{
  "url": "https://openlegislation.uk/eu-regulation-2016-957/annex",
  "json_url": "https://openlegislation.uk/eu-regulation-2016-957/annex.json",
  "legislation": "eur/2016/957",
  "legislation_title": "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)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2016-957",
  "path": "annex",
  "kind": "annex",
  "number": null,
  "heading": "STOR template",
  "text": "SECTION 1 — IDENTITY OF ENTITY/PERSON SUBMITTING THE STOR\nPersons professionally arranging or executing transactions/Market operators and investment firms that operate a trading venue — Specify in each case:\nName of the natural person\n[First name(s) and surname(s) of the natural person in charge of the submission of the STOR within the submitting entity.]\nPosition within the reporting entity\n[Position of the natural person in charge of the submission of the STOR within the submitting entity.]\nName of the reporting entity\n[Full name of the reporting entity, including for legal persons:\nthe legal form as provided for in the register of the country pursuant to the law of which it is incorporated, where applicable, and\nthe Legal Entity Identifier (LEI) code in accordance with ISO 17442 LEI code, where applicable.]\nAddress of the reporting entity\n[Full address (e.g. street, street number, postal code, city, state/province) and country.]\nActing capacity of entity with respect to the orders or transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation\n[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.]\nType of trading activity (market making, arbitrage etc.) and type of instrument traded (securities, derivatives, etc.) by the reporting entity\n(If available)\nRelationship with the person in respect of which the STOR is submitted\n[Description of any corporate, contractual or organisational arrangements or circumstances or relationships]\nContact for additional request for information\n[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:\nfirst name(s) and surname(s),\nposition of the contact person within the reporting entity,\nprofessional e-mail address.]\nSECTION 2 — TRANSACTION/ORDER\nDescription of the financial instrument:\n[Describe the financial instrument which is the subject of the STOR, specifying:\nthe full name or description of the financial instrument,\nthe instrument identifier code as defined in a Commission Delegated Regulation adopted under Article 26 of Regulation (EU) No 600/2014, when applicable, or other codes,\nthe type of financial instrument according to the taxonomy used to classify the financial instrument and the associated code (ISO 10962 CFI code).]\n[Additional elements for orders and transactions relating to OTC derivatives\n(The list of data below is not exhaustive)\nIdentify the type of OTC derivative (e.g. contracts for difference (CFD), swaps, credit default swaps (CDS) and over-the-counter (OTC) options) using the types referred to in Article 4(3)(b) of Commission Implementing Regulation (EU) No 1247/2012.\nDescribe the characteristics of the OTC derivative including at least, where relevant to the particular derivative type, the following:\nnominal amount (face value),\ncurrency of the price denomination,\nmaturity date,\npremium (price),\ninterest rate.\nDescribe at the least the following, where relevant for the particular type of OTC derivative:\nMargin, up-front payment and nominal size or value of the underlying financial instrument,\nTransaction terms such as the strike price, the contract terms (e.g. spread bet gain or loss per tick move).\nDescribe the underlying financial instrument of the OTC derivative specifying:\nThe full name of the underlying financial instrument or description of the financial instrument,\nThe instrument identifier code as defined under Commission Delegated Regulation to be adopted under Article 26 of Regulation (EU) No 600/2014 when applicable, or other codes,\nThe type of financial instrument according to the taxonomy used to classify the financial instrument and the associated code (ISO 10962 CFI code).]\nDate and time of transactions or orders that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation\n[Indicate the date(s) and time(s) of the order(s) or transaction(s) specifying the time zone.]\nMarket where order or transaction occurred\n[Specify:\nname and code to identify the trading venue, the systematic internaliser or the organised trading platform outside the Union where the order was placed and the transaction was executed as defined under Commission Delegated Regulation adopted under Article 26 of Regulation (EU) No 600/2014, or\nif the order was not placed or transaction was not executed on any of the abovementioned venues, please mention ‘outside a trading venue’.]\nLocation (country)\n[Full name of the country and the ISO 3166-1 two-character country code.]\n[Specify:\nwhere the order is given (if available),\nwhere the order is executed.]\nDescription of the order or transaction\n[Describe at least the following characteristics of the order(s) or the transaction(s) reported\ntransaction reference number/order; reference number (where applicable),\nsettlement date and time,\npurchase price/sale price,\nvolume/quantity of financial instruments,\n[Where there are multiple orders or transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation, the details on the prices and volumes of such orders and transactions can be provided to the competent authority in an Annex to the STOR.]