Conflicts - ESN | European Securities Network

Сomentários

Transcrição

Conflicts - ESN | European Securities Network
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
Shares of companies part of the Member Group
BANCA POP. DI MILANO
Banca Akros
Operation
Date
ESN Member Role Conflict Details
A director or a board person of the Member and/or its Group is an officer, director, board or supervisory board member of the Company
BEST UNION COMPANY
Banca Akros
CLASS EDITORI SPA
Banca Akros
EDP
Caixa Banco De Investimento
EDP RENOVAVEIS
Caixa Banco De Investimento
IMMSI
Banca Akros
PIAGGIO
Banca Akros
REN
Caixa Banco De Investimento
SORIN (now LIVANOVA PLC)
Banca Akros
Shares where the Member and/or its Group holds more than (A) (*)
ALTRI
ANIMA HOLDING
BCP
BPI
CHEMINEES POUJOULAT
CORTICEIRA AMORIM
CTT
EDP
EDP RENOVAVEIS
FIERA DI MILANO
GABETTI PROPERTY SOLUTION
JERONIMO MARTINS
LANSON-BCC
LUZ SAUDE
MOTA ENGIL
NOS
NOVABASE
NRJ GROUP
PHAROL
PRELIOS
PREMUDA
REN
RISANAMENTO
SEMAPA
SONAE
SONAE CAPITAL
THE NAVIGATOR
VEOLIA ENVIRONNEMENT
Caixa Banco De Investimento
Banca Akros
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
May-15
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Banca Akros
Banca Akros
Caixa Banco De Investimento
CM-CIC Market Solutions
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
Caixa Banco De Investimento
Banca Akros
Banca Akros
Caixa Banco De Investimento
Banca Akros
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
Shares where the Member is “Specialist” (Liquidity Provider or Market-maker with research obligation) (**)
2G Energy
4SC AG
AB BIOTICS
ACOTEL
AMPLIFON
AUTOSTRADE TO-MI
AXELERO
Aareal Bank AG
Ad pepper media GmbH
Adidas AG
Adler Modemärkte
Aixtron SE
Allianz AG
Axel Springer SE
BANZAI
BASF SE
BB Biotech AG
BIOORGANIC RESEARCH SER
BMW AG
BayWa AG
Bayer AG
Beiersdorf AG
Bilfinger Berger SE
Biotest AG
CARBURES
CTS Eventim
Cenit AG
Comdirect bank AG
Commerzbank AG
Continental AG
CytoTools
DMG MORI SEIKI AG
Daimler AG
Daldrup & Söhne AG
Deutsche Bank AG
Deutsche Börse AG
Deutsche EuroShop AG
Deutsche Forfait AG
Deutsche Post AG
Deutsche Telekom AG
Deutz AG
Drillisch AG
Drägerwerk AG
E.ON AG
ENERVIT SPA
EXPRIVIA
Elmos Semiconductor AG
ElringKlinger AG
Elumeo SE
Euromicron AG
Evonik AG
FALCK REWENABLES
Ferratum
Fielmann AG
Fraport AG
Freenet AG
Fresenius Medical Care
equinet Bank
equinet Bank
GVC Gaesco Beka
Banca Akros
Banca Akros
Banca Akros
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Page 1 of 11
31/3/2014-10/4/2014
The CM-CIC Group holds a minority stake
The CM-CIC Group holds a minority stake
The CM-CIC group owns more than 95% of NRJ Mobile
Dal 21/12/2010
Dal 4/2/2011 - conclusa op. AU
The CM-CIC Group holds a minority stake
Jul-10
MERCATO TAH
Jan-12
Mar-12
INIZIO ATTIVITA' SPECIALIST IL 30/09/2013
Inizio attività dal 16/1/2013
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
Fresenius SE
Fuchs Petrolub AG
GASPLUS
GEA Group AG
GFT Technologies AG
GRIÑO ECOLOGIC S.A.
Gerresheimer AG
Gerry Weber International AG
Gesco AG
Gigaset AG
Grand City Properties
Grenkeleasing AG
HHLA AG
Hannover Re AG
Heidelberger Druckmaschinen AG
Henkel AG
Hochtief AG
Hugo Boss AG
I GRANDI VIAGGI
Jenoptik AG
K + S AG
KTG Agrar AG
KUKA AG
Kontron AG
Krones AG
LANXESS GmbH
Leoni AG
Linde AG
Logwin AG
Lufthansa AG
MAX Automation AG
MLP AG
MTU
Manz AG
Merck KGaA
Münchener Rückversicherung AG
NOTORIUS PICTURES
Nanogate AG
Nemetschek AG
OHB SE
OVB Holding AG
Osram Licht AG
PSI AG
Patrizia AG
Pfeiffer Vacuum
Puma AG
RIB Software AG
RWE AG
Rheinmetall AG
Rhön-Klinikum AG
SAF-Holland
SIAS
SLM Solutions Group AG
SMT Scharf AG
STO SE & Co. KGaA
SYZYGY AG
Seven-Principles AG
Siegfried Holding
Software AG
Surteco
Symrise AG
Süss Microtec AG
TUI AG
Talanx Group
Technotrans AG
United Internet AG
VBH Holding AG
VIB Vermögen
VITA
Viscom AG
Volkswagen AG
Vossloh AG
Wilex AG
Wincor Nixdorf AG
Zumtobel Group AG
epigenomics AG
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Shares where the Member is “Liquidity Provider” or "Market-maker" (**)
2G Energy AG
4 SC AG
58.COM ADR CL.A2/DL-00001
A.A.A.AG ALLG.ANL.VERW
AARON'S INC. A DL -,50
ACCELL GROUP
ACCENTRO R.EST.AG O.N.
