{"release":{"id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","published":"2026-11-01T16:41:30Z","pinned":false},"limits":{"coverage":{"history":"current_only","held_since":"2026-10-26","gaps":[],"covered":["2017/1111 — ITS — Forms for submitting information on sanctions and measures [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":"/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on/articles/5","url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on/articles/5","title":"Article 5 — Annual submission of aggregated information on sanctions and 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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":"article","key":"5","index":5,"articles":7,"annexes":3},"prev":{"path":"/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on/articles/4","key":"4","title":"Article 4 — Timeline"},"next":{"path":"/mifid-ii/level-2/its/2017-1111-procedures-and-forms-for-submitting-information-on/articles/6","key":"6","title":"Article 6 — Annual submission of anonymised and aggregated data on criminal investigations and sanctions"},"act_anchor":"#art-5"}},"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":"b670373914c03ae14ceab37b0562ebb38ff1544b22e191e25bca8ab7f6a7e835","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/art-5","kind":"article","key":"5","heading":"Article 5 — Annual submission of aggregated information on sanctions and measures","text":"## <a id=\"art-5\"></a>Article 5 — Annual submission of aggregated information on sanctions and measures\n\nCompetent authorities shall provide ESMA with the information referred to in the first subparagraph of Article 71(4) of Directive 2014/65/EU by filling in the form set out in Annex II to this Regulation. That form shall include the information on all sanctions and measures imposed by the competent authority, as referred to in Article 71 of Directive 2014/65/EU, during the previous calendar year.\nThe form referred to in the first subparagraph shall be completed electronically and sent to ESMA by email by 31 March of each year at the latest.\n\n","marks":[],"text_hash":"b670373914c03ae14ceab37b0562ebb38ff1544b22e191e25bca8ab7f6a7e835","revision":1}}