ANNEX III - Purpose, persons responsible, third party information, experts’ reports and competent authority approval
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🔗 Back to Summary. 🇫🇷 French Version: 2017R1129_FR.III. Link to the PDF. Direct link to EUR-LEX.
Article II – Purpose, persons responsible, third party information, experts’ reports and competent authority approval ⬅️ | ➡️ Article IIII – Summary
I.
Purpose, persons responsible, third party information, experts’ reports and competent authority approval
The purpose of this section is to provide information on the persons who are responsible for the content of the securities note and to provide comfort to investors on the accuracy of the information disclosed in the prospectus. In addition, this section provides information on the interests of persons involved in the offer, as well as the reasons of the offer, the use of proceeds and the expenses of the offer. Moreover, this section provides information on the legal basis of the prospectus and its approval by the competent authority.
II.
Working capital statement (equity securities only)
The purpose of this section is to provide information on the issuer’s working capital requirements.
III.
Risk factors
The purpose of this section is to describe the main risks which are specific to the securities offered to the public or to be admitted to trading on a regulated market.
IV.
Terms and conditions of the securities
The purpose of this section is to set out the terms and conditions of the securities and provides a detailed description of their characteristics.
Where applicable, this information shall include the information referred to in 2024.
V.
Details of the offer/admission to trading
The purpose of this section is to provide information regarding the offer or the admission to trading on a regulated market or an MTF, including the final offer price and amount of securities (whether in number of securities or aggregate nominal amount) which will be offered, the reasons for the offer, the plan for distribution of the securities, the use of proceeds of the offer, the expenses of the issuance and offer, and dilution (for equity securities only).
VI.
ESG-related information (non-equity securities only, where applicable)
The purpose of this section is to set out, where applicable, ESG-related information in accordance with the delegated act referred to in Article 13(1), second subparagraph, point (g).
VII.
Information on the guarantor (non-equity securities only, where applicable)
The purpose of this section is to provide information on the guarantor of the securities, where applicable, including essential information about the guarantee attached to the securities, the risk factors and financial information specific to the guarantor. VIII.
Information on the underlying securities and the issuer of the underlying securities (where applicable)
The purpose of this section is to provide, where applicable, information on the underlying securities and, where applicable, on the issuer of the underlying securities.
IX.
Information on consent (where applicable)
The purpose of this section is to provide information on the consent where the issuer or the person responsible for drawing up a prospectus consents to its use in accordance with Article 5(1).# Table 1 in anx_VI
| Directive 2003/71/EC | This Regulation |
|---|---|
| Article 1(1) | Article 1(1) |
| Article 1(2)(a) | Article 1(2)(a) |
| Article 1(2)(b) | Article 1(2)(b) |
| Article 1(2)(c) | Article 1(2)(c) |
