Chapter 1 Issue
Chapter 2 Repost registration
Chapter 3 The rights and obligations of the members of the participants
Chapter 4 Registers ' s orientation and construction
Chapter 5 Procedure for registration
Chapter 6 Registration of complaints
Chapter 7 Entry into force into force
Publication about registration, etc. of fondassets in a securities central
In accordance with section 65 (2), 1 and 2, section 75, paragraph 1. 3, and section 76 (3). 3, in the Act on securities trading, etc., cf. Law Order no. 1077 of 4. September 2007 shall be :
§ 1. The issue of transferable dematerialized securities as fondors shall be recorded in a securities central that inscribe the rights of the fund assets.
Paragraph 2. The individual securities central determines which transferable securities can be recorded for registration as fondors. The rules must ensure equal treatment for all concerned and must be approved by the Financial supervision.
Paragraph 3. A securities central can, after the decision of the Management Board, register the issue of the issue of non-transferable dematerialized securities as fondors and inscribe rights on these.
Paragraph 4. In the event of a call of the already issued securities for registration as fondors, as specified in paragraph 1. 1 and 3 shall be taken into account for rightholders.
Paragraph 5. A securities central can, after the decision of the Management Board and at the request of holders of fondors to record them, when the funds in question have been issued through a different Danish securities central or registered in a landcenary, with the relevant securities centre for the purpose of the securities concerned, cf. § 63, in the Act of securities trading, etc. (securities trading slop).
§ 2. For the purpose of issuing stock assets, the issuer shall issue them either to an account that belongs to the issuer itself, or to an account the first owner of the fund assets.
Paragraph 2. For the issue of fondassets to access the owners of already registered fondors, these on the accounts on which the fondassets that give the right to the new fonts assets are registered.
§ 3. Expiers of foreign stock assets are committed to in a specially secured depot for the benefit of a securities centre to deposit securities in response to the registered fund assets in the security of securities concerned.
Paragraph 2. The deposit of securities deposited may only be released when the principal institution, cf. § 17, paragraph 1. Three, give permission.
Paragraph 3. If the issue is only through a securities central or via a landcenary, with which the dispensary is connected, see. Section 63 of the Securities Tradechait Act shall find paragraph 1. 1 and 2 shall not apply.
§ 4. The assets assets shall be issued in shares with the same nominal amount within the same series, share mass, or similar and can be specified by the number of pieces of the nominal amount. In exceptional cases, the issuer may, in consultation with the relevant securities concerned, provide for derogations from here, including the aggregation of units or other measures in the context of conversion of a technical nature. The nominal amounts of the component shall be determined for each asset identification of the issuer in consultation with the securities central.
Paragraph 2. The enablement must clearly specify the issuer and the additional information necessary to identify the nature of the fund asset, such as the stock-load, series, department, departmental, and spill wounds.
§ 5. Funds assets will remain registered in a securities central as long as the conditions laid down by the issuer meet the requirements of the securities trading slots and this notice, and it is technically compatible with the registration system, unless the issuer the termination or termination of any of the conditions referred to in Chapter 2 shall be terminated.
§ 6. Registration in relation to extract of debt securities or debt securities shall be carried out by the registering securities centre.
Paragraph 2. Extract shall be carried out in units corresponding to the amount of the shares in question in force.
Paragraph 3. For each asset identification, the circular amount shall be divided into equal shares in accordance with the same amount of the shares. paragraph 2. The security of securities concerned identifies the extracted shares on the basis of one from the issuer for each individual actitification to each extract, the extract extraction specification.
§ 7. Cells the registration after request from the asset asset issuer, or the fund assets do not meet the conditions for registration, cf. § 1, the fund assets are deleted from registration.
§ 8. When forced into force, the registering securities central by agreement with the issuer may continue the registration until depositing has been taken in accordance with the rules of the company law.
§ 9. In the case of bankruptcy, winding-up proceedings, merger or splitting, the registering securities central by agreement with the issuer shall continue the registration until the issuing company is finally resolved or reposted.
§ 10. Disposal of an issue may the registering securities central by agreement with the issuer may continue the registration until such time as the issue has been dropped.