ACCYS TECHNOLOGIES
ACTIVA RESOURCES AG
ACTIVE GROUP HLDGS HD-,10
ACTUANT A
DL-,20
ADL PARTNER
ADVA OPT.NETW.SE O.N.
ADVANTAGE OIL + GAS LTD
AETERNA ZENTARIS INC.
AFFINITY EDUCATION GROUP
AGENNIX AG I.A.
AGRARIUS AG INH. O.N.
AGRIUM INC.
AGROTON PUBLIC LTD GDR 1
AKKA TECHNOLOGIES
ALACER GOLD CORP.
ALACER GOLD CORP. CDIS 1
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
Page 2 of 11
Operation
Date
ESN Member Role Conflict Details
dal 6/5/2010
Mar-16
MERCATO TAH
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
ALARM.COM HOLDINGS INC.
ALBA SE
ALCATEL-LUCENT 13-18 CV
ALCATEL-LUCENT 14-20 CV
ALCATEL-LUCENT14-19 ZO CV
ALEXANDER + BALDWIN
ALLIANCE RESOURCES LTD.
ALLREAL HLDGS NAM SF 50
ALON USA PARTNERS UTS
ALPHA BANK STOCK FUTURE
ALPHA BANK STOCK OPTION
ALSTRIA OFFICE REIT-AG
ALTAGAS LTD
ALTRI
AM.AXLE + MFG HLDGS DL-01
AMAYA INC.
AMBARELLA INC. DL -,00045
AMEDISYS INC. DL-,001
AMER. SOFTWARE A DL-,10
AMERCO
DL-,25
AMERICAS SILVER
AMERIGO RESOURCES LTD
AMSTERDAM COMMODITIES
ANACONDA MNG CORP.
ANGLO AMER.ADR NEW 1/2
ANHEUSER-BUSCH INBEV ADR
ARC LOG.PART.UTS R.L.P.I.
ARCANDOR AG O.N.
ARTISAN PART.AS.M.A DL-01
ASPEN TECH. INC. DL-,10
ASSYSTEM 11-17 CV
ASSYSTEM 14-UND.FLRCV
AT+S AUSTR.T.+SYSTEMT.
ATOSS SOFTWARE AG
AUDI AG O.N.
AURIZON HLDGS LTD
AXA S.A. 00-17 CV
AZURE MIDSTR.P. UTS DL-01
Ad Pepper media
Aixtron SE
BACHEM HLDG NA B SF 0,05
BAINS MER MONACO EO 1
BATENBURG BEHEER
BAYER AG NA
BB BIOTECH NAM. SF 1
BBS KRAFTFAHR.TEC.VZO O.N
BEIJING DEV. HK
BENDIGO + ADELAIDE BK LTD
BENITEC BIOPHARMA LTD.
BERTRANDT AG O.N.
BEST BUY CO.
DL-,10
BET-AT-HOME.COM AG O.N.
BFCM
BHS TABLETOP AG O.N.
BIOCRYST PHARMAC. DL-,01
BIOLASE INC. DL -,001
BITAUTO HDGS LTD SP.ADR 1
BLUE BUFFALO PET.P.DL-,01
BLUE NILE INC. DL-,001
BLUEBIRD BIO INC. DL-,01
BOISE CASCADE CO. DL -,01
BREVILLE GROUP LTD
BRIGHT HOR.FAM.SO.DL-,001
BRINKS CO.
DL 1
BRP INC. SUBORD.VOT. O.N.
BRUEDER MANNESM.AG O.N.
BRUNEL INTL NV EO -,03
Biotest AG
Biotest AG Vorzugsaktien
Brenntag AG
C.H. ROB. WORLDWIDE NEW
CALEDONIA MNG
CALIDA HLDG NA SF 2,10
CANAD.ENERG.SERV.+TECHN.
CANADA CARBON INC.
CANADIAN ZINC CORP.
CANFOR CORP.
CANICKEL MINING
CAP GEMINI 13-19 ZO CV
CAPELLI
CARA OPERATIONS SUB.VOT.
CASCADES INC.
CATALIS SE
EO 1
CDV SOFTWARE ENT.
CELLNOVO
CEOTRONICS AG O.N.
CEYONIQ AG
CGG SA 12-19 CV
CGG SA 15-20 CV
CHANNELADVISOR DL-,001
CHC GROUP LTD
CHOICE HOTELS INT. DL-,01
CLAUDE RES INC.
CLEARFIELD INC. DL-01
CLEARWATER PAPER DL-,0001
CLOUD PEAK ENERGY DL-,01
COCA COLA HBC STOCK FUTURE
COFIDUR
COFINA
COGNIZANT TECH. SOL.A
COLON.REAL ESTATE AG
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
Investment Bank of Greece
equinet Bank
equinet Bank
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
CM-CIC Market Solutions
Caixa Banco De Investimento
equinet Bank
equinet Bank
Page 3 of 11
Operation
Date
Sep-16
Sep-16
Jul-15
Sep-16
ESN Member Role Conflict Details
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
COMPUGROUP MED.AG O.N.
CONTIN.BLDG PRODS DL-,001
CONTINENTAL AG O.N.
