Chapter I, Article 2, Point (e) · Regulation (EU) 2017/1129

Contents

(a) ‘securities’ means transferable securities as defined in p…
(b) ‘equity securities’ means shares and other transferable se…
(c) ‘non-equity securities’ means all securities that are not…
(d) ‘offer of securities to the public’ means a communication…
(da) ‘restructuring’ means restructuring as defined in Article…1 change
(db) ‘insolvency proceedings’ means insolvency proceedings as d…1 change
(e) ‘qualified investors’ means persons or entities that are l…
(f) ‘small and medium-sized enterprises’ or ‘SMEs’ means any o…
(g) ‘credit institution’ means a credit institution as defined…
(h) ‘issuer’ means a legal entity which issues or proposes to…
(i) ‘offeror’ means a legal entity or individual which offers…
(j) ‘regulated market’ means a regulated market as defined in…
(k) ‘advertisement’ means a communication with both of the fol…
(l) ‘regulated information’ means regulated information as def…
(m) ‘home Member State’ means:
(n) ‘host Member State’ means the Member State where an offer…
(o) ‘competent authority’ means the authority designated by ea…
(p) ‘collective investment undertaking other than the closed-e…
(q) ‘units of a collective investment undertaking’ means secur…
(r) ‘approval’ means the positive act at the outcome of the sc…1 change
(s) ‘base prospectus’ means a prospectus that complies with Ar…
(t) ‘working days’ means working days of the relevant competen…
(u) ‘multilateral trading facility’ or ‘MTF’ means a multilate…
(v) ‘organised trading facility’ or ‘OTF’ means an organised t…
(w) ‘SME growth market’ means an SME growth market as defined…
(x) ‘third country issuer’ means an issuer established in a th…
(y) ‘offer period’ means the period during which potential inv…
(z) ‘electronic format’ means an electronic format as defined…1 change

(e)‘qualified investors’ means persons or entities that are listed in points (1) to (4) of Section I of Annex II to Directive 2014/65/EU, and persons or entities who are, on request, treated as professional clients in accordance with Section II of that Annex, or recognised as eligible counterparties in accordance with Article 30 of Directive 2014/65/EU unless they have entered into an agreement to be treated as non-professional clients in accordance with the fourth paragraph of Section I of that Annex. For the purposes of applying the first sentence of this point, investment firms and credit institutions shall, upon request from the issuer, communicate the classification of their clients to the issuer subject to compliance with the relevant laws on data protection;