facebook   linkedin

 

Substantive Rules regarding Intermediated Securities
Documents issued in connection with this project
(Study Group, Committee of Governmental Experts, Informal Working Groups, Diplomatic Conference)

 

 


 

 

Diplomatic Conference to adopt a Convention on Substantive Rules regarding Intermediated Securities, Final session (Geneva, 5-9 October 2009)
Conference documents

 

Diplomatic Conference to adopt a Convention on Substantive Rules regarding Intermediated Securities, First session (Geneva, 1-12 September 2008)
Conference documents

 


 

 

Post-sessional informal Working Groups

  • Working Group on Article 14 of the draft Convention
  • Working Group on Securities Clearing and Settlement Systems and CSD Rules
  • Working Group on Insolvency-related Issues

 


 

UNIDROIT 2008 - Study LXXVIII - Doc. 115 (Informal Working Group on Insolvency-related Issues - Questions and Observation in respect of the paper of the Chairman (Doc. 97) (submitted by UNCITRAL))

 

UNIDROIT 2008 - Study LXXVIII - Doc. 114 (Informal Working Group on Article 14 of the draft Convention - Response to the questionnaire concerning acquisition by an innocent person (submitted by the Greek delegation))

 

UNIDROIT 2008 - Study LXXVIII - Doc. 113 (Informal Working Group on Insolvency-related Issues - Comments on the Paper of the Chairman (Doc. 97) (submitted by the delegation of the United States of America))

 

UNIDROIT 2008 - Study LXXVIII - Doc. 112 (Informal Working Group on Article 14 of the draft Convention - Comments on the Preliminary Note and response to the questionnaire concerning acquisition by an innocent person (Doc. 96) (submitted by the delegation of the United States of America))

 

UNIDROIT 2008 - Study LXXVIII - Doc. 111 (Informal Working Group on Insolvency-related )Issues - Comments on the Paper of the Chairman (Doc. 97) (submitted by the delegation of Denmark))

 

UNIDROIT 2008 - Study LXXVIII - Doc. 110 (Informal Working Group on Insolvency-related Issues - Comments on the Paper of the Chairman (Doc. 97) (submitted by the delegation of Portugal)) 

 

UNIDROIT 2008 - Study LXXVIII - Doc. 109 (Informal Working Group on Article 14 of the draft Convention - Response to the questionnaire concerning acquisition by an innocent person (submitted by the delegation of Brazil)) 

 

UNIDROIT 2008 - Study LXXVIII - Doc. 108 (Informal Working Group on Insolvency-related Issues - Comments on the Paper of the Chairman (Doc. 97) (submitted by the delegation of Australia)) 

 

UNIDROIT 2008 - Study LXXVIII - Doc. 107 Rev. (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the delegation of France)) 

 

UNIDROIT 2008 - Study LXXVIII - Doc. 106 (Informal Working Group on Article 14 of the draft Convention - Response to the questionnaire concerning acquisition by an innocent person (submitted by the delegation of the United Kingdom)) 

 

UNIDROIT 2008 - Study LXXVIII - Doc. 105 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the Swiss delegation)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 104 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the European Commission)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 103 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the Danish delegation)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 102 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the Finnish delegation)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 101 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the delegation of South Africa)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 100 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning acquisition by an innocent person (submitted by the Australian delegation)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 99 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning "good faith acquisition" (submitted by the Czech delegation)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 98 (Informal Working Group on Article 14 of the draft Convention - Comments on the questionnaire concerning "good faith acquisition" (submitted by the German delegation)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 97 (Informal Working Group on Insolvency-related Issues - Paper (prepared by the Chairman of the informal Working Group)) 


UNIDROIT 2007 - Study LXXVIII - Doc. 96 (Informal Working Group on Article 14 of the draft Convention - Preliminary Note (prepared by the Chairman of the informal Working Group))


The 4th session of the Committee of Governmental Experts for the Preparation of a draft Convention on Substantive Rules regarding Intermediated Securities was held from 21 to 25 May 2007. The documents considered during this session, the Report on the session and the new text of the preliminary draft Convention are available below.


