Annex II Format for notifying administrative or criminal sanctions or other administrative measures disclosed to the public
United Kingdom
| Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349). | ||
| Directive 2009/65/EC of 13 July 2009 of the European Parliament and of the Council on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32). | ||
| Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ L 174, 1.7.2011, p. 1). | ||
| Field | Description | Type |
|---|---|---|
| Legal Framework | The acronym of the Union legislative act under which the administrative or criminal sanctions or other administrative measures have been imposed. | Mandatory |
| Sanction identifier | The identification code attributed by the competent authority for the purpose of the notification of the administrative or criminal sanctions or other administrative measures | Optional |
| Member State | The acronym of the Member State of the competent authority submitting the sanction or measure | Mandatory |
| Entity Identifier | The identifier used to uniquely identify a legal entity on which an administrative or criminal sanction or other administrative measures have been imposed, in case the entity is an authorised entity under MiFIDf1, UCITSf2 or AIFMDf3 legal framework. | Optional (for legal persons only) |
| Authority Key | The identifier of the authority submitting the sanction or measure | Mandatory |
| Entity Legal Framework | The acronym of the Union legislative text that applies to the entity on which the administrative or criminal sanction or other administrative measures have been imposed. | Optional (for legal persons only) |
| Nature of sanction | Information on whether the sanction notified is a criminal sanction, an administrative sanction or an administrative measure. | Mandatory (only for sanctions) |
| Entity Full name | Full name of the entity the sanction is imposed to, in case the entity is not authorised under MiFID, UCITS or AIFMD legal framework. | Optional (for legal persons only) |
| Person Full Name | Full name of the persons on whom an administrative or criminal sanction or other administrative measures have been imposed. | Optional (for natural persons only) |
| Sanctioning NCA | The acronym of the competent authority that has imposed the administrative or criminal sanctions or other administrative measures. | Mandatory |
| Free Text | Text of the administrative or criminal sanctions or other administrative measures in a national language or in English. | Mandatory |
| Free Text | Text of the administrative sanction or measure in English. | Optional |
| Date | The date on which the administrative or criminal sanction or other administrative measure was imposed. | Mandatory |
| Expiration Date | Date on which the effects of the administrative sanction or measure ends. | Optional |
Annotations
Footnotes
- f1
-
Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).
- f2
-
Directive 2009/65/EC of 13 July 2009 of the European Parliament and of the Council on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).
- f3
-
Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ L 174, 1.7.2011, p. 1).