CORINTH PIPEWORKS S.A. STOCK FUTURE
COSTAR GROUP INC. DL-,01
COTT CORP.
COVER-MORE GROUP LTD
CPI PROPERTY GRP EO-,10
CREDIT AGRI. 13/16 ZO CV
CREDIT SUISSE GP AG ADR 1
CROSSJECT
CTAC
CVR REFINING LP UTS
CYPRESS ENERGY PART.UTS
CYTEC INDS INC. DL-,01
CYTOTOOLS
O.N.
Cenit AG
CytoTools AG
DACIAN GOLD LTD
DALDRUP+SOEHNE AG
DATA MODUL AG O.N.
DAVIDSTEA INC.
DBV TECHNOLOGIES EO -,10
DELFINGEN
DENISON MINES CORP.
DEUTSCHE EUROSHOP AG O.N.
DEUTSCHE WOHNEN AG INH
DF Deutsche Forfait AG
DH CORP.
DIAMOND OFFSHORE DRILLING
DIC ASSET AG NA
DIRECT ENERGIE
DNI METALS INC.
DOM SECURITY
DOMINION DIAMOND CORP.
DOMINOS PIZZA ENTERPR.LTD
DOMTAR CORP. NEW DL-,01
DPA GROEP
DRDGOLD LTD
DRDGOLD LTD. RC 1 ADR/10
DRILLISCH AG O.N.
DT.REAL ESTATE AG O.N.
DUTY FREE SHOPS STOCK FUTURE
DXP ENTERPRISES DL-,01
Daldrup & Söhne AG
EASTMAIN RES INC.
ECHELON CORP. DL-,01
ECHO GLOBAL LOG. DL-,0001
ECHOSTAR CORP. A DL -,001
ECOSLOPS
EDEL AG O.N.
EDGE THERAPEUTICS INC
EDGEWELL PERS.CARE DL-,01
EFG EUROBANK ERGASIAS STOCK FUTURE
EISEN- U.HUETTENWERKE
ELEC + ELTEK INTL SD-,80
ELIS S.A.
EO 10
ELLAKTOR S.A. (ex ELLINIKI TECNODOMIKI TEB) STOCK FUTURE
ELRINGKLINGER AG NA O.N.
ENSIGN ENERGY SERVICES
ENSYNC INC.
EPLUS INC.
DL-,01
ESI GROUP
ESSENDANT INC. DL-10
EUROESPES
EUROKAI KGAA VZO
EUROMICRON AG NA O.N.
EURONA WIRELESS TELECOM
EURONEXT N.V. WI EO 1,60
EUROPCAR GROUPE SA A EO 1
EVERTEC INC.
EVOLENT HEALTH A DL-,01
EVOLIS
EXPRESS INC.
DL-,01
EXTERRAN PARTNERS LP UTS
EYEMAXX R.EST.AG
FABASOFT AG
FACEPHI BIOMETRIA
FAR LTD.
FAURECIA 12-18 CV
FCC
FEDERATION CENTRES LTD.
FIPP
FISSION URANIUM CORP.
FLAMEL TECHS ADR/1EO-,122
FLEURY MICHON
FLEXIGROUP LTD
FLOW TRADERS N.V. EO -,10
FONCIERE ATLAND
FONCIERE DE PARIS
FONCIERE REG 11-17 CV
FONCIERE REG 13-19 CV
FOREST CITY ENT A DL-,333
FORIS AG
FORTEC ELEKTRO. O.N.
FORW.PHARMA A/S SP.ADR 1
FREENET AG NA
FRESH MARKET INC. DL-,01
FRIGOGLASS S.A. STOCK FUTURE
FROEHLICH BAU AG VZO I.A.
FTSE/ASE LARGE CAP
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
CM-CIC Market Solutions
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
Investment Bank of Greece
Page 4 of 11
Operation
Date
Sep-16
Dec-12
Jun-12
Sep-16
Sep-16
Sep-16
Apr-15
Aug-16
Jun-15
Jul-13
Nov-11
Sep-16
Sep-16
ESN Member Role Conflict Details
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
FUNKWERK O.N.
FinTech Group AG
First Sensor AG
Freenet AG
GAGFAH S.A. NOM. EO 1,25
GALP ENERGIA
GALP ENERGIA
GALWAY GOLD
GAZTRANSP.TECHNIG.EO-,01
GEA GROUP AG
GEK STOCK FUTURE
GENESIS ENERGY
GENFIT
GENOCEA BIOSCIENC.DL-,001
GENOMIC VISION
GENWORTH MORTG.INS.AUSTR.
GEOPARK LTD. DL -,001
GERMAN BROKERS AG O.N.
GFT Technologies SE
GL EVENTS
GLOBAL BL.THERAP. DL-,01
GLOBALSTAR INC. DL -,0001
GOLD RESERVE INC. A
GOLDEN GOLIATH RES.
GOLDEN REIGN RES.
GREENLAND HK HLDGS HD-,50
GRIFOLS SP.ADR B EO-,10 1
GRIVALIA PROPERTIES (ex EUROBANK PROPERTIES REAL ESTATE INVESTMENT COMPANY) STOCK FUTURE
GROUPE BOURBON
GROUPE OPEN
GROUPE SFPI
GULF ISLAND FABRICATION
GUOLIAN SECS CO.LTD H YC1
GWB IMMOBILIEN INH. O.N.
Gesco AG
Gigaset AG
Greiffenberger AG
H+R AG INH. O.N.
