ANNEX III - Form for submitting anonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed
Info
🔗 Back to Summary. 🇫🇷 French Version: 2017R1111_FR.III. Back to Summary of LVL1. Link to the PDF. Direct link to EUR-LEX.
Article II – Form for submitting aggregated information on all sanctions and measures imposed by competent authorities ⬅️ | ➡️ Retour au sommaire
Text of image
Anonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed 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 second subparagraph of EU I wish to provide you with anonymised and aggregated information regarding all criminal investigations undertaken and criminal sanctions imposed in [Member State] in [year].
Criminal investigations Infringements of Articles of Directive 2014/65/EU transposed by the national provisions, or of Regulation (EU) No 600/2014, which have been investigated
Number of criminal investigations in the reporting period
[number of the article, paragraph, subparagraph]
[number of criminal investigations]
Total criminal investigations
[total number of criminal investigations (1)]
Text of image
Criminal sanctions imposed Yours sincerely,
[signature]
Articles of Directive 2014/65/EU transposed by the national provisions, or of Regulation (EU) No 600/2014, which were infringed
Number of criminal sanctions imposed in the reporting period
Value of criminal fines imposed in the reporting period
[number of the article, paragraph, subparagraph]
[number of criminal sanctions]
[value of criminal fines (2)]
Total criminal sanctions
[total number of criminal sanctions (3)]
[total value of criminal fines (2) (3)]# 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 |