ANNEX III
Form for submitting anonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed
Anonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed 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 second subparagraph of Article 71(4) of Directive 2014/65/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
(1) As criminal investigations may be based on more than one legislative provision, the sum of the different lines may not correspond to the total number of 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)]
Criminal sanctions imposed
(2) Please insert value in euro or in national currency. If the relevant criminal 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.
(3) As criminal sanctions imposed may be based on more than one legislative provision, the sum of the different lines (number of criminal sanctions/value) may not correspond to the total number of criminal sanctions/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, 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)]