{"release":{"id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","published":"2026-11-01T16:41:30Z","pinned":false},"limits":{"coverage":{"history":"current_only","held_since":"2026-10-26","gaps":[],"covered":["2017/1158 — ITS — CA-ESMA information exchange (Art. 33) [in force] L2"],"not_covered":["national guidance","court decisions"]},"freshness":{"release_id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","release_published":"2026-11-01T16:41:30Z","checked_at":"2026-10-26","checked_against":"EUR-Lex"},"truncation":null,"failures":[],"incomplete":[]},"page":{"path":"/mar/level-2/its/2017-1158-ca-esma-information-exchange/annexes/annex-i","url":"https://www.headlesslaw.com/mar/level-2/its/2017-1158-ca-esma-information-exchange/annexes/annex-i","title":"ANNEX I","family":"l2_unit_view","work_id":"spaces/mar/level-2/its/2017-1158-ca-esma-information-exchange","view_of":"/mar/level-2/its/2017-1158-ca-esma-information-exchange","status":"in_force","force_status":"in_force","date_state":"current","requested_date":null,"as_of":"2026-11-02","applies_from":null,"application":null,"version_label":"Commission Implementing Regulation (EU) 2017/1158, OJ L 167, 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30.6.2017 · dated 29 Jun 2017 [in force]","attribution":{"prepared_by":"European Commission","published_by":"Publications Office of the EU","published_in":"Official Journal of the European Union","document_type":"implementing_regulation","legal_nature":"binding_adopted","addressees":"not stated in the document","dates":{"document_date":"2017-06-29","entry_into_force":"2017-07-20","locators":{"document_date":"CELLAR 32017R1158 work_date_document","entry_into_force":"CELLAR 32017R1158 resource_legal_date_entry-into-force (earliest)"}},"adoption":null},"context":{"act":{"work_id":"spaces/mar/level-2/its/2017-1158-ca-esma-information-exchange","path":"/mar/level-2/its/2017-1158-ca-esma-information-exchange","name":"Commission Implementing Regulation (EU) 2017/1158","number":"2017/1158","celex":"32017R1158","title_official":"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)","document_date":"2017-06-29"},"position":{"kind":"annex","key":"annex-i","index":1,"articles":6,"annexes":2},"prev":{"path":"/mar/level-2/its/2017-1158-ca-esma-information-exchange/articles/6","key":"6","title":"Article 6 — Entry into force and application"},"next":{"path":"/mar/level-2/its/2017-1158-ca-esma-information-exchange/annexes/annex-ii","key":"annex-ii","title":"ANNEX II"},"act_anchor":"#annex-i"}},"provenance":{"official_url":"https://eur-lex.europa.eu/eli/reg_impl/2017/1158/oj/eng","check":{"result":"matched","checked_at":"2026-10-26","against":"EUR-Lex"},"repo_path":"spaces/mar/level-2/its/2017-1158-ca-esma-information-exchange.md","unit_text_sha256":"ffc84f2745fb7c95988ed5962c6d12d474fe50d11a68bfac8aa4b032540c6044","note":"the unit is a byte-exact part of the act page, whose check record covers it"},"unit":{"locator":"spaces/mar/level-2/its/2017-1158-ca-esma-information-exchange/annex-i","kind":"annex","key":"annex-i","heading":"ANNEX I","text":"## ANNEX I\n\n<a id=\"annex-i\"></a>Form for annual submission of aggregated and anonymous information regarding all sanctions and measures imposed and investigations undertaken\n\n![Figure printed as an image in the official text — Annex I](../../.gitbook/assets/mar-l2-32017R1158-image-1.jpg)\n\nAggregated and anonymous information regarding measures and sanctions imposed and investigations undertaken in accordance with Articles 30, 31 and 32 of Regulation (EU) No 596/2014 in [year]\nFROM:\nMember State:\nCompetent authority:\nAddress:\n(Contact details of the designated contact point)\nName:\nTelephone:\nEmail:\nTO:\nESMA\n(Contact details of the designated contact point)\nName:\nTelephone:\nEmail:\nDear [insert appropriate name]\nIn accordance with Article 33(1) and (2) of Regulation (EU) No 596/2014, I wish to provide you with the following aggregated information regarding:\n— all administrative sanctions and measures imposed by [name of the competent authority], in section 1;\n— all criminal sanctions imposed by judicial authorities in [name of the Member State], in section 2, if applicable;\n— all administrative investigations undertaken [name of the competent authority], in section 3;\n— all criminal investigations undertaken by judicial authorities in [name of the Member State], in section 4, if applicable.