 

UNIDROIT 2007 - Study LXXVIII - Doc. 95 (Report of the UNIDROIT Committee of Governmental Experts for the preparation of a draft Convention on Substantive Rules regarding Intermediated Securities, on its fourth session, held in Rome, 21-25 May 2007)


UNIDROIT 2007 - Study LXXVIII - Doc. 94 (Preliminary draft Convention on Substantive Rules regarding Intermediated Securities, as adopted by the Committee of Governmental Experts at its fourth session, held in Rome, 21-25 May 2007)


UNIDROIT 2007 - Study LXXVIII - Doc. 93 (Comments submitted by the Government of Italy)


UNIDROIT 2007 - Study LXXVIII - Doc. 92 (Comments submitted by the Delegation of the Czech Republic)


UNIDROIT 2007 - Study LXXVIII - Doc. 91 (Comments submitted by the Delegation of the United States of America)


UNIDROIT 2007 - Study LXXVIII - Doc. 90 (Comments submitted by the Delegation of Austria)


UNIDROIT 2007 - Study LXXVIII - Doc. 89 (Comments submitted by the Government of the United Kingdom)


UNIDROIT 2007 - Study LXXVIII - Doc. 88 (Report of the Transparent Systems Working Group)


UNIDROIT 2007 - Study LXXVIII - Doc. 87 (Observations on Transitional Rules submitted by the Delegation of the Republic of Korea)


UNIDROIT 2007 - Study LXXVIII - Doc. 86 (Comments submitted by the Government of France)


UNIDROIT 2007 - Study LXXVIII - Doc. 85 (Comments of the Delegation of Brazil on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 84 (Report on transitional rules)


UNIDROIT 2007 - Study LXXVIII - Doc. 83 (Comments submitted by the Delegation of the United States of America)


UNIDROIT 2007 - Study LXXVIII - Doc. 82 (Comments submitted by the Government of Poland)


UNIDROIT 2007 - Study LXXVIII - Doc. 81 (Comments of Maltese representative on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 80 (Comments submitted by the Government of the Republic of Turkey)


UNIDROIT 2007 - Study LXXVIII - Doc. 79 (Comments submitted by the Government of the Republic of Latvia)


UNIDROIT 2007 - Study LXXVIII - Doc. 78 (Comments of the Delegation of Argentina on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 77 (Comments of the Delegation of Greece on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 76 (Comments submitted by the European Banking Federation)


UNIDROIT 2007 - Study LXXVIII - Doc. 75 (Comments submitted by the Delegation of Denmark)


UNIDROIT 2007 - Study LXXVIII - Doc. 74 (Observations on Innocent Acquisition and Immunity, submitted by the Delegation of the United States of America)


UNIDROIT 2007 - Study LXXVIII - Doc. 73 (Observations on Transitional Rules submitted by the Delegation of the Czech Republic)


UNIDROIT 2007 - Study LXXVIII - Doc. 72 (Comments submitted by the International Swaps and Derivatives Association, Inc., ISDA)


UNIDROIT 2007 - Study LXXVIII - Doc. 71 (Comments of the Delegation of South Africa on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 70 (Report of the Transparent Systems Working Group. Draft prepared by the Chair of the Working Group)


UNIDROIT 2007 - Study LXXVIII - Doc. 69 (Observations on Transitional Rules submitted by the Delegation of Finland)


UNIDROIT 2007 - Study LXXVIII - Doc. 68 (Observations on Transition Provisions submitted by the Delegation of the United States of America)


UNIDROIT 2007 - Study LXXVIII - Doc. 67 (Comments of the Swiss Delegation on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 66 (Comments of the French Delegation on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 65 (Comments of the People's Republic of China representative on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 64 (Comments of the United Kingdom representative on the draft Working Paper on Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 63 (The Greek Holding System. Synoptic presentation submitted by the Government of Greece)


UNIDROIT 2007 - Study LXXVIII - Doc. 62 (Comments of the Brazilian Delegation to the Working Group on so called Transparent Systems)


UNIDROIT 2007 - Study LXXVIII - Doc. 61 (Examination of the draft Convention vis-à-vis the Czech Legal Order)


UNIDROIT 2007 - Study LXXVIII - Doc. 60 (Working paper regarding "Transparent Systems")


UNIDROIT 2007 - Study LXXVIII - Doc. 59 (Working paper on transitional rules prepared by the Swiss Delegation)

 


The 3rd session of the Committee of Governmental Experts for the Preparation of a draft Convention on Substantive Rules regarding Intermediated Securities was held from 6 to 15 November 2006. The documents considered during this session as well as the Report on the session are available below.