| Article 1(2)(d) | Article 1(2)(d) |
| Article 1(2)(e) | Article 1(2)(e) |
| Article 1(2)(f) | — |
| Article 1(2)(g) | Article 1(2)(f) |
| Article 1(2)(h) | Article 1(3) |
| Article 1(2)(i) | — |
| Article 1(2)(j) | Article 1(4)(j) and Article 1(5), first subparagraph, point (i) |
| Article 1(3) | Article 4 |
| Article 1(4) | — |
| Article 2(1)(a) | Article 2(a) |
| Article 2(1)(b) | Article 2(b) |
| Article 2(1)(c) | Article 2(c) |
| Article 2(1)(d) | Article 2(d) |
| Article 2(1)(e) | Article 2(e) |
| Article 2(1)(f) | Article 2(f) |
| Article 2(1)(g) | Article 2(g) |
| Article 2(1)(h) | Article 2(h) |
| Article 2(1)(i) | Article 2(i) |
| Article 2(1)(j) | Article 2(j) |
| Article 2(1)(k) | — |
| Article 2(1)(l) | — |
| Article 2(1)(m) | Article 2(m) |
| Article 2(1)(n) | Article 2(n) |
| Article 2(1)(o) | Article 2(p) |
| Article 2(1)(p) | Article 2(q) |
| Article 2(1)(q) | Article 2(r) |
| Article 2(1)(r) | Article 2(s) |
| Article 2(1)(s) | — |
| Article 2(1)(t) | — |
| Article 2(4) | — |
| Article 3(1) | Article 3(1) |
| Article 3(2)(a) | Article 1(4)(a) |
| Article 3(2)(b) | Article 1(4)(b) |
| Article 3(2)(c) | Article 1(4)(d) |
| Article 3(2)(d) | Article 1(4)(c) |
| Article 3(2)(e) | — |
| Article 3(2), second and third subparagraphs | Article 5(1) |
| Article 3(3) | Article 3(3) |
| Article 3(4) | — |
| Article 4(1)(a) | Article 1(4)(e) |
| Article 4(1)(b) | Article 1(4)(f) |
| Article 4(1)(c) | Article 1(4)(g) |
| Article 4(1)(d) | Article 1(4)(h) |
| Article 4(1)(e) | Article 1(4)(i) |
| Article 4(1), second to fifth subparagraphs | — |
| Article 4(2)(a) | Article 1(5), first subparagraph, point (a) |
| Article 4(2)(b) | Article 1(5), first subparagraph, point (d) |
| Article 4(2)(c) | Article 1(5), first subparagraph, point (e) |
| Article 4(2)(d) | Article 1(5), first subparagraph, point (f) |
| Article 4(2)(e) | Article 1(5), first subparagraph, point (g) |
| Article 4(2)(f) | Article 1(5), first subparagraph, point (h) |
| Article 4(2)(g) | Article 1(5), first subparagraph, points (b) and (c) |
| Article 4(2)(h) | Article 1(5), first subparagraph, point (j) |
| Article 4(3) | Article 1(7) |
| Article 5(1) | Article 6(1) and (2), Article 14(2) |
| Article 5(2) | Article 7 |
| Article 5(3) | Article 6(3) |
| Article 5(4), first subparagraph | Article 8(1) |
| Article 5(4), second subparagraph | Article 8(10) |
| Article 5(4), third subparagraph, first sentence | Article 8(5) and Article 25(4) |
| Article 5(4), third subparagraph, second sentence | Article 8(4) |
| Article 5(5) | Article 13(1) and Article 7(13) |
| Article 6(1) | Article 11(1) |
| Article 6(2) | Article 11(2) |
| Article 7(1) | Article 13(1), first subparagraph |
| Article 7(2)(a) | Article 13(1), second subparagraph, point (a) |
| Article 7(2)(b) | Article 13(1), second subparagraph, point (b) |
| Article 7(2)(c) | Article 13(1), second subparagraph, point (c) |
| Article 7(2)(d) | Article 13(1), second subparagraph, point (c) |
| Article 7(2)(e) | Article 15(2) |
| Article 7(2)(f) | Article 13(1), second subparagraph, point (d) |
| Article 7(2)(g) | Article 14(3) |
| Article 7(3) | Article 13(3) |
| Article 7(4) | — |
| Article 8(1), first subparagraph, point (a) | Article 17(1), first subparagraph, point (b) |
| Article 8(1), first subparagraph, point (b) | Article 17(1), first subparagraph, point (a) |
| Article 8(1), second subparagraph | Article 17(2) |
| Article 8(2) | Article 18(1) |
| Article 8(3) | Article 18(2) |
| Article 8(3a) | Article 18(3) |