HAMPTON R.BAN.NEW DL-,625
HANN.ARM.SUS.INF.CA.DL-01
HARSCO CORP. DL 1,25
HAWESKO HOLDING AG SVG
HECLA MNG
DL-,25
HELLENIC EXCHANGES STOCK FUTURE
HELLENIC PETROLEUM STOCK FUTURE
HELLENIC TELECOM.ORGANISATION STOCK FUTURE
HELLENIC TELECOM.ORGANISATION STOCK OPTION
HF COMPANY
HIGHLDS PACIFIC KI-,40
HISPANIA ACTIVOS INMOBILIARIOS
HOLLAND COLOURS
HORIZON NORTH LOGISTICS
HORNBACH HOLD.ST O.N.
HYDROGENICS CORP.
HYFLUX LTD
Hapag Lloyd AG
I:FAO AG
IAMGOLD CORP.
IBERSOL
ICADE 10-17
ICT AUTOMATISERING
IDENTIVE INC. DL-,001
IFA HOTEL U.TOURISTI.O.N.
IMMOFINANZ 11/18 CV
INDRA
ING GP NV SP.ADR/1 EO-,24
INGENICO GRP 15/22 ZO CV
INTER PARFUMS INC. DL-001
INTERCEPT PHARMAC.DL-,001
INTERPARFUMS S.A.INH.EO 3
INTERTAPE POLYMER GRP
INTICA SYSTEMS AG
INTRALOT STOCK FUTURE
INVISION AG
IVANHOE MINES A
IVU Traffic Technologies AG
Isra Vision Systems AG
JARDEN CORP.
JUBII EUROPE N.V.B EO-,01
JUMBO S.A. STOCK FUTURE
KAP-BETEILIGUNGS-AG O.N.
KAR AUCTION SERVICES INC.
KELT EXPLORATION LTD
KENDRION
KENNADY DIAMONDS INC.
KEYRUS
KHD HUMB.WEDAG IND. NA
KINGSW.FIN.SRVCS INC. NEW
KOENIG + BAUER AG ST O.N.
KOMAX HLDG NA SF 0,10
KONINKLIJKE BRILL
KOSMOS ENERGY LTD
KTG AGRAR SE
KTG Agrar AG
LADDER CAP.CORP.A DL-,001
LEGEND HLDGS CORP. H YC 1
LEONI AG NA O.N.
LIFE HEALTHCARE GR.HLDGS
LIONS GATE ENTERT.
LLEIDANETWORKS SERVEIS TELEMATICS
LUDW.BECK A.RATHAUSECK
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
CM-CIC Market Solutions
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
CM-CIC Market Solutions
CM-CIC Market Solutions
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
Investment Bank of Greece
Investment Bank of Greece
Investment Bank of Greece
CM-CIC Market Solutions
equinet Bank
GVC Gaesco Beka
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
Page 5 of 11
Operation
Date
Sep-16
Sep-07
Sep-16
Jan-16
Sep-16
Sep-16
Sep-16
Sep-16
Jul-15
Jul-14
Sep-16
Sep-16
Sep-15
ESN Member Role Conflict Details
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
LUMOS NETWORKS DL-,01
LYNAS CORP. LTD
LYONDELLBAS.IND.A EO -,04
Logwin AG
M.A.X. Automation AG
M2 GROUP LTD.
MAANSHAN IRON STEEL H YC1
MAG SILVER CORP.
MAGIC SOFTWARE ENT.IS-,01
MAISONS FRANCE
MALABAR COAL
MALIBU BOATS INC.A DL-,01
MARIN SOFTWARE DL -,001
MARKETO INC. DL-,0001
MATRIX SERV. CO. DL-,01
MATTHEWS INTL CORP.A DL 1
MAUREL ET PROM 15-21 CV
MAUSER WALDECK AG I.L.
MCALEESE LTD.
MEADOW BAY GOLD CORP.
MEDNAX INC.
DL-,01
MEDX HEALTH CORP.
MEMSCAP
MERCAL INMUEBLES SOCIMI
MERIDIAN ENERGY
METABOLIC EXPLORER
METALDYNE PERF.GR.DL-,001
METKA STOCK FUTURE
METRO AG ST O.N.
METRO AG VZO O.N.
MICHELIN 07/17 ZO CV
MIDDLEBY INC. DL-,01
MISARTE 10/16 CV
MITEL NETWORKS CORP.
MIX TELEMATICS SP.ADR 25
MLP AG
MOLSON COORS B DL 0,01
MOMENTA PHARMAC. DL-,0001
MONTANA EXPLORATION CORP.
MOTOR OIL STOCK FUTURE
MS INDUSTRIE AG
MSG LIFE AG O.N.
MTU Aero Engines Hold
MUELLER-DIE LILA LOGISTIK
MVISE AG O.N.
MYTILINEOS HOLDINGS STOCK FUTURE
Muehlhan AG
NANOFOCUS O.N.
NATIONAL BANK OF GREECE STOCK FUTURE
NATIONAL BANK OF GREECE STOCK OPTION
NATL OILWELL VARCO DL-,01
NAVIGATOR HLDGS PLC
NAVITAS LTD
NBI BEARINGS EUROPE
NEDAP
NEOPHOTONICS CORP. DL-,01
NEOPOST 15-UND. CV FLR
NESTLE NAM. ADR/1 SF 1
NEURON BIO
NEURONES
NEW HOME CO. INC. DL -,01
NEWAYS ELECTRONICS INTERNATIONAL
NEWPARK RES
DL-,01
NEXITY 14-20 CV
NIKO RESOURCES LTD.