\ninformation on the order submission, including at least the following:\ntype of order (e.g. ‘buy with limit EUR x’),\nthe way the order was placed (e.g. electronic order book),\nthe timing when the order was placed,\nthe person that actually placed the order,\nthe person that actually received the order,\nthe means by which the order is transmitted.\nInformation on the order cancellation or alteration (where applicable):\nthe time of the alteration or cancellation,\nthe person who altered or cancelled the order,\nthe nature of the alteration (e.g. change in price or quantity) and the extent of the alteration,\n[Where there are multiple orders or transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation, the details on the prices and volumes of such orders and transactions can be provided to the competent authority in an Annex to the STOR.]\nthe means to alter the order (e.g. via e-mail, phone, etc.).]\nSECTION 3 — DESCRIPTION OF THE NATURE OF THE SUSPICION\nNature of the suspicion\n[Specify the type of breach the reported orders or transactions could constitute:\nmarket manipulation,\ninsider dealing,\nattempted market manipulation,\nattempted insider dealing.]\nReasons for the suspicion\n[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.\nAs non-exhaustive guiding criteria, the description may include:\nfor financial instruments admitted to trading on/traded on a trading venue, a description of the nature of the order book interaction/transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation,\nfor OTC derivatives, details concerning transactions or orders placed in the underlying asset and information on any possible link between dealings in the cash market of the underlying asset and the reported dealings in the OTC derivative.]\nSECTION 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’)\nName\n[For natural persons: the first name(s) and the last name(s).]\n[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.]\nDate of birth\n[For natural persons only.]\n[yyyy-mm-dd]\nNational Identification Number (where applicable)\n[Where applicable in the concerned Member State.]\n[Number and/or text]\nAddress\n[Full address (e.g. street, street number, postal code, city, state/province) and country.]\nInformation about the employment:\nPlace\nPosition\n[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).]\nAccount number(s)\n[Numbers of the cash and securities account(s), any joint accounts or any Powers of Attorney on the account the suspected entity/person holds.]\nClient identifier under transaction reporting pursuant to Regulation (EU) No 600/2014 on markets in financial instruments (or any other code of identification)\n[In case the suspected person is a client of the reporting entity.]\nRelationship with the issuer of the financial instruments concerned (where applicable and where known)\n[Description of any corporate, contractual or organisational arrangements or circumstances or relationships]\nSECTION 5 — ADDITIONAL INFORMATION\nBackground or any other information considered by the reporting entity relevant to the report\n[The following list is not exhaustive.\nThe position of the suspected person (e.g. retail client, institutions),\nThe nature of the suspected entity's/person's intervention (on own account, on behalf of a client, other),\nThe size of the suspected entity's/person's portfolio,\nThe date on which the business relationship with the client started if the suspected entity/person is a client of the reporting person/entity,\nThe type of activity of the trading desk, if available, of the suspected entity,\nTrading patterns of the suspected entity/person. For guidance, the following are examples of information that may be useful:\ntrading habits of the suspected entity/person in terms of use of leverage and short selling, and frequency of use,\ncomparability of the size of the reported order/transaction with the average size of the orders submitted/transactions carried out by the suspected entity/person for the past 12 months,\nhabits of the suspected entity/person in terms of the issuers whose securities it has traded or types of financial instruments traded for the past 12 months, in particular whether the reported order/transaction relates to an issuer whose securities have been traded by the suspected entity/person for the past year.\nOther entities/persons known to be involved in the orders or transactions of which could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation:\nNames,\nActivity (e.g. executing orders on behalf of clients, dealing on own account, operating a trading venue, systematic internaliser, etc.).]\nSECTION 6 — DOCUMENTATION ATTACHED\n[List the supporting attachments and material together provided with this STOR.\nExamples of such documentation are e-mails, recordings of conversations, order/transaction records, confirmations, broker reports, Powers of Attorney documents, and media comment where relevant.\nWhere 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.]",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2016/957/annex",
    "retrieved_at": "2026-11-01T14:45:46.739210+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}