contents table Logo Lexparency.org lexp
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)
ANNEX I

ANNEX I — Form for submitting information under the second subparagraph of Article 71(3) and Article 71(5) of Directive 2014/65/EU

    Information under the second subparagraph of Article 71(3) and Article 71(5) of Directive 2014/65/EU:

    FieldDescriptionType
    Sanction identifierThe identification code attributed by the competent authority for the purpose of the submission of the sanction or measureOptional
    Legal frameworkThe acronym of the Union legislative act under which the sanction or measure has been imposedMandatory
    Member StateThe acronym of the Member State of the competent authority submitting the sanction or measureMandatory
    Entity identifierThe identification code used to uniquely identify an entity on which sanction or measure has been imposedMandatory (only for sanctions or measures imposed on investment firms)
    Nature of sanctionInformation on whether the sanction notified is a criminal sanction or an administrative sanctionMandatory (only for sanctions)
    Authority keyThe identifier of the authority submitting the sanction or measureMandatory
    Entity's legal frameworkThe acronym of the Union legislative act that applies to the entity on which the sanction or measure has been imposedMandatory
    Entity's full nameFull name of the entity on which the sanction or measure has been imposedMandatory (for legal persons only)
    Person's full nameFull name of the natural persons on whom the sanction or measure has been imposedMandatory (for natural persons only)
    Sanctioning competent authorityThe acronym of the competent authority that has imposed the sanction or measureMandatory
    Content of the sanction/measureText of the sanction or measure and text of any relevant information related to the sanction or measure (including any appeal in relation thereto, the outcome thereof and final judgements in relation to criminal sanction imposed) — in the main languageMandatory
    Content of the sanction/measureText of the sanction or measure and text of any relevant information related to the sanction or measure (including any appeal in relation thereto, the outcome thereof and final judgements in relation to criminal sanction imposed) — in other languageOptional
    DateThe date on which the sanction or measure was imposed by the competent authorityMandatory
    Expiration dateDate on which the effects of the measure or sanction endsOptional
    PublicInformation on whether the sanction or measure has been published by the competent authorityMandatory