NORD ANGLIA EDUCAT.DL-,01
NORTH ATLANTIC DRILL.DL 5
NORTHERN DYNASTY MINLS
NORTHLAND POWER INC.
NORTHWESTERN NEW DL-,01
NOS
NOVAGOLD RES
NOVISOURCE
NTT Com Security AG
NUCOR CORP.
DL-,40
NUERNBERGER BET.AG VNA
NYRSTAR
Nanogate AG
Nanogate AG
Norma Group AG
Norma Group AG
OBSIDO SOCIMI
OCEANEERG INTL INC.DL-,25
OCH-ZIFF CAPITAL MAN.CL A
OCI RESOURCES LP UTS
OHB SE O.N.
OL GROUPE
10-15
OLL.BARG.OUTL.HLD.DL-,001
ONTEX GROUP NV EO -,01
ONXEO
OPAP STOCK FUTURE
OPAP STOCK OPTION
OPENLIMIT HLDG INH. SF-30
ORBOTECH LTD IS -,0014
ORPEA 13-20 CV
OSISKO GOLD ROYALT.
OSRAM Licht AG
OSRAM Licht AG
OTTER TAIL
DL 5
OVB Holding AG
OVB Holding AG
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
GVC Gaesco Beka
equinet Bank
CM-CIC Market Solutions
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
Investment Bank of Greece
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
CM-CIC Market Solutions
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
Investment Bank of Greece
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Page 6 of 11
Operation
Date
Aug-16
Sep-16
Sep-16
Sep-16
Sep-16
Sep-16
Apr-15
Aug-16
Aug-16
Sep-16
Sep-16
ESN Member Role Conflict Details
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
PAION O.N
PALADIN ENERGY LTD.
PANERA BREAD CO. DL-,0001
PANKL RACING SYS
PANORAMIC RES LTD
PARAMOUNT RES LTD CLASS A
PARK ELEKTROCHEM. DL-,10
PARK U.BELLHEIMER AG O.N.
PASSAT
PATRIZIA IMMOBILIEN NA ON
PATTERS.-UTI
DL-,01
PBF ENERGY INC. CL.A
PENGROWTH ENERGY
PENN WEST PETROLEUM
PENNEY -JC- CO. DL-,50
PETMED EXPRES.INC DL-,001
PFERDEWETTEN.DE AG
PHARMAGEST INTERACTIVE
PHILLIPS 66 PRT. LP UTS
PIERRE+VACANCES 14-19 CV
PINE CLIFF ENERGY
PIRAEUS BANK STOCK FUTURE
PIRAEUS BANK STOCK OPTION
PIRAEUS PORT AUTHORITY S.A. STOCK FUTURE
PLAINS ALL AMER. P. DL-,1
PLANET PAYMENT DL-,01
PLAZZA AG NAM. A SF-,50
POLARIS INDS INC. DL-,01
POOL CORP.
DL-,001
PORSCHE AUTOM.HLDG VZO
POWELL IND. INC. DL -,01
PRAIRIESKY ROYALTY LTD
PRINC.PR.EQ.HLDGS EO-,001
PROGRESS-WERK OBERK. O.N.
PROVIDENCE SRVC DL-,001
PSI AG
PTC THERAPEUTICS DL-,001
PUBLIC POWER CORP. STOCK OPTION
PUBLIC POWER CORP.STOCK FUTURE
PUMA SE
PURA VIDA ENERGY NL
R. STAHL AG NA O.N.
RADISYS CORP.
RAGING RIVER EXPLORATION
RALLYE 13-20 CV
REGENERON PHARMAC.DL-,001
RELX N.V. ADRS EO-,07
REPLIGEN CORP. DL-,01
RESTOR.HARD.HLGS DL-,0001
RIB Software AG
ROB.GL.T.R.BD REG.DH EO
ROBECO N.V.
EO 1
ROCHE HLDG SP.ADR 1/8
ROCKWELL DIAMONDS
ROGERS SUGAR INC.
ROLINCO
EO 1
ROOD MICROTEC
RPM INTERN. INC. DL-,01
RUSHYDRO PAO ADR/100 RL 1
RYERSON HLDG CORP. DL-,01
SACYR VALLEHERMOSO
SAIA INC.
DL-,01
SALVEPAR
SARACEN MINERAL HLDGS
SCHLOSS WACHENHEIM AG O.N
SCHUMAG AG O.N.
SCHWAELBCHEN MOLKERE.O.N.
SCIENT.GAMES A DL-,01
SECUOYA GRUPO COMUNICACION
SENATOR MINERALS
SFX ENTERTAINMENT DL-,001
SGL CARBON SE O.N.
SHF COMMUNICAT.TECH.
SHF Communication Technologies AG
SHILOH INDS INC. DL-,01
SHOPIFY A SUB.VTG
SHUTTERSTOCK INC. DL-,01
SIDENOR STOCK FUTURE
SIEGFRIED HL NA SF 2
SIGMA PHARMACEUTICAL LTD
SII
SILVER BAY REALTY TRUST
SINNER AG O.N.
SKY NETWORK TELEVIS.LTD.
SLEEP COUN.CANA.HLDG.INC.
SMT Scharf AG
SNOWWORLD
SOCIETE AIR FRANCE05-20CV
SOFRAGI
SOFTWARE AG O.N.
