ANNEX II
Form for submitting aggregated information on all sanctions and measures imposed by competent authorities
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:
(Contact details of the designated contact person)
Name:
Telephone:
Email:
TO:
ESMA
(Contact details of the designated contact person)
Name:
Telephone:
Email:
Dear [insert appropriate name]
In accordance with the first subparagraph of Article 71(4) of Directive 2014/65/EU I wish to provide you with aggregated information regarding all sanctions and measures imposed by [name of the competent authority] in [year]:
(1) Please insert value in euro or in national currency. If the relevant sanction refers not only to breaches relating to the relevant article of Directive 2014/65/EU or of Regulation (EU) No 600/2014, but also to other provisions, add the mention ‘AGGREGATED FIGURE’ to each value.
(2) As sanctions/measures imposed may be based on more than one legislative provision, the sum of the different lines (number of sanctions or measures/value of fines) may not correspond to the total number of sanctions/measures or to the total value of fines imposed.
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)]
(1) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84).