ANNEX II - Form for submitting aggregated information on all sanctions and measures imposed by competent authorities
Info
🔗 Back to Summary. 🇫🇷 French Version: 2017R1111_FR.II. Back to Summary of LVL1. Link to the PDF. Direct link to EUR-LEX.
EU ⬅️ | ➡️ Article III – Form for submitting anonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed
Text of image
Aggregated information on all sanctions and measures imposed by [name of the competent authority] in [year] under Article … of …
FROM:
Member State:
Competent authority:
Address: Name:
Telephone:
Email:
TO:
ESMA Name:
Telephone:
Email:
Dear [insert appropriate name]
In accordance with the first subparagraph of EU I wish to provide you with aggregated information regarding all sanctions and measures imposed by [name of the competent authority] in [year]:
Text of image Yours sincerely,
[signature]
Articles of Directive 2014/65/EU transposed by the national provisions, or of Regulation (EU) No 600/2014 of the European Parliament and of the Council (1), which were infringed
Number of sanctions/measures imposed in the reporting period
Value of administrative fines imposed in the reporting period
[number of the article, paragraph, subparagraph]
[number of sanctions/measures]
[value of fines (1)]
Total sanctions/measures
[total number of sanctions/measures (2)]
[total value of fines (1) (2)]# Table 1 in anx_I
| Field | Description | Type |
|---|---|---|
| Sanction identifier | The identification code attributed by the competent authority for the purpose of the submission of the sanction or measure | Optional |
| Legal framework | The acronym of the Union legislative act under which the sanction or measure has been imposed | Mandatory |
| Member State | The acronym of the Member State of the competent authority submitting the sanction or measure | Mandatory |
| Entity identifier | The identification code used to uniquely identify an entity on which sanction or measure has been imposed | Mandatory (only for sanctions or measures imposed on investment firms) |
| Nature of sanction | Information on whether the sanction notified is a criminal sanction or an administrative sanction | Mandatory (only for sanctions) |
| Authority key | The identifier of the authority submitting the sanction or measure | Mandatory |
| Entity’s legal framework | The acronym of the Union legislative act that applies to the entity on which the sanction or measure has been imposed | Mandatory |
| Entity’s full name | Full name of the entity on which the sanction or measure has been imposed | Mandatory (for legal persons only) |
| Person’s full name | Full name of the natural persons on whom the sanction or measure has been imposed | Mandatory (for natural persons only) |
| Sanctioning competent authority | The acronym of the competent authority that has imposed the sanction or measure | Mandatory |
| Content of the sanction/measure | Text of the sanction or measure and text of any relevant information related to the sanction or measure (including any appeal in relation thereto, the outcome thereof and final judgements in relation to criminal sanction imposed) — in the main language | Mandatory |
| Content of the sanction/measure | Text of the sanction or measure and text of any relevant information related to the sanction or measure (including any appeal in relation thereto, the outcome thereof and final judgements in relation to criminal sanction imposed) — in other language | Optional |
| Date | The date on which the sanction or measure was imposed by the competent authority | Mandatory |
| Expiration date | Date on which the effects of the measure or sanction ends | Optional |
| Public | Information on whether the sanction or measure has been published by the competent authority | Mandatory |