securities of which admission to official listing is soughtArticle 52Section 2: Conditions relating to the debt securities for which admission to official listing is soughtArticle 53Article 54Article 55Article 56Article 57Section 3: Other conditionsArticle 58Article 59Chapter IV: Particular conditions relating to the admission to official listing of debt securities issued by a State, its regional or local authorities or a public international bodyArticle 60Article 61Article 62Article 63TITLE IV: ONGOING OBLIGATIONS RELATING TO SECURITIES ADMITTED TO OFFICIAL LISTINGChapter I: Obligations of companies whose shares are admitted to official listingSection 1: Listing of newly issued shares of the same classArticle 64Section 2: Treatment of shareholdersArticle 65Section 3: Amendment of the instrument of incorporation or the statutesArticle 66Section 4: Annual accounts and annual reportArticle 67Section 5: Additional informationArticle 68Section 6: Equivalence of informationArticle 69Section 7: Periodical information to be publishedArticle 70Article 71Section 8: Publication and contents of the half-yearly reportArticle 72Article 73Article 74Article 75Article 76Article 77Chapter II: Obligation of issuers whose debt securities are admitted to official listingSection 1: Debt securities issued by an undertakingArticle 78Article 79Article 80Article 81Article 82Section 2: Debt securities issued by a State or its regional or local authorities or by a public international bodyArticle 83Article 84Chapter III: Obligations relating to the information to be published when a major holding in a listed company is acquired or disposed ofSection 1: General provisionsArticle 85Article 86Article 87Article 88Section 2: Information when a major holding is acquired or disposed ofArticle 89Article 90Article 91Section 3: Determination of the voting rightsArticle 92Section 4: ExemptionsArticle 93Article 94Article 95Section 5: Competent authoritiesArticle 96Section 6: SanctionsArticle 97TITLE V: PUBLICATION AND COMMUNICATION OF THE INFORMATIONChapter I: Publication and communication of listing particulars for the admission of securities to the official stock exchange listingSection 1: Procedures and period of publication of listing particulars and their supplementsArticle 98Article 99Article 100Section 2: Prior communication to the competent authorities of the means of publicationArticle 101Chapter II: Publication and communication of information after listingArticle 102Chapter III: LanguagesArticle 103Article 104TITLE VI: COMPETENT AUTHORITIES AND COOPERATION BETWEEN MEMBER STATESArticle 105Article 106Article 107TITLE VII: CONTACT COMMITTEEChapter 1: Composition, working and tasks of the CommitteeArticle 108Chapter II: Adaptation of the amount of equity market capitalisationArticle 109TITLE VIII: FINAL PROVISIONSArticle 110Article 111Article 112Article 113Annex I — Schedule of listing particulars for the admission of securities to the official stock exchange listingAnnex II — Part A: Repealed Directives and their successive amendmentsAnnex II — Part B: Deadlines for transposition into national lawAnnex III — Correlation table

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F1ANNEX IU.K. [F1SCHEDULE OF LISTING PARTICULARS FOR THE ADMISSION OF SECURITIES TO THE OFFICIAL STOCK EXCHANGE LISTING]

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX IIU.K.PART ARepealed Directives and their successive amendments (referred to in Article 111)

Council Directive 79/279/EEC(OJ L 66, 16.3.1979, p. 21)
Council Directive 82/148/EEC(OJ L 62, 5.3.1982, p. 22)
Council Directive 88/627/EEC(OJ L 348, 17.12.1988, p. 62)
Council Directive 80/390/EEC(OJ L 100, 17.4.1980, p. 1)
Council Directive 82/148/EEC(OJ L 62, 5.3.1982, p. 22)
Council Directive 87/345/EEC(OJ L 185, 4.7.1987, p. 81)
Council Directive 90/211/EEC(OJ L 112, 3.5.1990, p. 24)
European Parliament and Council Directive 94/18/EC(OJ L 135, 31.5.1994, p. 1)
Council Directive 82/121/EEC(OJ L 48, 20.2.1982, p. 26)
Council Directive 88/627/EEC(OJ L 348, 17.12.1988, p. 62)

ANNEX IIU.K.PART BTime-limits for transposition into national law (referred to in Article 111)

a

8.3.1982 for the Member States which introduce simultaneously Directives 79/279/EEC and 80/390/EEC.

b

30.6.1983for the Member States which introduce simultaneously Directives 79/279/EEC, 80/390/EEC and 82/121/EEC.

c

Time-limit for application: 30.6.1986.