 

UNIDROIT 2007 - Study LXXVIII - Doc. 58 (Report of the UNIDROIT Committee of Governmental Experts for the preparation of a draft Convention on Substantive Rules regarding Intermediated Securities, on its third session, held in Rome, 6-15 November 2006)


UNIDROIT 2006 - Study LXXVIII - Doc. 57 (Preliminary draft Convention on Substantive Rules Regarding Intermediated Securities, as adopted by the Committee of Governmental Experts at its third session, held in Rome, 6-15 November 2006))


UNIDROIT 2006 - Study LXXVIII - Doc. 56 (a)-(f) (Comments by the Government of the Federative Republic of Brazil)


UNIDROIT 2006 - Study LXXVIII - Doc. 55 (Comments by the Government of Poland)


UNIDROIT 2006 - Study LXXVIII / Etude LXXVIII - Doc. 54 (Comments by the Government of France / Observations du Gouvernement de la France)


UNIDROIT 2006 - Study LXXVIII - Doc. 53 (Comments by the Government of the Republic of Korea)


UNIDROIT 2006 - Study LXXVIII - Doc. 52 (Comments by the Government of the Russian Federation)


UNIDROIT 2006 - Study LXXVIII - Doc. 51 (Comments by the Association of Global Custodians, AGC)


UNIDROIT 2006 - Study LXXVIII - Doc. 50 (Comments by the Government of the Republic of Latvia)


UNIDROIT 2006 - Study LXXVIII - Doc. 49 (b) (Comments by the Government of Switzerland. Observations on the scope of application of Articles 5 and 6)


UNIDROIT 2006 - Study LXXVIII - Doc. 49 (Comments by the Government of Switzerland. Note on the need for a transition rule)


UNIDROIT 2006 - Study LXXVIII - Doc. 48 (Comments by the CCP12)


UNIDROIT 2006 - Study LXXVIII - Doc. 47 (Comments by the International Swaps & Derivatives Association, Inc., ISDA)


UNIDROIT 2006 - Study LXXVIII - Doc. 46 (Comments by the Government of Germany)


UNIDROIT 2006 - Study LXXVIII - Doc. 45 (a) - (h) (Comments by the Government of the United States of America)


UNIDROIT 2007 - Study LXXVIII - Doc. 44 Add. (Supplementary Working Paper regarding so-called "Transparent Systems")


UNIDROIT 2006 - Study LXXVIII - Doc. 44 (Working paper regarding so-called "Transparent Systems") 

 


 The 2nd session of the Committee of Governmental Experts for the Preparation of a draft Convention on Substantive Rules regarding Intermediated Securities was held from 6 to 14 March 2006. The documents considered during this session as well as the Report on the session are available below.


 

UNIDROIT 2006 - Study LXXVIII - Doc. 43 (Report of the UNIDROIT Committee of Governmental Experts for the preparation of a draft Convention on Substantive Rules Regarding Intermediated Securities on its second session, held in Rome from 6 to 14 March 2006)


UNIDROIT 2006 - Study LXXVIII - Doc. 42 (Preliminary draft Convention on Substantive Rules regarding Intermediated Securities, as adopted by the Committee of Experts at its second session, held in Rome, 6-14 March 2006)


UNIDROIT 2006 - Study LXXVIII - Doc. 41 (Comments by the Federative Republic of Brazil)


UNIDROIT 2006 - Study LXXVIII - Doc. 40 (Comments by the European Banking Federation)


UNIDROIT 2006 - Study LXXVIII - Doc. 39 (Comments by the Government of the United States)


UNIDROIT 2006 - Study LXXVIII - Doc. 38 (Comments by the Government of Argentina)


UNIDROIT 2006 - Study LXXVIII - Doc. 37 (Comments by ISDA)


UNIDROIT 2006 - Study LXXVIII - Doc. 36 (Comments by the Government of the United States)


UNIDROIT 2006 - Study LXXVIII - Doc. 35 (Comments by the Government of the United States)


UNIDROIT 2006 - Study LXXVIII - Doc. 34 (Comments by the Government of France)


UNIDROIT 2006 - Study LXXVIII - Doc. 33 rev. (Comments by the Government of the Russian Federation)


UNIDROIT 2006 - Study LXXVIII - Doc. 32 (Comments by the Government of Germany)


UNIDROIT 2006 - Study LXXVIII - Doc. 31 (Comments by the Commission of the European Communities)


UNIDROIT 2006 - Study LXXVIII - Doc. 30 (Comments by the CCP12)


UNIDROIT 2006 - Study LXXVIII - Doc. 29 (Comments by the Government of the United States of America)


UNIDROIT 2006 - Study LXXVIII - Doc. 28 (Comments by the Government of Japan)


UNIDROIT 2006 - Study LXXVIII - Doc. 27 (Comments by the Government of Malta)


UNIDROIT 2006 - Study LXXVIII - Doc. 26 (Report of Ad Hoc Working Group on Legislative Techniques or the Implementation of the preliminary Draft Convention on Harmonised Substnative Rules regarding Intermediated Securities)


UNIDROIT 2006 - Study LXXVIII - Doc. 25 (Report of an ad hoc Working Group on Art 19.1 of the preliminary draft Convention on Harmonised Substantive Rules regarding Intermediated Securities) 

 


The 1st session of the Committee of Governmental Experts for the Preparation of a draft Convention on Substantive Rules regarding Intermediated Securities was held from 9 to 20 May 2005. The documents considered during this session and the Report on the session are available below as well as the preparatory work leading up to the session.


