Skip to the text
In this act Article 1 of 4

Article 1 — Insider list referred to in Article 18(1) of Regulation (EU) No 596/2014

Financial servicesLevel 2ITSMARIn forceOfficial source

1(1)

1.The insider list referred to in Article 18(1) of Regulation (EU) No 596/2014 shall contain a section specific to each piece of inside information and shall be drawn up and kept up to date in accordance with Template 1 of Annex I to this Regulation.

Copy link
1(2)

2.By way of derogation from paragraph 1, persons who, due to the nature of their function or position, have access to all inside information at all times may be listed separately in a permanent insiders’ section of the insider list. That section shall be drawn up and kept up to date in accordance with Template 2 of Annex I to this Regulation. Where a permanent insiders’ section is drawn up and kept up to date, the persons listed therein shall not be included in the section of the insider list referred to in paragraph 1.

Copy link
1(3)

3.The insider list referred to in Article 18(1) of Regulation (EU) No 596/2014 shall be kept in an electronic form that, at all times, ensures that:

Copy link
1(3)(a)
(a)access to the insider list is restricted to clearly identified persons that need that access due to the nature of their function or position;
Copy link
1(3)(b)
(b)the information included is accurate and kept up to date;
Copy link
1(3)(c)
(c)previous versions of the insider list are accessible.
Copy link
1(4)

4.The competent authority shall specify on its website the electronic means by which the insider list referred to in Article 18(1) of Regulation (EU) No 596/2014 is to be transmitted to the competent authority. Those electronic means shall ensure that the completeness, integrity and confidentiality of the information contained in that insider list are maintained at all times during the transmission of that list to the competent authority.

Copy link
1(5)

5.Issuers, emission allowance market participants, auction platforms, auctioneers, auction monitors and any person acting on their behalf or on their account shall retain the personal data relating to persons on the insider list that they draw up and update pursuant to Article 18(1) of Regulation (EU) No 596/2014 for no longer than five years after a person ceased to be on their insider list. A competent authority that received an insider list transmitted pursuant to Article 18(1), point (c), of Regulation (EU) No 596/2014 shall retain the personal data relating to persons on that insider list for no longer than necessary for performing its supervisory tasks, subject to regular review of the need to retain those data.

Copy link