DirectiveTime-limit for transposition
79/279/EEC8 March 1981a b
80/390/EEC19 September 1982b
82/121/EEC30 June 1983c
82/148/EEC
87/345/EEC

1 January 1990

1 January 1991 for Spain

1 January 1992 for Portugal

88/627/EEC1 January 1991
90/211/EEC17 April 1991
94/18/EC

ANNEX IIIU.K.CORRELATION TABLE

This DirectiveDir. 79/279/EECDir. 80/390/EECDir. 82/121/EECDir. 88/627/EEC
Article 1(a)Article 2(c)
Article 1(b), introductory phraseArticle 2(a), introductory phraseArticle 2(a), introductory phrase
Article 1(b)(i) and (ii)Article 2(a), 1st and 2nd indentsArticle 2(a), 1st and 2nd indents
Article 1(c), introductory phraseArticle 1(2), 2nd subparagraph, introductory phrase
Article 1(c) (i) and (ii)Article 1(2), 2nd subparagraph, 1st and 2nd indents
Article 1(d)Article 2(e)
Article 1(e)Article 2(b)Article 2(b)
Article 1(f)Article 2(f)
Article 1(g)Article 2(d)
Article 1(h)Article 2(g)
Article 2(1)Article 1(1)
Article 2(2), introductory phraseArticle 1(2), introductory phrase
Article 2(2)(a) and (b)Article 1(2), 1st and 2nd indents
Article 3(1)Article 1(1)
Article 3(2), introductory phraseArticle 1(2), introductory phrase
Article 3(2) (a) and (b)Article 1(2), 1st and 2nd indents
Article 4(1)Article 1(1)
Article 4(2)Article 1(2), first subparagraph
Article 4(3)Article 1(3)
Article 5(a) and (b)Article 3, first and second indents
Article 6Article 4
Article 7Article 6
Article 8Article 5
Article 9Article 7
Article 10Article 8
Article 11(1)Article 9(1)
Article 11(2)Article 9(3)
Article 12Article 10
Article 13(1)Article 18(2)
Article 13(2)Article 18(3)
Article 14Article 11
Article 15Article 16
Article 16Article 13
Article 17Article 12
Article 18Article 14
Article 19Article 15
Article 20Article 3
Article 21Article 4
Article 22Article 5
Article 23, introductory phraseArticle 6, introductory phrase
Article 23(1) and (2)Article 6(1) and (2)
Article 23(3)(a)Article 6(3)(a)
Article 23(3)(b), introductory phraseArticle 6(3)(b), introductory phrase
Article 23(3)(b) (i)Article 6(3)(b), 1st indent
Article 23(3)(b) (ii)Article 6(3)(b), 2nd indent
Article 23(3)(c), introductory phraseArticle 6(3)(c), introductory phrase
Article 23(3)(c) (i)Article 6(3)(c), 1st indent
Article 23(3)(c) (ii)Article 6(3)(c), 2nd indent
Article 23(3)(c) (ii), 1st indentArticle 6(3)(c), 2nd indent (i)
Article 23(3)(c) (ii), 2nd indentArticle 6(3)(c), 2nd indent (ii)
Article 23(3)(c) (iii)Article 6(3)(c), 3rd indent
Article 23(3)(d) to (g)Article 6(3)(d) to (g)
Article 23(4) and (5)Article 6(4) and (5)
Article 24Article 7
Article 25(1), 1st subparagraph, introductory phraseArticle 8(1), 1st subparagraph, introductory phrase
Article 25(1), 1st subparagraph, (a) to (g)Article 8(1), 1st subparagraph, 1st to 7th indents
Article 25(1), 2nd subparagraph, introductory phraseArticle 8(1), 2nd subparagraph, introductory phrase
Article 25(1), 2nd subparagraph, (a) and (b)Article 8(1), 2nd subparagraph, 1st and 2nd indents
Article 25(2), introductory phraseArticle 8(2), introductory phrase
Article 25(2)(a) to (d)Article 8(2), 1st to 4th indents
Article 25(3) and (4)Article 8(3) and (4)
Article 26(1), introductory phraseArticle 9(1), introductory phrase
Article 26(1)(a) to (g)Article 9(1), 1st to 7th indents
Article 26(2) and (3)Article 9(2) and (3)
Article 27Article 10
Article 28(1), introductory phraseArticle 11(1), introductory phrase
Article 28(1)(a) and (b)Article 11(1), 1st and 2nd indents
