Request of Prospectus directive competent authority and registers

European Securities and Markets Authority did not have the information requested.

Dear European Securities and Markets Authority,

Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I am requesting documents which contain the following information:
Under the prospectus directive competent authorities(as quoted below) are required to maintain a register of natural persons who are considered qualified investors
The information I am requesting is
Any copy you have of registration data from a competent national authority.
Details on who are the competent authorities for member states?
What EU legislation if any governs the process of obtaining this register?
What polices of the competent authority apply?

For the purposes of paragraphs 1(e)(iv) and (v) the
following shall apply:
mechanisms are in place for a register of natural persons and
SMEs considered as qualified investors, taking into account the
need to ensure an adequate level of data protection. The
register shall be available to all issuers. Each natural person or
SME wishing to be considered as a qualified investor shall
register and each registered investor may decide to opt out at
any moment."

Yours faithfully,
Kraig Higgs

Info ESMA, European Securities and Markets Authority

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Info ESMA, European Securities and Markets Authority

Dear Kraig Higgs

Thank you for your application for access to documents under Regulation (EC) No 1049/2001 which was received on 29 October 2017. ESMA is in the process of handling your application and we will revert to you in due course.

Kind regards

show quoted sections

Info ESMA, European Securities and Markets Authority

1 Attachment

Dear Kraig Higgs,


We would like to refer to the application for access to documents under
Regulation (EC) No 1049/2001 you filed on 29 October 2017.


We are writing to inform you that ESMA, on the basis of internal research
conducted further to your request, does not dispose of any copies of
registers of natural persons and SMEs that are considered qualified
investors held by National Competent Authorities as per Article 2(3) of 
Directive 2003/71/EC (the 2003 Prospectus Directive).


In this respect please also note that the legal provision referred to in
your request, addressed to National Competent Authorities, was deleted by
Article 1(2)(b) of Directive 2010/73/EU (the revised Prospectus


Finally, we attach for your information the list of National Competent
Authorities which might be able to retrieve the national register of
natural persons in existence between 2005 and 2012. Therefore you might
consider to address your request to the relevant National Competent


Kind regards,




Dear Info ESMA,

Thank you for the information.

Yours sincerely,

kraig higgs