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Implementing Regulation (EU) 2017/1111 · binding · OJ L 162, 23.6.2017 · dated 22 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":"2017-06-22","entry_into_force":"2017-07-13","locators":{"document_date":"CELLAR 32017R1111 work_date_document","entry_into_force":"CELLAR 32017R1111 resource_legal_date_entry-into-force (earliest)"}},"adoption":null},"context":{"act":{"work_id":"spaces/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on","path":"/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on","name":"Commission Implementing Regulation (EU) 2017/1111","number":"2017/1111","celex":"32017R1111","title_official":"COMMISSION IMPLEMENTING REGULATION (EU) 2017/1111 of 22 June 2017 laying down implementing technical standards with regard to procedures and forms for submitting information on sanctions and measures in accordance with Directive 2014/65/EU of the European Parliament and of the Council (Text with EEA relevance)","document_date":"2017-06-22"},"position":{"kind":"annex","key":"annex-iii","index":3,"articles":7,"annexes":3},"prev":{"path":"/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on/annexes/annex-ii","key":"annex-ii","title":"ANNEX II"},"next":null,"act_anchor":"#annex-iii"}},"provenance":{"official_url":"https://eur-lex.europa.eu/eli/reg_impl/2017/1111/oj/eng","check":{"result":"matched","checked_at":"2026-10-26","against":"EUR-Lex"},"repo_path":"spaces/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on.md","unit_text_sha256":"d58b3955254e78eda442a14fa757d8b2afd39537feed7794a6941c83cb491d51","note":"the unit is a byte-exact part of the act page, whose check record covers it"},"unit":{"locator":"spaces/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on/annex-iii","kind":"annex","key":"annex-iii","heading":"ANNEX III","text":"## ANNEX III\n\n<a id=\"annex-iii\"></a>Form for submitting anonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed\n\n![Figure printed as an image in the official text — Annex III](../../.gitbook/assets/mifid-ii-l2-32017R1111-image-3.jpg)\n\nAnonymised and aggregated data on all criminal investigations undertaken and criminal sanctions imposed in [year] under Article … of …\nFROM:\nMember State:\nCompetent authority:\nAddress:\n(Contact details of the designated contact person)\nName:\nTelephone:\nEmail:\nTO:\nESMA\n(Contact details of the designated contact person)\nName:\nTelephone:\nEmail:\nDear [insert appropriate name]\nIn accordance with the second subparagraph of Article 71(4) of Directive 2014/65/EU I wish to provide you with anonymised and aggregated information regarding all criminal investigations undertaken and criminal sanctions imposed in [Member State] in [year].\nCriminal investigations\n(1) As criminal investigations may be based on more than one legislative provision, the sum of the different lines may not correspond to the total number of criminal investigations.\nInfringements of Articles of Directive 2014/65/EU transposed by the national provisions, or of Regulation (EU) No 600/2014, which have been investigated\nNumber of criminal investigations in the reporting period\n[number of the article, paragraph, subparagraph]\n[number of criminal investigations]\nTotal criminal investigations\n[total number of criminal investigations (1)]\n\n![Figure printed as an image in the official text — Annex III](../../.gitbook/assets/mifid-ii-l2-32017R1111-image-4.jpg)\n\nCriminal sanctions imposed\n(2) Please insert value in euro or in national currency. If the relevant criminal sanction refers not only to breaches relating to the relevant article of Directive 2014/65/EU or of Regulation (EU) No 600/2014, but also to other provisions, add the mention ‘AGGREGATED FIGURE’ to each value.\n(3) As criminal sanctions imposed may be based on more than one legislative provision, the sum of the different lines (number of criminal sanctions/value) may not correspond to the total number of criminal sanctions/total value of fines imposed.\nYours sincerely,\n[signature]\nArticles of Directive 2014/65/EU transposed by the national provisions, or of Regulation (EU) No 600/2014, which were infringed\nNumber of criminal sanctions imposed in the reporting period\nValue of criminal fines imposed in the reporting period\n[number of the article, paragraph, subparagraph]\n[number of criminal sanctions]\n[value of criminal fines (2)]\nTotal criminal sanctions\n[total number of criminal sanctions (3)]\n[total value of criminal fines (2) (3)]\n\n","marks":[],"text_hash":"d58b3955254e78eda442a14fa757d8b2afd39537feed7794a6941c83cb491d51","revision":1}}