Article 28(2)Article 11(2)
Article 28(3) introductory phraseArticle 11(3) introductory phrase
Article 28(3)(a), (b) and (c)Article 11(3) 1st, 2nd and 3rd indent
Article 29 introductory phraseArticle 12 introductory phrase
Article 29(a) and (b)Article 12 1st and 2nd indents
Article 30(1), 1st subparagraph, introductory phraseArticle 13(1), 1st subparagraph, introductory phrase
Article 30(1), 1st subparagraph, (a) and (b)Article 13(1), 1st subparagraph, 1st and 2nd indents
Article 30(1), 2nd subparagraphArticle 13(1), 2nd subparagraph
Article 30(2), introductory phraseArticle 13(2), introductory phrase
Article 30(2) (a) and (b)Article 13(2), 1st and 2nd indents
Article 30(3) and (4)Article 13(3) and (4)
Article 31(1), introductory phraseArticle 14(1), introductory phrase
Article 31(1)(a) to (d)Article 14(1), 1st to 4th indents
Article 31(2), 1st subparagraph (a) to (d)Article 14(2), 1st to 4th indents
Article 31(2), 2nd subparagraphArticle 14(2), 2nd subparagraph
Article 32Article 15
Article 33(1)Article 16(1)
Article 33(2), introductory phraseArticle 16(2), introductory phrase
Article 33(2)(a), (b) and (c)Article 16(2), 1st, 2nd and 3rd indents
Article 33(3)Article 16(3)
Article 34Article 17
Article 35Article 18(2) and (3), 1st subparagraph
Article 36Article 19
Article 37Article 24
Article 38Article 24a
Article 39Article 24b
Article 40Articles 24(c) (2) and (3)
Article 41Article 25a
Article 42Annex — Schedule A (I) (1)
Article 43Annex — Schedule A (I) (2)
Article 44Annex — Schedule A (I) (3)
Article 45Annex — Schedule A (II) (1)
Article 46Annex — Schedule A (II) (2)
Article 47Annex — Schedule A (II) (3)
Article 48Annex — Schedule A (II) (4)
Article 49Annex — Schedule A (II) (5)
Article 50Annex — Schedule A (II) (6)
Article 51Annex — Schedule A (II) (7)
Article 52Annex — Schedule B (A) (I)
Article 53Annex — Schedule B (A) (II) (1)
Article 54Annex — Schedule B (A) (II) (2)
Article 55Annex — Schedule B (A) (II) (3)
Article 56Annex — Schedule B (A) (II) (4)
Article 57Annex — Schedule B (A) (II) (5)
Article 58Annex — Schedule B (A) (III) (1)
Article 59Annex — Schedule B (A) (III) (2)
Article 60Annex — Schedule B (B) (1)
Article 61Annex — Schedule B (B) (2)
Article 62Annex — Schedule B (B) (3)
Article 63Annex — Schedule B (B) (4)
Article 64Annex — Schedule C (1)
Article 65(1)Annex — Schedule C (2) (a)
Article 65(2) introductory phraseAnnex — Schedule C (2) (b), introductory phrase
Article 65(2)(a), (b) and (c)Annex — Schedule C (2) (b), 1st, 2nd and 3rd indents
Article 66Annex — Schedule C (3)
Article 67Annex — Schedule C (4)
Article 68Annex — Schedule C (5)(a), (b) and (c)
Article 69Annex — Schedule C (6)
Article 70Article 2
Article 71Article 3
Article 72Article 4
Article 73(1)Article 5(1)
Article 73(2), 1st subparagraph, introductory phraseArticle 5(2), 1st subparagraph, introductory phrase
Article 73(2), 1st subparagraph (a) and (b)Article 5(2), 1st subparagraph, 1st and 2nd indents
Article 73(2), 2nd subparagraphArticle 5(2), 2nd subparagraph
Article 73(3) to (7)Article 5(3) to (7)
Article 74Article 6
Article 75Article 8
Article 76Article 9(3) to (6)
Article 77Article 10(2)
Article 78(1)Annex — Schedule D (A) (1) (a)
Article 78(2) introductory phraseAnnex — Schedule D (A) (1) (b), introductory phrase
Article 78(2)(a) and (b)Annex — Schedule D (A) (1) (b), 1st and 2nd indents
Article 79Annex — Schedule D (A) (2)
