COMMISSION IMPLEMENTING REGULATION (EU) 2017/1158
of 29 June 2017
laying down implementing technical standards with regards to the procedures and forms for competent authorities exchanging information with the European Securities Market Authority as referred to in Article 33 of Regulation (EU) No 596/2014 of the European Parliament and of the Council
(Text with EEA relevance)
Article 1
Definition
Article 2
Contact points
Article 3
Annual submission of aggregated information
Article 4
Reporting procedures and forms
Article 5
Invalidation and updating of reports
Article 6
Entry into force and application
ANNEX I
Form for annual submission of aggregated and anonymous information regarding all sanctions and measures imposed and investigations undertaken
ANNEX II
Format for notifying administrative or criminal sanctions or other administrative measures disclosed to the public
Field |
Description |
Type |
Legal Framework |
The acronym of the Union legislative act under which the administrative or criminal sanctions or other administrative measures have been imposed. |
Mandatory |
Sanction identifier |
The identification code attributed by the competent authority for the purpose of the notification of the administrative or criminal sanctions or other administrative measures |
Optional |
Member State |
The acronym of the Member State of the competent authority submitting the sanction or measure |
Mandatory |
Entity Identifier |
The identifier used to uniquely identify a legal entity on which an administrative or criminal sanction or other administrative measures have been imposed, in case the entity is an authorised entity under MiFID(1), UCITS(2) or AIFMD(3) legal framework. |
Optional (for legal persons only) |
Authority Key |
The identifier of the authority submitting the sanction or measure |
Mandatory |
Entity Legal Framework |
The acronym of the Union legislative text that applies to the entity on which the administrative or criminal sanction or other administrative measures have been imposed. |
Optional (for legal persons only) |
Nature of sanction |
Information on whether the sanction notified is a criminal sanction, an administrative sanction or an administrative measure. |
Mandatory (only for sanctions) |
Entity Full name |
Full name of the entity the sanction is imposed to, in case the entity is not authorised under MiFID, UCITS or AIFMD legal framework. |
Optional (for legal persons only) |
Person Full Name |
Full name of the persons on whom an administrative or criminal sanction or other administrative measures have been imposed. |
Optional (for natural persons only) |
Sanctioning NCA |
The acronym of the competent authority that has imposed the administrative or criminal sanctions or other administrative measures. |
Mandatory |
Free Text |
Text of the administrative or criminal sanctions or other administrative measures in a national language or in English. |
Mandatory |
Free Text |
Text of the administrative sanction or measure in English. |
Optional |
Date |
The date on which the administrative or criminal sanction or other administrative measure was imposed. |
Mandatory |
Expiration Date |
Date on which the effects of the administrative sanction or measure ends. |
Optional |