§ 11. Where rights under the securities have been recorded in connection with the deletion from registration, customer notices are issued in accordance with section 48.
Paragraph 2. Proceeds rights in accordance with the securities in connection with the deletion, section 12-14 apply, unless the fund assets are transferred to the registration in another security central.
§ 12. The times for termination shall be reported to the registered account holders and other rightholders for the funds concerned and to the account institutions and shall also be notified of the registration of the securities central in Statekeeping at least 4 ; Weeks in advance of the interview. If documents are delivered to replace the registered stock assets, the notification and notice in Statesproviding shall include information on the procedure.
§ 13. No later than 8 weekdays, cf. Article 16, after the termination of registration, the securities concerned shall be sent to the individual institutions ;
1) a list of the accounts of the institution of the institution, which, in their account at the end of the consultations, had recorded the purged stock assets ;
2) bank statements on the deleted stock assets for each of the accounts holders of the Member States concerned, time of termination,
3) a certificate of each account conducted through the Foundation, indicating the amount of the stock assets and the number of the stock assets ; and
4) guidance to the account institute for the procedure for the delivery of the evidence.
Paragraph 2. The under paragraph shall be : 1, no. 3, mentioned evidence is printed out of the securities central.
§ 14. The account institute shall no later than 8 weekdays, cf. Section 16, after receipt of the material, in writing to the following statements, and shall be entitled to obtain proof of the procedure and the removal of the evidence.
§ 15. The issuer of the fund assets may, in accordance with the conditions of the fund, perform the annihilation or exchange of stock assets to which the issuer is the principal of the issuer, whether or not the issuer belongs to the issuer itself or transferred to the issuer ; for the purpose of termination or exchange.
The rights and obligations of the members of the participants
§ 16. Account-leading institutes shall at least be open to the receipt of notifications in a daily expedition period of all days, except Saturdays, Sundays, New Year's Day, as well as other national free and public holidays in the country in which the account institution is situated.
Paragraph 2. The minimum value paper centres must be open for receipt of reports from the principal institutions in a daily expedition period of all days except Saturday, Sundays, New Year's Day, as well as other national free and public holidays.
Paragraph 3. The SEC may, in exceptional cases, exempt the account-leading institutes and securities centres for the obligation to keep open in accordance with paragraph 1. One and two.
Paragraph 4. The time after this notice shall be set in Danish local time.
§ 17. An account institution which has concluded a relationship with a securities centre is to the extent to which provision is made in the endorsements agreement, solely and obliged to carry out records in the securities centre for accounts ; which the institution concerned is registered as the account institute, cf. However, section 19.
Paragraph 2. The principal institution may limit the number of reporting sites in the institution as well as the number of reporting sites of the Foundation as the groups of stock assets, for which it wants to be the principal. No restrictions can be imposed on the nature of the rights to be recorded by the Institute.
Paragraph 3. Fund assets which do not have a connection agreement as an account institute shall conclude an agreement with a principal institution which has a commitment agreement with a securities centre to the effect that this takes place in the place of the issuer as the account institute ; in the case of these funds.
§ 18. Without prejudice to the law or regulations granted under law, the holder of a fund asset may choose which of the undertakings which have concluded the agreement with the securities market that has registered the fund he wants as : account number. One of § 17, paragraph 1. 3, the institution of the institution may not reject a request in accordance with 1. Act.
Paragraph 2. The Account holder may, at any time, require his fund assets to be transferred to another account institution which has concluded the agreement with the securities market that has recorded the funds in question. The rules of notification shall apply by analoging to requests for transfer.
Paragraph 3. Paragraph 2, 1. a point, however, does not apply to fondors for which there are
1) a period of registration has been carried out, cf. section 43, or a provisional registration, cf. § 44,
2) a time limit for the payment of the pawn or meat payment shall be recorded, cf. § 32, or
3) has been registered a complaint after paragraph 53.
§ 19. Any institute covered by Section 62 (3). 1, in the securities commercial slop, and which have concluded the association agreement with a securities centre, can report the approach of the fund assets and, where appropriate, to name accounts for accounts entered in the relevant securities market, even though : The institute is not listed as the account institute in the account.