\nYours sincerely,\n[signature]\n\n![Figure printed as an image in the official text — Annex I](../../.gitbook/assets/mar-l2-32017R1158-image-2.jpg)\n\nSECTION 1 Administrative measures and sanctions imposed (including settlement decisions where applicable) over the reporting period\nNumber of measures and sanctions\nNumber of persons concerned by the measures and sanctions\nImposed (*)\nPublished\nUnder appeal\nNatural persons\nLegal persons\nTotal administrative measures and sanctions\nNumber of measures and sanctions by type of infringements and nature of the measure/sanction\nPecuniary sanctions\n(including sub-total for disgorgement where applicable)\nOther than pecuniary\nSettlement decisions\n(where applicable)\nIn numbers (+)\nAggregated monetary amount (*)\nIn numbers (+)\nIn numbers (+)\nAggregated monetary amount (**)\nFor prohibitions under Article 14 of Regulation (EU) No 596/2014\nFor prohibitions under Article 15 of Regulation (EU) No 596/2014\nFor other infringements\n(+) As measures and sanctions may cover more than one infringement, the sum of the number of measures and sanctions in this table may not correspond to the total number of measures or sanctions contained in the box under ‘imposed’ in the previous table.\n(*) The figure expected concerns the sanctions and measures that a competent authority has decided to impose.\n(**) Please insert value in Euro or in national currency. If the relevant penalties refer not only to breaches relating to the relevant article of Regulation (EU) No 596/2014, but also to other provisions, add the mention ‘AGGREGATED FIGURE’ to each value.\n\n![Figure printed as an image in the official text — Annex I](../../.gitbook/assets/mar-l2-32017R1158-image-3.jpg)\n\nSECTION 2 Criminal sanctions imposed over the reporting period in accordance with the second subparagraph of Article 30(1) of Regulation (EU) No 596/2014 (if applicable)\n(+) As measures and sanctions may cover more than one infringement, the sum of the number of measures and sanctions in this table may not correspond to the total number of measures or sanctions contained in the box under ‘imposed’ in the previous table.\n(*) The figure expected concerns the sanctions and measures that an authority has decided to impose.\n(**) Please insert value in Euro or in national currency. If the relevant penalties refer not only to breaches relating to the relevant article of Regulation (EU) No 596/2014, but also to other provisions, add the mention ‘AGGREGATED FIGURE’ to each value.\nNumber of sanctions\nNumber of persons concerned by the sanctions\nImposed (*)\nUnder appeal\nNatural persons\nLegal persons\nTotal criminal sanctions\nNumber of sanctions by type of infringements and nature of the criminal sanction (+)\nPecuniary (**)\nImprisonment\nSettlement decisions\nOther kind\nFor prohibitions under Article 14 of Regulation (EU) No 596/2014\nFor prohibitions under Article 15 of Regulation (EU) No 596/2014\nFor other infringements\n\n![Figure printed as an image in the official text — Annex I](../../.gitbook/assets/mar-l2-32017R1158-image-4.jpg)\n\nSECTION 3 Administrative investigations undertaken over the reporting period\n(+) Some investigations can cover several infringements and concern more than one person.\nType of investigation\nNumber of investigations that have been ongoing during year [yyyy] (+)\nOutcome of the closed investigations\nTotal\nOpened\nClosed\nInitiation of administrative enforcement proceedings (including settlement decisions)\nReferral to criminal authorities\nOther actions (e.g., prohibitions)\nClosed without further actions\nFor prohibitions under Article 14 of Regulation (EU) No 596/2014\nFor prohibitions under Article 15 of Regulation (EU) No 596/2014\nFor other type of infringements\n\n![Figure printed as an image in the official text — Annex I](../../.gitbook/assets/mar-l2-32017R1158-image-5.jpg)\n\nSECTION 4 Criminal investigations undertaken over the reporting period in accordance with the second subparagraph of Article 30(1) of Regulation (EU) No 596/2014 (if applicable)\n(+) Some investigations can cover several infringements and concern more than one person.\nType of investigation\nNumber of investigations that have been ongoing during year [yyyy] (+)\nOutcome of the closed investigations\nTotal\nOpened\nClosed\nInitiation of criminal enforcement proceedings (including settlement decisions)\nClosed without further actions\nOther actions (e.g.: prohibitions)\nFor prohibitions under Article 14 of Regulation (EU) No 596/2014\nFor prohibitions under Article 15 of Regulation (EU) No 596/2014\nFor other type of infringements\n\n","marks":[],"text_hash":"ffc84f2745fb7c95988ed5962c6d12d474fe50d11a68bfac8aa4b032540c6044","revision":1}}