SOITEC 13-18 CV
SOLVAY S.A. A
SONAE CAPITAL
SOURCE GROUP
SOUTHCROSS EN.PART.LP UTS
SPARTA AG O.N.
SPIE S.A.
EO 1
SPIN MASTER
SPIR COMMUNICATION
STARPHARMA HOLDINGS LTD.
STEINHOFF INT HLD. O.N.
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
Investment Bank of Greece
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
Page 7 of 11
Operation
Date
Sep-16
Sep-16
Sep-16
Sep-16
Sep-16
Jun-13
Aug-16
Sep-16
ESN Member Role Conflict Details
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
STELLA-JONES INC.
STERN GROEP
STORM RES LTD
STRATA-X ENERGY LTD
STRAYER EDUCAT. DL-,01
STRIKE ENERGY LTD.
SUNDANCE ENERGY AUSTRALIA
SUNRIDGE GOLD CORP
SUPERIOR EN. SVCS DL-,001
SUPERIOR PLUS CORP.
SUZLON ENERGY LTD GDR/4
SYGNIS AG
SYMRISE AG INH. O.N.
Scout24 AG
Seven Principles AG
Surteco SE
Syzygy AG
Süss Microtec AG
TAG IMMOBILIEN AG
TALLGRASS ENERGY PAR.UTS
TANAMI GOLD
TANZANIAN ROYALTY EXPL.
TCL MULTI.TEC.HLDGS HD 1
TECHNIP
10-16
TECHNIP 11-17 CV
TEN NETWORK HLDGS
TERNA ENERGY S.A. STOCK FUTURE
TEXTURA CORP. DL-,001
TFS CORP. LTD.
THEOLIA 07-41 CV FLR
TIE KINETIX
TIGER RESOURCES LTD.
TINKA RESOURCES LTD
TINTBRIGHT AG
TITAN CEMENT COMPANY STOCK FUTURE
TITANIUM CORP. INC.
TMC CONTENT GR.AG INH.SF1
TMM REAL EST.DEV.GDR S 1
TMX GROUP LTD
TOBIRA THERAPEUT. DL-,001
TORO CO
DL1
TOUAX 15/20 CV
TRACTOR SUPPLY DL-,008
TRAJANO IBERIA SOCIMI
TRANSPACIFIC INDS GROUP
TRI POINTE GRP INC.DL-,01
TRICAN WELL SERVICE
TROVAGENE INC.NEW DL-,001
TRUE NORTH GEMS INC.
TTL INF. TECHN. AG O.N.
TVI PAC. INC.
TWINTEC AG
Tele Columbus AG
UMPQUA HLDGS CORP.
UNIBAIL-ROD.SE 14-21 ZOCV
UNIBAIL-ROD.SE 15/22ZO CV
UNITED LABELS O.N.
UNITY MINING LTD.
Uzin Utz AG
VALEANT PHARMACEUT. INTL
VALTECH
VALUE MANAGEM.+RES..
VBH Holding AG
VDN AG O.N.
VERBUND AG
INH. A
VISCOM AG O.N.
VITACO HOLDINGS LTD
VIVANCO GRUPPE AG
VIVINT SOLAR
DL-,01
VIXS SYSTEMS INC.
VTG AG
VTION WIRELESS TECH. AG
Viscom AG
Vtion Wireless Technology AG
WALTER MEIER AG NAM.
WANDERER-WERKE AKTIEN
WASGAU PROD.HANDELS AG
WASTE CONNECTIONS DL-,01
WEBAC HOLDING AG
WEST CORP. NEW
WESTERN GAS EQ.PART.UTS
WIGE MEDIA AG
WILD BUNCH AG O.N.
WINGSTOP INC. DL-,01
WINPAK LTD
WISDOM SPORTS DL-,00025
WORLD POINT TERMINALS UTS
WSP GLOBAL
Westag & Getalit AG
Westag & Getalit AG Vorzugsaktien
Wilex AG
Wincor Nixdorf
XOOM CORP.
DL-,0001
YELLOW PAGES LTD
Z ENERGY LTD
ZIOPHARM ONCOLOGY DL-,001
Zalando SE
Zumtobel Group AG
epigenomics AG
euromicron AG
manz AG
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
equinet Bank
equinet Bank
equinet Bank
Investment Bank of Greece
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
GVC Gaesco Beka
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Page 8 of 11
Operation
Date
Sep-16
Sep-16
Jul-15
ESN Member Role Conflict Details
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
mic AG
technotrans AG
windeln.de AG
equinet Bank
equinet Bank
equinet Bank
Debt instruments where the Member is “Specialist” (Liquidity Providers or Market-maker)
VISIBILIA EDITORE
Banca Akros
The Member is Nominated Adviser on AIM
CATENON
EUROESPES
GRIÑO ECOLOGIC S.A.