Article 80Annex — Schedule D (A) (3)
Article 81Annex — Schedule D (A) (4)
Article 82Annex — Schedule D (A) (5)
Article 83(1)Annex — Schedule D (B) (1) (a)
Article 83(2), introductory phraseAnnex — Schedule D (B) (1) (b), introductory phrase
Article 83(2)(a) and (b)Annex — Schedule D (B) (1) (b), 1st and 2nd indents
Article 84Annex — Schedule D (B) (2)
Article 85Article 1(1), (2) and (3)
Article 86Article 2
Article 87Article 8
Article 88Article 3
Article 89(1), 1st subparagraph, introductory phraseArticle 4(1), 1st subparagraph, introductory phrase
Article 89(1), 1st subparagraph (a) and (b)Article 4(1), 1st subparagraph, 1st and 2nd indents
Article 89(1), 2nd and 3rd subparagraphsArticle 4(1), 2nd and 3rd subparagraphs
Article 89(2)Article 4(2)
Article 90Article 5
Article 91Article 10(1)
Article 92, 1st subparagraph, introductory phraseArticle 7, 1st subparagraph, introductory phrase
Article 92, 1st subparagraph (a) and (h)Article 7, 1st subparagraph, 1st to 8th indents
Article 92, 2nd subparagraphArticle 7, 2nd subparagraph
Article 93Article 6
Article 94Article 9
Article 95Article 11
Article 96Article 13
Article 97Article 15
Article 98(1), introductory phraseArticle 20(1), introductory phrase
Article 98(1)(a) and (b)Article 20(1), 1st and 2nd indents
Article 98(2)Article 20(2)
Article 99(1)Article 21(1)
Article 99(2), introductory phraseArticle 21(2), introductory phrase
Article 99(2)(a) and (b)Article 21(2), 1st and 2nd indents
Article 99(3)Article 21(3)
Article 100Article 23
Article 101Article 22
Article 102(1), 1st subparagraphArticle 17(1), 1st sentenceArticle 10(2), 1st subparagraph
Article 102(1), 2nd subparagraphArticle 17(1), 2nd sentence
Article 102(2)Article 7(1) and (3)
Article 103Article 17(2)Article 7(2)Article 10(2), 2nd subparagraph
Article 104Article 6a
Article 105(1) and (2)Article 9(1) and (2)Article 18(1) and (3), 2nd subparagraphArticle 9(1) and (2)Article 12(1) and (2)
Article 105(3)Article 18(4)Article 9(7)
Article 106Article 18(1)Article 24c(1)Article 10(1)Article 12(3)
Article 107(1) and (2)Article 19Article 25(1) and (2)Article 14(1) and (2)
Article 107(3) 1st subparagraphArticle 25(3)
Article 107(3) 2nd subparagraphArticle 14(3)
Article 108(1), 1st subparagraphArticle 20(1), introductory phrase
Article 108(1), 2nd and 3rd subparagraphsArticle 20(3) and (4)
Article 108(2), 1st subparagraph, point (a)Article 20(1), introductory phrase and point (a)Article 26(1)(a)Article 11(1)(a)
Article 108(2), 1st subparagraph, point (b)Article 16(1)(a)
Article 108(2), 1st subparagraph, point (c) (i)Article 20(1)(b)
Article 108(2), 1st subparagraph, point (c) (ii)Article 26(1)(b)
Article 108(2), 1st subparagraph, point (c) (iii)Article 11(1)(b)Article 16(1)(b)
Article 108(2), 1st subparagraph, point (d)Article 20(1)(c)Article 26(1)(c)Article 11(1)(c)Article 16(1)(c)
Article 108(2), 2nd subparagraphArticle 20(2)Article 26(2)
Article 109Article 21
Article 110Article 22(2)Article 27(2)Article 12(3)Article 17(2)
Article 111
Article 112
Article 113
Annex I — Schedule A, Chapter IAnnex — Schedule A, Chapter 1
Annex I — Schedule A, Chapter 2 — 2.1 to 2.4.4Annex — Schedule A, Chapter 2 — 2.1 to 2.4.4
Annex I — Schedule A, Chapter 2 — 2.4.5, 1st subparagraph, introductory phraseAnnex — Schedule A, Chapter 2 — 2.4.5, 1st subparagraph, introductory phrase
Annex I — Schedule A, Chapter 2 — 2.4.5, 1st subparagraph (a) and (b)Annex — Schedule A, Chapter 2 — 2.4.5, 1st subparagraph, 1st and 2nd indents
