Commission regulation (EC) No 809/2004 (repealed)Dangos y teitl llawn

[X1 4. INFORMATION CONCERNING THE SECURITIES TO BE OFFERED/ADMITTED TO TRADING U.K.

4.1. Information concerning the securities U.K.

4.1.1. A description of the type and the class of the securities being offered and/or admitted to trading, including the ISIN (International Security Identification Number) or other such security identification code. U.K.

4.1.2. A clear and comprehensive explanation to help investors understand how the value of their investment is affected by the value of the underlying instrument (s), especially under the circumstances when the risks are most evident unless the securities have a denomination per unit of at least EUR  [F1 100 000] or can only be acquired for at least EUR  [F1 100 000] per security. U.K.

Textual Amendments

F1 Substituted by Commission Delegated Regulation (EU) No 486/2012 of 30 March 2012 amending Regulation (EC) No 809/2004 as regards the format and the content of the prospectus, the base prospectus, the summary and the final terms and as regards the disclosure requirements (Text with EEA relevance).

4.1.3. Legislation under which the securities have been created. U.K.

4.1.4. An indication whether the securities are in registered form or bearer form and whether the securities are in certificated form or book-entry form. In the latter case, name and address of the entity in charge of keeping the records. U.K.

4.1.5. Currency of the securities issue. U.K.

4.1.6. Ranking of the securities being offered and/or admitted to trading, including summaries of any clauses that are intended to affect ranking or subordinate the security to any present or future liabilities of the issuer. U.K.

4.1.7. A description of the rights, including any limitations of these, attached to the securities and procedure for the exercise of said rights. U.K.

4.1.8. In the case of new issues, a statement of the resolutions, authorisations and approvals by virtue of which the securities have been or will be created and/or issued. U.K.

4.1.9. The issue date of the securities. U.K.

4.1.10. A description of any restrictions on the free transferability of the securities. U.K.

4.1.11.

• The expiration or maturity date of the derivative securities.

• The exercise date or final reference date.

4.1.12. A description of the settlement procedure of the derivative securities. U.K.

4.1.13. A description of how any return on derivative securities takes place, the payment or delivery date, and the way it is calculated. U.K.

4.1.14. In respect of the country of registered office of the issuer and the country(ies) where the offer is being made or admission to trading is being sought: U.K.

(a)

information on taxes on the income from the securities withheld at source;

(b)

indication as to whether the issuer assumes responsibility for the withholding of taxes at the source.

4.2. Information concerning the underlying U.K.

4.2.1. The exercise price or the final reference price of the underlying. U.K.

4.2.2. A statement setting out the type of the underlying and details of where information on the underlying can be obtained: U.K.

• an indication where information about the past and the further performance of the underlying and its volatility can be obtained,

• where the underlying is a security,

  • the name of the issuer of the security,

  • the ISIN (international security identification number) or other such security identification code,

• [F2 where the underlying is an index:

  • the name of the index,

  • a description of the index if it is composed by the issuer or by any legal entity belonging to the same group,

  • a description of the index provided by a legal entity or a natural person acting in association with, or on behalf of, the issuer, unless the prospectus contains the following statements:

    • the complete set of rules of the index and information on the performance of the index are freely accessible on the issuer’s or on the index provider’s website,

      and

    • the governing rules (including methodology of the index for the selection and the re-balancing of the components of the index, description of market disruption events and adjustment rules) are based on predetermined and objective criteria.

  If the index is not composed by the issuer, where information about the index can be obtained.]

• where the underlying is an interest rate,

  • a description of the interest rate,

• others:

  • Where the underlying does not fall within the categories specified above the securities note shall contain equivalent information.

• where the underlying is a basket of underlyings,

  • disclosure of the relevant weightings of each underlying in the basket.

Textual Amendments

F2 Substituted by Commission Delegated Regulation (EU) No 862/2012 of 4 June 2012 amending Regulation (EC) No 809/2004 as regards information on the consent to use of the prospectus, information on underlying indexes and the requirement for a report prepared by independent accountants or auditors (Text with EEA relevance).

4.2.3. A description of any market disruption or settlement disruption events that affect the underlying. U.K.

4.2.4. Adjustment rules with relation to events concerning the underlying.] U.K.

Editorial Information

X1 Substituted by Corrigendum to Commission Regulation (EC) No 809/2004 of 29 April 2004 implementing Directive 2003/71/EC of the European Parliament and of the Council as regards information contained in prospectuses as well as the format, incorporation by reference and publication of such prospectuses and dissemination of advertisements (Official Journal of the European Union L 149 of 30 April 2004).