| Article 8(4) | Article 18(4), first subparagraph |
| Article 8(5), first subparagraph | — |
| Article 8(5), second subparagraph | — |
| Article 9(1) | Article 12(1) |
| Article 9(2) | Article 12(1) |
| Article 9(3) | Article 12(1) |
| Article 9(4) | Article 12(2) |
| Article 11(1) | Article 19(1) |
| Article 11(2) | Article 19(2) |
| Article 11(3) | Article 19(4) |
| Article 12(1) | Article 10(1), first subparagraph |
| Article 12(2) | Article 10(1), second subparagraph |
| Article 12(3) | — |
| Article 13(1) | Article 20(1) |
| Article 13(2) | Article 20(2) |
| Article 13(3) | Article 20(3) |
| Article 13(4) | Article 20(4) |
| Article 13(5) | Article 20(8) |
| Article 13(6) | Article 20(9) |
| Article 13(7) | — |
| Article 14(1) | Article 21(1) |
| Article 14(2) | Article 21(2) |
| Article 14(3) | — |
| Article 14(4) | Article 21(5) |
| Article 14(4a) | Article 21(6) |
| Article 14(5) | Article 21(9) |
| Article 14(6) | Article 21(10) |
| Article 14(7) | Article 21(11) |
| Article 14(8) | Article 21(12) |
| Article 15(1) | Article 22(1) |
| Article 15(2) | Article 22(2) |
| Article 15(3) | Article 22(3) |
| Article 15(4) | Article 22(4) |
| Article 15(5) | Article 22(5) |
| Article 15(6) | Article 22(6) |
| Article 15(7) | Article 22(9) |
| Article 16(1) | Article 23(1) |
| Article 16(2) | Article 23(2) |
| Article 16(3) | Article 23(7) |
| Article 17(1) | Article 24(1) |
| Article 17(2) | Article 24(2) |
| Article 18(1) | Article 25(1) |
| Article 18(2) | Article 25(2) |
| Article 18(3), first subparagraph | Article 25(3) |
| Article 18(3), second subparagraph | Article 21(5) |
| Article 18(4) | Article 25(8) |
| Article 19(1) | Article 27(1) |
| Article 19(2) | Article 27(2) |
| Article 19(3) | Article 27(3) |
| Article 19(4) | Article 27(5) |
| Article 20(1) | Article 29(1) |
| Article 20(2) | Article 29(2) |
| Article 20(3) | Article 29(3) |
| Article 21(1) | Article 31(1) |
| Article 21(1a) | Article 34(1) |
| Article 21(1b) | Article 34(2) |
| Article 21(2) | Article 31(2) |
| Article 21(3)(a) | Article 32(1)(a) |
| Article 21(3)(b) | Article 32(1)(b) |
| Article 21(3)(c) | Article 32(1)(c) |
| Article 21(3)(d) | Article 32(1)(d) |
| Article 21(3)(e) | Article 32(1)(e) |
| Article 21(3)(f) | Article 32(1)(f) |
| Article 21(3)(g) | Article 32(1)(g) |
| Article 21(3)(h) | Article 32(1)(h) |
| Article 21(3)(i) | Article 32(1)(i) |
| Article 21(3), second subparagraph | Article 32(1), second subparagraph |
| Article 21(4)(a) | Article 32(1)(l) |
| Article 21(4)(b) | Article 32(1)(m) |
| Article 21(4)(c) | — |
| Article 21(4)(d) | Article 32(1)(n) |
| Article 21(4), second subparagraph | Article 32(1), fourth subparagraph |
| Article 21(5) | Article 31(3) and Article 32(6) |
| Article 22(1) | Article 35(2) |
| Article 22(2), first subparagraph | Article 33(1) |
| Article 22(2), second subparagraph | — |
| Article 22(2), third subparagraph | Article 33(5) |
| Article 22(3) | — |
| Article 22(4) | Article 33(6) and (7) |
| Article 23(1) | Article 37(1) |
| Article 23(2) | Article 37(2) |
| Article 24(1) | Article 45(1) |
| Article 24(2) | Article 45(2) |
| Article 24(2a) | — |
| Article 24(3) | — |
| Article 24a | Article 44 |
| Article 24b | Article 44 |
| Article 24c | Article 44 |
| Article 25(1) | Article 38(1) |
| Article 25(2) | Article 42 |
| Article 26 | Article 40 |
| Article 27 | — |
| Article 28 | Article 46 |
| Article 29 | — |
| Article 30 | — |
| Article 31 | Article 48 |
| Article 31a | — |
| Article 32 | Article 49 |
| Article 33 | — |