Annex I — Schedule A, Chapter 2 — 2.4.5, 2nd subparagraphAnnex — Schedule A, Chapter 2 — 2.4.5, 2nd subparagraph
Annex I — Schedule A, Chapter 2 — 2.5Annex — Schedule A, Chapter 2 — 2.5
Annex I — Schedule A, Chapter 3 — 3.1 to 3.2.0Annex — Schedule A, Chapter 3 — 3.1 to 3.2.0
Annex I — Schedule A, Chapter 3 — 3.2.1 introductory phraseAnnex — Schedule A, Chapter 3 — 3.2.1 introductory phrase
Annex I — Schedule A, Chapter 3 — 3.2.1 (a), (b) and (c)Annex — Schedule A, Chapter 3 — 3.2.1, 1st, 2nd and 3rd indents
Annex I — Schedule A, Chapter 3 — 3.2.2 to 3.2.9Annex — Schedule A, Chapter 3 — 3.2.2 to 3.2.9
Annex I — Schedule A, Chapter 4Annex — Schedule A, Chapter 4
Annex I — Schedule A, Chapter 5 — 5.1 to 5.3Annex — Schedule A, Chapter 5 — 5.1 to 5.3
Annex I — Schedule A, Chapter 5 — 5.4 (a) and (b)Annex — Schedule A, Chapter 5 — 5.4 (a) and (b)
Annex I — Schedule A, Chapter 5 — 5.4 (c) (i) and (ii)Annex — Schedule A, Chapter 5 — 5.4 (c) 1st and 2nd indents
Annex I — Schedule A, Chapter 5 — 5.5 and 5.6Annex — Schedule A, Chapter 5 — 5.5 and 5.6
Annex I — Schedule A, Chapter 6Annex — Schedule A, Chapter 6
Annex I — Schedule A, Chapter 7 — 7.1 introductory phraseAnnex — Schedule A, Chapter 7 — 7.1 introductory phrase
Annex I — Schedule A, Chapter 7 —7.1 (a) and (b)Annex — Schedule A, Chapter 7 — 7.1, 1st and 2nd indents
Annex I — Schedule A, Chapter 7 — 7.2Annex — Schedule A, Chapter 7 — 7.2
Annex I — Schedule B, Chapter 1 — 4Annex — Schedule B, Chapter 1—4
Annex I — Schedule B, Chapter 5 — 5.1 to 5.1.3Annex — Schedule B, Chapter 5 — 5.1 to 5.1.3
Annex I — Schedule B, Chapter 5 — 5.1.4, 1st subparagraph, introductory phraseAnnex — Schedule B, Chapter 5 — 5.1.4, 1st subparagraph, introductory phrase
Annex I — Schedule B, Chapter 5 — 5.1.4, 1st subparagraph (a), (b) and (c)Annex — Schedule B, Chapter 5 — 5.1.4, 1st subparagraph, 1st, 2nd and 3rd indents
Annex I — Schedule B, Chapter 5 — 5.1.4, 2nd, 3rd and 4th subparagraphsAnnex — Schedule B, Chapter 5 — 5.1.4, 2nd, 3rd and 4th subparagraphs
Annex I — Schedule B, Chapter 5 — 5.1.5 to 5.2Annex — Schedule B, Chapter 5 — 5.1.5 to 5.2
Annex I — Schedule B, Chapter 5 — 5.3 introductory sentenceAnnex — Schedule B, Chapter 5 — 5.3 introductory sentence
Annex I — Schedule B, Chapter 5 — 5.3 (a) and (b)Annex — Schedule B, Chapter 5 — 5.3 (a) and (b)
Annex I — Schedule B, Chapter 5 — 5.3 (c) (i) and (ii)Annex — Schedule B, Chapter 5 — 5.3 (c) 1st and 2nd indents
Annex I — Schedule B, Chapter 6Annex — Schedule B, Chapter 6
Annex I — Schedule B, Chapter 7 — 7.1 introductory phraseAnnex — Schedule B, Chapter 7 — 7.1 introductory phrase
Annex I — Schedule B, Chapter 7 — 7.1 (a) and (b)Annex — Schedule B, Chapter 7 — 7.1, 1st and 2nd indents
Annex I — Schedule B, Chapter 7 — 7.2Annex — Schedule B, Chapter 7 — 7.2
Annex I — Schedule C, Chapter 1Annex — Schedule C, Chapter 1
Annex I — Schedule C, Chapter 2 — 2.1 to 2.1.2Annex — Schedule C, Chapter 2 — 2.1.2
Annex I — Schedule C, Chapter 2 — 2.2 introductory phraseAnnex — Schedule C, Chapter 2 — 2.2 introductory phrase
Annex I — Schedule C, Chapter 2 — 2.2 (a) to (d)Annex — Schedule C, Chapter 2 — 2.2, 1st to 4th indents
Annex I — Schedule C, Chapter 2 — 2.3 to 2.6Annex — Schedule C, Chapter 2 — 2.3 to 2.6
Annex II
Annex III

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