Paragraph 2. A principal institution shall, after the request of the accounts, provide a different institution covered by Section 62 (3). 1, in the securities trading slop, access to reporting sales and to obtain information about the account. However, such access to the reporting of the sale shall not apply to days in which account haver's account institute is not open for receipt of notifications, cf. section 16 (4). 1.
Paragraph 3. Other reporting than those referred to in paragraph 1. 1 and 2 above can only be done through the account institute.
Paragraph 4. Authorisation pursuant to paragraph 1. 2 has effect from the time when the principal institution has notified the Centre to the securities central area. The authorization shall be revoked after the account holder is withdrawn by the account institution. The revocation shall take effect from the time when the principal institution shall notify the State of the Securities and VRs.
20. In the creation of an account, the account holder must have secured the name and address of the account holder and where this is required, CPR or SE number, cf. however, section 21. Ends funds on an account where the CPR / SE number is not registered, and for whose possession information about CPR /SE number is required, the principal institution shall immediately make up for this. This may be done by presenting an identity card issued by a financial institution or from a public authority resulting from the printed Social or SE number, either in original or in copy, with such confirmation as the account number ; The institute shall find adequate. In addition, the principal institution must have secured the signature of the account holder or to those of this drawing-entitled character.
Paragraph 2. In the case of notification of a right to registration, the institute shall have secured the name and address of the rightholders. This may be done in accordance with paragraph 1. 1 or second after the discretion of the account principal institution.
Paragraph 3. If the account holder or the rightholder is an undertaking and so on which has been entered in a public register, a transcript of its registered drawing rules shall be verified. The principal institution may require further information to the extent that it is deemed necessary.
Paragraph 4. Owners or rightholders who are not domiciled or domiciled in this country and which do not have a CPR or a SE number shall be required as a credential or other after the discretion of the accounting institution ' s discretion.
§ 21. If an account is created through another institution covered by Section 62 of the securities trading slop, the protection of identity after paragraph 20 may be carried out through this. However, the principal institute may require additional information.
§ 22. An account institute shall, at any time, be given to an account of the securities market at all times ;
1) the necessary verification of the identity has been carried out,
2) the necessary proof of the time has been submitted,
3) at which time notification of registration has been received,
4) corrections by section 74 of the securities trading slots ; and
5) the institution ' s decree conditions for restrictions in the number of reporting sites of the Foundation and groups of fonts for which it wishes to be the principal, cf. § 17, paragraph 1. 2.
Paragraph 2. Paragraph 1 shall apply mutatis muctis to a securities centre using the procedure laid down in section 75 (3). Two, in the securities trading slop.
Paragraph 3. Documentation covered by paragraph 1. 1 and 2 shall be kept for at least five years.
-23. In accordance with section 74 of the Securities Trading Act, the Foundation shall, before the correction, be notified before the correction is carried out, in accordance with the register, in accordance with the register, and to give the justifiable opportunity to : pronounce. When the correction has been made, notification shall be issued in accordance with section 68 of the securities trading slop.
§ 24. If an account has not been provided for more than 1 year, the account principal may have the account deleted by the register.
§ 25. The right to obtain information about your own accounts directly in a security of securities and transfer communications sales through the securities centre to the principal institutes or a clearing centre, and to carry out notifications of registration on their own accounts ; directly to a securities trader, the securities traders, institutional investors and other large customers who have concluded a connection agreement on this subject with a security of securities, cf. § 62 (2) Four, in the securities trading slop.
Paragraph 2. The Management Board of a Securities Tradelot shall lay down the rules for the approval of a major customer to the relevant securities market.
SECTION 26. Each of the securities central determines a daily period of every working day, cf. § 16, where reporting for registration can be made. The legal action of the recording shall be taken into account from the final test in the securities centre, cf. § 66, paragraph. 3, in the securities trading slots and section 30 (3). 3 and section 45.
Paragraph 2. The relevant securities central shall determine the approval of the Financial Supply at all times in all days, cf. section 16, where the legal effect shall be recorded for the registration of :
1) Handler that is part of a subsequent net settlement.
2) Handler that is being subtlettled in a gross run.
3) The attribution of interest, profit and other of the issuer of the affected funds is leading to a record of the registration.