LLEIDANETWORKS SERVEIS TELEMATICS
NBI BEARINGS EUROPE
NEOL BIOSOLUTIONS
NEURON BIO
OBSIDO SOCIMI
SECUOYA GRUPO COMUNICACION
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
GVC Gaesco Beka
The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - IPO/Public Offers for Selling and/or Subscription
AEROPORTO DI BOLOGNA
Banca Akros
BANCA SISTEMA
Banca Akros
BASIC-FIT
NIBC Markets
Biotest AG
equinet Bank
COMPAGNIE AGRICOLE DE LA CRAU
CM-CIC Market Solutions
ENAV
Banca Akros
ENDESA
GVC Gaesco Beka
Elumeo AG
equinet Bank
FIMALAC
CM-CIC Market Solutions
Ferratum Oyi
equinet Bank
INWIT
Banca Akros
LEHTO GROUP
Op Corporate Bank
OPENJOB
Banca Akros
SLM Solutions Group AG
equinet Bank
VIVENDI
CM-CIC Market Solutions
Operation
Date
Aug-16
Aug-16
Aug-16
Aug-16
Aug-16
Aug-16
Aug-16
Aug-16
Aug-16
Feb-16
Nov-14
Apr-16
Co-Lead Manager
May-16
Co-Lead Manager
The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Private Placement
EDP
GALP ENERGIA
HAVAS
Loewe AG
MOTA ENGIL
Manz AG
Nanogate AG
Nexus AG
Novavisions AG
REN
RIB Software AG
Satorius AG
Viscom AG
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
Dec-15
equinet Bank
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Rights issue
AEDES
BANCA CARIGE
BANCO POPOLARE
BCP
BMPS
Beta Systems Software AG
CLEVER GLOBAL
DOGI INTERNATIONAL FABRICS
Digital Identification Solutions AG
EDP
First Sensor AG
Gigaset AG
HAHN-Immobilien-Beteiligungs AG
I GRANDI VIAGGI
LLEIDANETWORKS SERVEIS TELEMATICS
MASMOVIL IBERCOM
MOTA ENGIL
NBI BEARINGS EUROPE
SONAE INDUSTRIA
SONAE INDUSTRIA
SRV GROUP
Tantalus Rare Earths AG
TwinTec AG
VBH Holding AG
itelligence AG
Banca Akros
Banca Akros
Banca Akros
Caixa Banco De Investimento
Banca Akros
equinet Bank
GVC Gaesco Beka
GVC Gaesco Beka
equinet Bank
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
Banca Akros
GVC Gaesco Beka
GVC Gaesco Beka
Caixa Banco De Investimento
GVC Gaesco Beka
Caixa Banco De Investimento
Caixa Banco De Investimento
Op Corporate Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
The Member participated in consortium for underwriting and/or placement (B) (**) - Convertible Bonds
EDP
GALP ENERGIA
SONAE
UNIBAIL-RODAMCO
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
Apr-16
The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Listed
AIR LIQUIDE
AMER SPORTS
APRR (AUTOROUTES PARIS RHIN RHONE)
BCP
CARMILLA
CARREFOUR BANQUE
CITYCON
Controlinveste International Finance SA
DF Deutsche Forfait AG
Deutscher Studenten Wohn Bond I S.A.
EDP
EDP
Ekosem-Agrar GmbH
Ekotechnika GmbH
FAURECIA
FINNAIR
FONCIERE DES REGIONS
Freund & Partner GmbH
Fußballclub Gelsenkirchen-Schalke 04 e.V.
GALP ENERGIA
CM-CIC Market Solutions
Op Corporate Bank
CM-CIC Market Solutions
Caixa Banco De Investimento
CM-CIC Market Solutions
CM-CIC Market Solutions
Op Corporate Bank
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
Caixa Banco De Investimento
equinet Bank
equinet Bank
CM-CIC Market Solutions
Op Corporate Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
Caixa Banco De Investimento
Page 9 of 11
ESN Member Role Conflict Details
Bookrunner
31/3/2014-17/4/2014
Aug-16
Jul-15
Sep-15
Aug-16
Apr-15
Co-Lead Manager
Jun-16
Bookrunner
Nov-15
Bookrunner
Sep-15
Oct-15
Co-Lead Manager
Bookrunner
Mar-16
Bookrunner
May-16
Bookrunner
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Operation
Date
ESN Member Role Conflict Details
Sep-15
Co-Lead Manager
Dec-15
Bookrunner
May-16
Bookrunner
May-16
Nov-15
Bookrunner
Bookrunner
Sep-15
Nov-15
Co-Lead Manager
Bookrunner
May-16
Jun-16
Bookrunner
Bookrunner
Company
ESN Member
GEWA 5 to 1 GmbH & Co. KG
Gold One International Ltd.
Grand City Properties SA
Hörmann Finance GmbH
Immobilien-Projektgesellschaft Salamander-Areal mbH
JAB HOLDINGS BV
KTG Energie GmbH
Klöckner & Co.
LEGRAND
MIFA Mitteldeutsche Fahrradwerke AG
NOS
OUTOKUMPU
OUTOTEC
PCC SE
PERNOD RICARD
PHAROL
Peach Property Group (Deutschland) GmbH
PÖYRY
REN
REXEL
RTE (Réseau de Transport d'Electricité)
Rena GmbH
SALINI IMPREGILO
SANHA GmbH & Co. KG
SANOMA
SCHNEIDER ELECTRIC SE
SOCIETE FONCIERE LYONNAISE S.A.
