{
  "url": "https://openlegislation.uk/eu-regulation-2017-1158/annex-II",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-1158/annex-II.json",
  "legislation": "eur/2017/1158",
  "legislation_title": "Commission Implementing Regulation (EU) 2017/1158 of 29 June 2017 laying down implementing technical standards with regards to the procedures and forms for competent authorities exchanging information with the European Securities Market Authority as referred to in Article 33 of Regulation (EU) No 596/2014 of the European Parliament and of the Council (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2017-1158",
  "path": "annex/II",
  "kind": "annex",
  "number": "II",
  "heading": "Format for notifying administrative or criminal sanctions or other administrative measures disclosed to the public",
  "text": "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).\nDirective 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).\nDirective 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).\nField\nDescription\nType\nLegal Framework\nThe acronym of the Union legislative act under which the administrative or criminal sanctions or other administrative measures have been imposed.\nMandatory\nSanction identifier\nThe identification code attributed by the competent authority for the purpose of the notification of the administrative or criminal sanctions or other administrative measures\nOptional\nMember State\nThe acronym of the Member State of the competent authority submitting the sanction or measure\nMandatory\nEntity Identifier\nThe 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 MiFID, UCITS or AIFMD legal framework.\nOptional (for legal persons only)\nAuthority Key\nThe identifier of the authority submitting the sanction or measure\nMandatory\nEntity Legal Framework\nThe 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.\nOptional (for legal persons only)\nNature of sanction\nInformation on whether the sanction notified is a criminal sanction, an administrative sanction or an administrative measure.\nMandatory (only for sanctions)\nEntity Full name\nFull name of the entity the sanction is imposed to, in case the entity is not authorised under MiFID, UCITS or AIFMD legal framework.\nOptional (for legal persons only)\nPerson Full Name\nFull name of the persons on whom an administrative or criminal sanction or other administrative measures have been imposed.\nOptional (for natural persons only)\nSanctioning NCA\nThe acronym of the competent authority that has imposed the administrative or criminal sanctions or other administrative measures.\nMandatory\nFree Text\nText of the administrative or criminal sanctions or other administrative measures in a national language or in English.\nMandatory\nFree Text\nText of the administrative sanction or measure in English.\nOptional\nDate\nThe date on which the administrative or criminal sanction or other administrative measure was imposed.\nMandatory\nExpiration Date\nDate on which the effects of the administrative sanction or measure ends.\nOptional",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "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)."
    },
    {
      "type": "footnote",
      "label": "f2",
      "text": "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)."
    },
    {
      "type": "footnote",
      "label": "f3",
      "text": "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)."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2017/1158/annex/II",
    "retrieved_at": "2026-11-01T14:44:46.994434+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."
}