Paragraph 3. A securities centre may, in exceptional cases, postpone or cancel one or more of the items referred to in paragraph 1. 2, no. 1, the net dismissates and, therefore, to postpone or cancel the proceedings of the proceedings for the acts concerned. Registrations referred to in paragraph 1. 2, no. 3, and the effect of these may be deferred if, for reasons of time, it is necessary to postpone a net settlement pursuant to 1. Act.
Paragraph 4. The minimum amount of securities shall be determined by the Finance-synet approval at least time unit with which others other than those referred to in paragraph 1. 2, no. The records referred to in 1 and 3 shall be given a legal effect. For registrations that have been finitely tested within the time unit, the first recorded date shall be deemed to have a right prior to the later recorded date.
Approval of persons
§ 27. The registration and inter-related tasks shall be carried out only by approved persons who have undergone the training referred to in section 29. People who, as employed in an account institute, carry out registration tasks, are approved by this. People who, as employees of a securities centre, carry out registration tasks shall be approved by the security of the securities concerned.
Paragraph 2. The approval must be communicated to the completion of the registration process and shall indicate the registration tasks to which the person concerned must carry out.
Paragraph 3. The approval may be withdrawn at any time.
§ 28. A securities centre and an account institute shall, at the request of the Financial supervision or the Danish Agency ' s request, provide information as to who they have approved in section 27. This shall include the information referred to in section 27 (3). 2, mentioned conditions.
Paragraph 2. The data supervision may be available in accordance with Article 91 (1). 4, in the securities trading slots, require approval after paragraph 27 or be withdrawn.
§ 29. Education of the in section 27 (1). The person referred to in paragraph 1 shall be organised in such a way that it is appropriate to provide a satisfactory knowledge of the legal matters for the system of registration and use of the securities centre concerned ; and operation of the system. The training must be organised in such a way as to provide the individual with the necessary knowledge of its function and function-level.
Paragraph 2. It is the responsibility of a principal institution to make sure that the people it approves have followed the training of such a yield that it is justifiable to allow the tasks concerned to be carried out on registration and so on, which shall be subject to them, cf. § 27.
Registers ' s orientation and construction
-$30. A stock-based registries shall be adjusted in such a way as to register an asset ' s asset in an account. An account must at least be specified
1) the principal institution,
2) the asset identification and the enchanting value of the fund assets ;
3) the name and address of the account holder and the CPR or SE number where this is required ; and
4) the one (s) to whom the securities centre can pay with a freeing effect.
Paragraph 2. If the account gardens are not the owner of the registered fondue assets, or if the account is run on behalf of multiple owners, the account must specify this.
Paragraph 3. The time of the legal effect of the registration of the records referred to in paragraph 1. The information referred to in the relevant securities centre registers shall be indicated in the said information.
§ 31. For the registration of arrangements for pant and on recording equipment and arrest records, details of the date of entry, the nature of the panel, the pawned assets, the name and address of the panel, and the name and address of the panel, and the person (s), or those to whom, the transferable securities may be paid with a free-making effect, as well as for shares and investment unionizing shares, if the notifier desires it. Information on the size and priority position of the pan-secured amount and its priority cannot be recorded.
Paragraph 2. For the registration of other limited rights other than those referred to in paragraph 1. Paragraph 1 shall record the nature of the rights, indicating the assets covered by the rights, the time of entry and the name and address of the legal proceedings and the person or persons concerned to whom the relevant securities can be charged ; the effect of a free-making effect, as well as for shares and investment unionists, if the notifier desires it. The same is true for registering on-call time and bankruptcy, as well as the registration of conditional rights.
Paragraph 3. Paragracs 1 and 2 shall not apply in the case of the registration of a pan-post in accordance with section 55 (5). 4 and 5, in the securities trading slots and payment terms in accordance with section 72 (3). 1, in the securities trading slop, cf. § 32.
§ 32. The individual securities central shall lay down the procedure for registering the pawdown after Article 55 (5). 4 and 5, in the securities trading slots and the subject of payment in accordance with section 72 (2) ; 1, in the securities trading slop. The time limits within which each of the rights in question must be applied shall be determined by the Financial supervision of each clearing centre.