SONAE INDUSTRIA
SRV GROUP
STOCKMANN
SUEZ
TEREOS
THE NAVIGATOR
Uniwheels Holding (Germany) GmbH
Windreich GmbH
getgoods.de AG
equinet Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
equinet Bank
CM-CIC Market Solutions
equinet Bank
Caixa Banco De Investimento
Op Corporate Bank
Op Corporate Bank
equinet Bank
CM-CIC Market Solutions
Caixa Banco De Investimento
equinet Bank
Op Corporate Bank
Caixa Banco De Investimento
CM-CIC Market Solutions
CM-CIC Market Solutions
equinet Bank
Banca Akros
equinet Bank
Op Corporate Bank
CM-CIC Market Solutions
CM-CIC Market Solutions
Caixa Banco De Investimento
Op Corporate Bank
Op Corporate Bank
CM-CIC Market Solutions
CM-CIC Market Solutions
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Not Listed
GALP ENERGIA
JERONIMO MARTINS
MOTA ENGIL
NSI
SEMAPA
SONAE
SONAE CAPITAL
SONAE INDUSTRIA
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
NIBC Markets
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Any other known Investment Banking Service provided (B) (i.e.: advisory, etc.) (**)
ALTRI
Adler Modemärkte AG
All for One Steeb AG
Analytik Jena AG
BATENBURG BEHEER
BCP
BITTIUM
Balda AG
Bavaria Industriekapital AG
Biogate AG
CAPE LIVE
CLASQUIN
COFIDUR
COFINA
CORTICEIRA AMORIM
CROSSJECT
CTT
DIRECT ENERGIE
EADS N.V.
EASYVISTA
EDP
EDP RENOVAVEIS
EVOLIS
FLEURY MICHON
FORFARMERS
Foris AG
Funkwerk AG
GALP ENERGIA
GALP ENERGIA
GENERIX
GENFIT
GL EVENTS
GROUPE SFPI
HF COMPANY
Halloren Schokoladenfabrik AG
IBERSOL
IMPRESA
Info AG
JERONIMO MARTINS
LUZ SAUDE
LUZ SAUDE
MOTA ENGIL
Mriya Agro Holding Public Limited
Muehlhan AG
NOS
NOVABASE
OperaOne AG
PHAROL
PRIME INDUSTRIE
PULSION Medical Systems SE
Petrotec AG
REESINK
REN
SEMAPA
Caixa Banco De Investimento
equinet Bank
equinet Bank
equinet Bank
NIBC Markets
Caixa Banco De Investimento
Op Corporate Bank
equinet Bank
equinet Bank
equinet Bank
Banca Akros
CM-CIC Market Solutions
CM-CIC Market Solutions
Nov-11
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
Caixa Banco De Investimento
CM-CIC Market Solutions
Nov-13
equinet Bank
CM-CIC Market Solutions
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
CM-CIC Market Solutions
NIBC Markets
equinet Bank
equinet Bank
Caixa Banco De Investimento
Caixa Banco De Investimento
CM-CIC Market Solutions
CM-CIC Market Solutions
CM-CIC Market Solutions
CM-CIC Market Solutions
Apr-16
CM-CIC Market Solutions
equinet Bank
Caixa Banco De Investimento
Caixa Banco De Investimento
equinet Bank
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
equinet Bank
equinet Bank
Caixa Banco De Investimento
Caixa Banco De Investimento
equinet Bank
Caixa Banco De Investimento
Banca Akros
equinet Bank
equinet Bank
NIBC Markets
Caixa Banco De Investimento
Caixa Banco De Investimento
Page 10 of 11
Sponsor
Sponsor
Listing Sponsor Only
Listing Sponsor Only
Sponsor
Listing Sponsor Only
And Listing Sponsor
Sponsor
And Listing Sponsor
DAL 1/3/2013
List of shares in potential Conflicts of Interest
(by conflict case)
August 2016
Company
ESN Member
SHF Communication Technologies AG
SII
SONAE
SONAE CAPITAL
SONAE INDUSTRIA
SSAB
Schwälbchen AG
Seven Principles AG
Systemair AB
Syzygy AG
TEIXEIRA DUARTE
TERREIS
THE NAVIGATOR
TMM Real Estate Development plc
Westgrund AG
equinet Bank
CM-CIC Market Solutions
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Op Corporate Bank
equinet Bank
equinet Bank
equinet Bank
equinet Bank
Caixa Banco De Investimento
CM-CIC Market Solutions
Caixa Banco De Investimento
equinet Bank
equinet Bank
Any other known Non-Investment Banking Service provided (B)
THE NAVIGATOR
Caixa Banco De Investimento
The Member and/or its Group had an Investment Banking services client relationship (B)
ALTRI
COFINA
CORTICEIRA AMORIM
CTT
EDP
EDP RENOVAVEIS
GALP ENERGIA
JERONIMO MARTINS
LUZ SAUDE
MOTA ENGIL
REN
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
The Member and/or its Group provided debt financing (B)
ALTRI
BCP
BPI
COFINA
CORTICEIRA AMORIM
EDP
EDP RENOVAVEIS
GALP ENERGIA
IBERSOL
IMPRESA
JERONIMO MARTINS
MOTA ENGIL
NOS
NOVABASE
PHAROL
PHAROL
REN
SEMAPA
SONAE
SONAE CAPITAL
SONAE INDUSTRIA
TEIXEIRA DUARTE
THE NAVIGATOR
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
The Member and/or its Group holds a position in debt securitites
ALTRI
BCP
BPI
COFINA
CORTICEIRA AMORIM
EDP
EDP RENOVAVEIS
GALP ENERGIA
IBERSOL
IMPRESA
JERONIMO MARTINS
MOTA ENGIL
NOS
NOVABASE
PHAROL
REN
SEMAPA
SONAE
SONAE CAPITAL
SONAE INDUSTRIA
THE NAVIGATOR
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Caixa Banco De Investimento
Page 11 of 11
Operation
Date
ESN Member Role Conflict Details
Listing Sponsor

Documentos relacionados