 

UNIDROIT 2005 - Study LXXVIII - Doc. 24 (Preliminary draft Convention, May/June 2005)


UNIDROIT 2005 - Study LXXVIII - Doc. 23 rev. (Report on the 1st CGE session, revised August 2005)


UNIDROIT 2005 - Study LXXVIII - Doc. 22 (Comments submitted by Tunisia)


UNIDROIT 2005 - Study LXXVIII - Doc. 21 (Comments submitted by Germany and the USA)


UNIDROIT 2005 - Study LXXVIII - Doc. 20 (Comments submitted by Finland and Spain, ISDA and FBE)


UNIDROIT 2004 - Study LXXVIII - Doc. 19 (Explanatory Notes to the Preliminary Draft Convention, December 2004)


UNIDROIT 2004 - Study LXXVIII - Doc. 18 (Preliminary Draft Convention, November 2004) 

 


Restricted Study Group


 

UNIDROIT 2004 - Study LXXVIII - Doc. 17 (Preliminary Draft Convention on Harmonised Substantive Rules regarding Securities held with an Intermediary) [document circulated only within the Study Group]


UNIDROIT 2004 - Study LXXVIII - Doc. 16 Add. 1 (Comments on the Preliminary Draft Convention. Addendum 1)


UNIDROIT 2004 - Study LXXVIII - Doc. 16 (Comments on the Preliminary Draft Convention)


UNIDROIT 2004 - Study LXXVIII - Doc. 15 (Proposal with respect to Chapters IV, V of the Preliminary Draft Convention)


UNIDROIT 2004 - Study LXXVIII - Doc. 14 (Summary Report on the 4th session of the Restricted Study Group on Item 1 of the Project, 24-27 March 2003)


UNIDROIT 2004 - Study LXXVIII - Doc. 13 (Preliminary Draft Convention, April 2004)


UNIDROIT 2004 - Study LXXVIII - Doc. 12 (International UNIDROIT Seminar, November 2003, English only)


UNIDROIT 2003 - Study LXXVIII - Doc. 11 (Summary Report on the 3rdsession of the Restricted Study Group on Item 1 of the Project, 13-16 November 2003)


UNIDROIT 2003 - Study LXXVIII - Doc. 10 (Comments on the position paper August 2003) [limited distribution]


UNIDROIT 2003 - Study LXXVIII - Doc. 9 (Securities holding and dispositions in United Kingdom, France, Switzerland - Summaries) [limited distribution]


UNIDROIT 2003 - Study LXXVIII - Doc. 8 (UNIDROIT Study Group on Harmonised Substantive Rules Regarding Indirectly Held Securities. Position Paper, August 2003, English only)


UNIDROIT 2003 - Study LXXVIII - Doc. 7 (Summary Report on the 2ndsession of the Restricted Study Group on Item 1 of the Project, 12-14 March 2003)


UNIDROIT 2003 - Study LXXVIII - Doc. 6 (Proposal relating to future work) [limited distribution]


UNIDROIT 2002 - Study LXXVIII - Doc. 5 (Summary Report on the 1stsession of the Restricted Study Group on Item 1 of the Project, 9-13 September 2002)


UNIDROIT 2002 - Study LXXVIII - Doc. 4 [limited distribution]


UNIDROIT 2002 - Study LXXVIII - Doc. 3 [limited distribution]


UNIDROIT 2003 - Study LXXVIII - Doc. 2 [never issued]


UNIDROIT 2002 - Study LXXVIII - Doc. 1 (Scope of the Project: Harmonised Substantive Rules for the Use of Securities held with Intermediaries as Collateral) 

 


Seminars:


UNIDROIT 2006 - Study LXXVIII - SEM. 3 (UNIDROIT Seminar on Intermediated Securities – Paris, France, 31 January -1st February 2006) 


UNIDROIT 2005 - Study LXXVIII - SEM. 2 (UNIDROIT Seminar on Intermediated Securities – São Paulo, Brazil, 13-14 October 2005)


UNIDROIT 2005 - Study LXXVIII - SEM. 1 (UNIDROIT Seminar on Intermediated Securities – Bern, Switzerland, 15-17 September 2005)


 

Global overview:

Uniform Law Review, 2005 1/2 Special Issue on Intermediated Securities [ order form ]

We use cookies on this website. By using this site, You agree that we may store and access cookies on your device.