Procedure for registration
§ 33. Registration request is addressed to the account institute. If the notifier is requested by the notifier, the principal institution shall confirm at which point the notification has been received.
Paragraph 2. The principal institution shall ensure that the registration of rights over stock assets shall ensure that the notified right is obtained from the right and that the necessary information as the basis for registration is available, either by : require the presentation of the identity documents referred to in section 20, or in any other reassuring manner.
§ 34. Notification of the registration of the rights of the fund assets shall at least indicate :
1) the name and address of the rightholders and the CPR or SE number where this is required,
2) the stock assets to which the notification is concerned,
3) the principal institution,
4) the nature of the rights and
5) the person or persons to whom the relevant securities centre can pay with a free-making effect.
$35. A private diocese is to be able to register, to determine, to establish, to alter or to repeal a right of specified fondors and hadrear from the one on which the register is entitled.
§ 36. If an account holder wishes to note the name of the issuer ' s name in the name of the issuer, the securities centre in which the assets are registered, account hapel to the account institute shall notify the issuer of the issuance of the accounts ; where the name and address of the holder of the issuer ' s books, the date on which the account is concerned, the name and address of the holder of the issuer, the date on which it is concerned, and any other information necessary. Where required by the law or to the statutes that a stock or investment union share is to be recorded, the application for name and order shall also be made by the issuer or by law of the law or the statutes, There. However, for shares covered by the company law, the application for namelodation shall be made solely by the accounts of the accounts. A notified request for name otation must appear in the account. If the requesting name is requested, it must be confirmed in writing that the application for name and registration is registered on the account and the date on which it is to be registered.
Paragraph 2. Where stock or investment union shares are listed on the name of the issuer, the relevant securities central account at the request of the accounts to the principal institution shall notify the issuer of the deletion of the naming for such a person ; as regards the disposable stock.
Paragraph 3. The detailed rules for notifications to and from the naming convention shall be determined by the agreement between the issuer and the securities central base agreement.
Specific rules on notification of public law documents and so on
§ 37. In the event of registration of the proposal, the judgment or other official act of official action, a declaration by the authority responsible for the action or one of the authenticated printout of its books shall be submitted.
§ 38. Registration of incompetent, guardianship and concordance shall be based on the judgment.
Paragraph 2. Registration of public change and bankruptcy shall be made on the basis of a statement from the probate or executor grant.
§ 39. In the case of private toggle, and in the case of a spouse, the change is recorded in the owner relationship on the basis of alternised transcript or declaration from the probate.
Exertion in the account institute
§ 40. Before reporting to a securities central, the account institute shall be tested by the notified rights, including the notification meeting the requirements of section 34-35.
§ 41. The request for registration shall be rejected by the institution to which the notification has been submitted, if :
1) the notification relates to an asset which has not been registered or cannot be registered in the relevant securities centre ;
2) it is not the account institute for the account that the notification relates to,
3) the notifier after its contents cannot be registered,
4) the request does not contain the information required by section 34, or
5) the notifier has already been registered.
Paragraph 2. The institution itself shall inform the applicant even if the refusal and the cause thereof and the entry into the securities trading castle section 77, as well as information on access to the complaint. Section 22 (2). 3, shall apply mutatis mutis.
§ 42. Includes registration after paragraph 31 only part of the fund assets that are registered in an account, this is recorded in the account. The stock assets in question may be separated from a new account.
§ 43. In the case of the principal institution, the necessary documentation shall be provided, cf. 20, section 33, paragraph. 2, or section 37-39, or, if the information required by paragraph 34, no. In the absence of 1 or 5, the principal institution may give the notifier a period of up to 14 days to obtain the necessary documentation or information necessary. The notification shall be recorded in a securities central with an indication of the provisional nature of the registration and the length of the period. The principal institution may, after the notifier ' s request, extend the deadline for a period of 14 days.
Paragraph 2. If the relationship does not end before the deadline expires, the registration will be deleted.
§ 44. If the account institution is in doubt as to the actual or legal aspects of registration, see it in accordance with the provisions of the Member ' s accounts. Section 67 of the Securities Trap Act, the institute shall carry out the reporting of a provisional registration of the notified body.
