# 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), Annex II: Format for notifying administrative or criminal sanctions or other administrative measures disclosed to the public

Extent: E+W+S+N.I.

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 MiFID, UCITS or AIFMD 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

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Source: https://www.legislation.gov.uk/eur/2017/1158/annex/II (the official version)
Page: https://openlegislation.uk/eu-regulation-2017-1158/annex-II
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.