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:

Reporting period:

Dear [insert appropriate name]

In accordance with Article 25(2) of Regulation (EU) 2015/2365, we wish to provide ESMA with anonymised and aggregated information regarding all criminal investigations undertaken and criminal sanctions imposed in [Member State] in [year].

The aggregated information is set out in the following tables:

Criminal investigations:

Provisions of Regulation (EU) 2015/2365 pursuant to which criminal investigations have been undertaken.

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:

Provisions of Regulation (EU) 2015/2365 in respect of which criminal sanctions have been imposed.

Number of criminal sanctions imposed in the reporting period

Value of fines imposed in the reporting period

[number of the Article, paragraph, subparagraph]

[number of criminal sanctions]

[value of fines (2)]

Total criminal sanctions (3)

[total number of criminal sanctions]

[total value of fines]

Yours sincerely,

[signature]

(1) As criminal investigations may be based on more than one legislative provision, the sum of the different rows may not correspond to the total number of criminal investigations.

(2) Please insert a value in euro or in national currency. Where the relevant fine refers not only to breaches of the relevant article of Regulation (EU) 2015/2365, 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 rows (number of criminal sanctions/value) may not correspond to the total number of criminal sanctions/total value of fines imposed.