COMMISSION DELEGATED REGULATION (EU) 2016/957
of 9 March 2016
supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the appropriate arrangements, systems and procedures as well as notification templates to be used for preventing, detecting and reporting abusive practices or suspicious orders or transactions
(Text with EEA relevance)
Article 1
Definitions
Article 2
General requirements
Article 3
Prevention, monitoring and detection
Article 4
Training
Article 5
Reporting obligations
Article 6
Timing of STORs
Article 7
Content of STORs
Article 8
Means of transmission
Article 9
Entry into force
ANNEX
STOR template
SECTION 1 — IDENTITY OF ENTITY/PERSON SUBMITTING THE STOR |
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Persons professionally arranging or executing transactions/Market operators and investment firms that operate a trading venue — Specify in each case: |
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Name of the natural person |
[First name(s) and surname(s) of the natural person in charge of the submission of the STOR within the submitting entity.] |
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Position within the reporting entity |
[Position of the natural person in charge of the submission of the STOR within the submitting entity.] |
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Name of the reporting entity |
[Full name of the reporting entity, including for legal persons:
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Address of the reporting entity |
[Full address (e.g. street, street number, postal code, city, state/province) and country.] |
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Acting capacity of entity with respect to the orders or transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation |
[Description of the capacity in which the reporting entity was acting with regards to the order(s) or transaction(s) that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation, e.g. executing orders on behalf of clients, dealing on own account, operating a trading venue, systematic internaliser.] |
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Type of trading activity (market making, arbitrage etc.) and type of instrument traded (securities, derivatives, etc.) by the reporting entity |
(If available) |
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Relationship with the person in respect of which the STOR is submitted |
[Description of any corporate, contractual or organisational arrangements or circumstances or relationships] |
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Contact for additional request for information |
[Person to be contacted within the reporting entity for additional request for information relating to this report (e.g. compliance officer) and relevant contact details:
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SECTION 2 — TRANSACTION/ORDER |
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Description of the financial instrument: |
[Describe the financial instrument which is the subject of the STOR, specifying:
[Additional elements for orders and transactions relating to OTC derivatives (The list of data below is not exhaustive)
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Date and time of transactions or orders that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation |
[Indicate the date(s) and time(s) of the order(s) or transaction(s) specifying the time zone.] |
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Market where order or transaction occurred |
[Specify:
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Location (country) |
[Full name of the country and the ISO 3166-1 two-character country code.] [Specify:
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Description of the order or transaction |
[Describe at least the following characteristics of the order(s) or the transaction(s) reported
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SECTION 3 — DESCRIPTION OF THE NATURE OF THE SUSPICION |
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Nature of the suspicion |
[Specify the type of breach the reported orders or transactions could constitute:
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Reasons for the suspicion |
[Description of the activity (transactions and orders, way of placing the orders or executing the transaction and characteristics of the orders and transactions that make them suspicious) and how the matter came to the attention of the reporting person, and specify the reasons for suspicion. As non-exhaustive guiding criteria, the description may include:
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SECTION 4 — IDENTITY OF PERSON THE ORDERS OR TRANSACTIONS OF WHICH COULD CONSTITUTE INSIDER DEALING, MARKET MANIPULATION OR ATTEMPTED INSIDER DEALING OR MARKET MANIPULATION (‘SUSPECTED PERSON’) |
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Name |
[For natural persons: the first name(s) and the last name(s).] [For legal persons: full name including legal form as provided for in the register of the country pursuant to the laws of which it is incorporated, if applicable, and Legal Entity Identifier (LEI) code in accordance with ISO 17442, where applicable.] |
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Date of birth |
[For natural persons only.] [yyyy-mm-dd] |
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National Identification Number (where applicable) |
[Where applicable in the concerned Member State.] [Number and/or text] |
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Address |
[Full address (e.g. street, street number, postal code, city, state/province) and country.] |
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Information about the employment:
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[Information about the employment of the suspected person, from information sources available internally to the reporting entity (e.g. account documentation in case of clients, staff information system in case of an employee of the reporting entity).] |
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Account number(s) |
[Numbers of the cash and securities account(s), any joint accounts or any Powers of Attorney on the account the suspected entity/person holds.] |
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Client identifier under transaction reporting pursuant to Regulation (EU) No 600/2014 on markets in financial instruments (or any other code of identification) |
[In case the suspected person is a client of the reporting entity.] |
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Relationship with the issuer of the financial instruments concerned (where applicable and where known) |
[Description of any corporate, contractual or organisational arrangements or circumstances or relationships] |
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SECTION 5 — ADDITIONAL INFORMATION |
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Background or any other information considered by the reporting entity relevant to the report |
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[The following list is not exhaustive.
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SECTION 6 — DOCUMENTATION ATTACHED |
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[List the supporting attachments and material together provided with this STOR. Examples of such documentation are e-mails, recordings of conversations, order/transaction records, confirmations, broker reports, Powers of Attorney documents, and media comment where relevant. Where the detailed information about the orders/transactions referred to in Section 2 of this template is provided in a separate annex, indicate the title of that annex.] |