Commission Regulation (EC) No 809/2004 (repealed)Show full title

ANNEX XIII MINIMUM DISCLOSURE REQUIREMENTS FOR THE SECURITIES NOTE FOR DEBT SECURITIES WITH A DENOMINATION PER UNIT OF AT LEAST EUR 50 000(SCHEDULE)

1	PERSONS RESPONSIBLE
1.1	All persons responsible for the information 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 case of natural persons including members of the issuer's administrative, management or supervisory bodies indicate the name and function of the person; in case of legal persons indicate the name and registered office.
1.2	A declaration by those responsible for the prospectus that, having taken all reasonable care to ensure that such is the case, the information contained in the prospectus is, to the best of their knowledge, in accordance with the facts and contains no omission likely to affect its import. As the case may be, declaration by those responsible for certain parts of the prospectus that the information contained in the part of the prospectus for which they are responsible is, to the best of their knowledge, in accordance with the facts and contains no omission likely to affect its import.
2	RISK FACTORS
	Prominent disclosure of risk factors that are material to the securities admitted to trading in order to assess the market risk associated with these securities in a section headed “Risk Factors”.
3.	KEY INFORMATION
	Interest of natural and legal persons involved in the issue A description of any interest, including conflicting ones, that is material to the issue, detailing the persons involved and the nature of the interest.
4	INFORMATION CONCERNING THE SECURITIES TO BE ADMITTED TO TRADING
4.1	Total amount of securities being admitted to trading.
4.2	A description of the type and the class of the securities being admitted to trading, including the ISIN (International Security Identification Number) or other such security identification code.
4.3	Legislation under which the securities have been created.
4.4	An indication of whether the securities are in registered or bearer form and whether the securities are in certificated or book-entry form. In the latter case, name and address of the entity in charge of keeping the records.
4.5	Currency of the securities issue.
4.6	Ranking of the securities being 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
4.7	A description of the rights, including any limitations of these, attached to the securities and procedure for the exercise of said rights.
4.8	The nominal interest rate and provisions relating to interest payable. The date from which interest becomes payable and the due dates for interest. The time limit on the validity of claims to interest and repayment of principal Where the rate is not fixed, description of the underlying on which it is based and of the method used to relate the two. A description of any market disruption or settlement disruption events that affect the underlying Adjustment rules with relation to events concerning the underlying Name of the calculation agent
4.9	Maturity date and arrangements for the amortization of the loan, including the repayment procedures. Where advance amortization is contemplated, on the initiative of the issuer or of the holder, it must be described, stipulating amortization terms and conditions.
4.10	An indication of yield.
4.11	Representation of debt security holders including an identification of the organisation representing the investors and provisions applying to such representation. Indication of where investors may have access to the contracts relating to these forms of representation.
4.12	A statement of the resolutions, authorisations and approvals by virtue of which the securities have been created and/or issued.
4.13	The issue date of the securities.
4.14	A description of any restrictions on the free transferability of the securities.
5	ADMISSION TO TRADING AND DEALING ARRANGEMENTS
5.1	Indication of the market where the securities will be traded and for which prospectus has been published. If known, give the earliest dates on which the securities will be admitted to trading.
5.2	Name and address of any paying agents and depository agents in each country.
6	EXPENSE OF THE ADMISSION TO TRADING
	An estimate of the total expenses related to the admission to trading.
7	ADDITIONAL INFORMATION
7.1	If advisors are mentioned in the Securities Note, a statement of the capacity in which the advisors have acted
7.2	An indication of other information in the Securities Note which has been audited or reviewed by auditors and where auditors have produced a report. Reproduction of the report or, with permission of the competent authority, a summary of the report.
7.3	Where a statement or report attributed to a person as an expert is included in the Securities Note, provide such person's name, business address, qualifications and material interest if any in the issuer. If the report has been produced at the issuer's request a statement to that effect that such statement or report is included, in the form and context in which it is included, with the consent of that person who has authorised the contents of that part of the Securities Note.
7.4	Where information has been sourced from a third party, provide a confirmation that this information has been accurately reproduced and that as far as the issuer is aware and is able to ascertain from information published by that third party, no facts have been omitted which would render the reproduced information inaccurate or misleading. In addition, identify the source(s) of the information.
7.5	Credit ratings assigned to an issuer or its debt securities at the request or with the co-operation of the issuer in the rating process.