Paragraph 2. The principal institution shall inform the securities centre of the provisional registration.
Paragraph 3. A securities centre may be used to determine the registration in accordance with paragraph 1. 1 from the account principal shall obtain the necessary information. The Securities Centre must promote the decision as much as possible.
Testing and registering in the securities centre
§ 45. Registration of an account in a securities central will be carried out when reporting and final examination of the relevant securities key has been completed.
§ 46. § 41, paragraph. 2, shall apply mutatis muth; if a declaration is refused after reporting to a securities central.
§ 47. In the past, rights of the fund asset to which the notified right relates shall be registered with regard to the latter ' s registration.
§ 48. Any change to the right of a fund asset, by any change, by means of extraction and termination of rights as well as through the modification of the account institute, shall be notified in accordance with section 68 of the securities trading slop. The notification must specify the registration security central, the account principal, the content of the registration, the time of the hearing and whether other rights have been recorded over the fund.
Paragraph 2. However, if a security of securities has been laid down thereto, the following section 68 of the securities trading slots is not sent when :
1) that is automatically pant, cf. § 32 and § 55 (4)) 4 and 5 of the securities trading slots ;
2) the rightholder has been wholly or partially opselected for change or withdrawal and the waiver is registered on the individual account,
3) the rightholder is wholly or partially opted for deletion, and the option is registered on the individual account,
4) the security of the securities concerned, at the request of the principal institution, has decided that notification of changes to the data subject shall not be issued when, in the other way, the provision of information is in the other way before the rightholder or ;
5) the content of the communication in the second connection has already been granted rights holder, or for other reasons, it is estimated that the contents of the message are obviously significant.
Paragraph 3. Attention, compound. 1 shall be submitted as soon as possible and within two openings within two hours, cf. section 16 after registration has occurred. However, if a securities market has laid down rules on this subject, they may choose instead to receive messages periodically.
Paragraph 4. Notification of termination pursuant to paragraph 1. 2, no. 3, which are a result of bankruptcy, winding-up proceedings, merger, division or similar events at the time of investment unforeseen, cannot be deselected.
Paragraph 5. A securities center rules for the submission of customer communications after section 68 of the securities trading slop is approved by the Financial supervision.
§ 49. Accoronas a recording in accordance with section 11 (4). 1, the message, cf. Section 48 contains information on the background to the termination and the possible payment of amounts in the form of dividend or repayment of paid amounts and similar or wholly or partial remuneration for the devour issuer issued by the sequencing issuer or equivalent.
$50. The account holder shall have at least once an annual transcript of the account. Unless otherwise agreed with the account holder, the statement shall be issued in January and indicate it on the account as of the accounts. 31. In December the previous year recorded.
Paragraph 2. Paragraph 1 shall apply mutatis muchases to registered holders of limited rights of fondors.
§ 51. A statement must contain information on the date of discharge and what is recorded on that date on that date,
1) the nature and the impending value of the fonts,
2) on-call limitations and limited rights ;
3) the name and address of the accounting institution, and the name and address of the account.
4) permits in accordance with section 19 (1). 2,
5) the payment of interest, yield and capital ; and
6) Naming and naming.
§ 52. It must be laid down in the association agreement whether the printing of customer notices in accordance with section 48 and of the bank records shall be carried out by the account-principal institute or by the securities central bank.
Paragraph 2. When the principal institution writes a customer notice, it shall place it from the relevant securities centre in this case received information for reasons. However, the principal institute may add additional information for the use of the recipient.
Registration of complaints
§ 53. Where the Board of Appeal Board for the Board of Appeals is filed a complaint, the Board of Appeal may, on request or by its own operation, allow the complaint to record on the accounts or the accounts to which the complaint relates if such registration is particularly required.
Paragraph 2. Registration shall indicate the name and address of the complainant, the date of the receipt and the fact that the complaint is the subject of the complaint.
Entry into force into force
§ 54. The announcement will enter into force on the 9th. January 2008.
Paragraph 2. At the same time, notice No 1168 of 1. In December 2004, on registration, etc. of fondors in a securities central.