Commission Implementing Regulation (EU) 2016/1212 of 25 July 2016 laying down implementing technical standards with regard to standard procedures and forms for submitting information in accordance with Directive 2009/65/EC of the European Parliament and of the Council (Text with EEA relevance)
Commission Implementing Regulation (EU) 2016/1212 of 25 July 2016 laying down implementing technical standards with regard to standard procedures and forms for submitting information in accordance with Directive 2009/65/EC of the European Parliament and of the Council (Text with EEA relevance)
Data as of 2026-07-04 · Compiled from an official source version. Later amendments or repeals may not be reflected; the official text prevails. · Read the official text ↗
1. For each Member State, competent authorities shall designate a single contact point for sending the information referred to in Articles 2 and 3 and for communications on any issue relating to the submission of such information.
2. Competent authorities shall notify the European Securities and Markets Authority (ESMA) of the contact point referred to in paragraph 1.
3. ESMA shall designate a contact point for receiving the information referred to in Article 2 and for communications on any issue relating to the reception of the information referred to in Articles 2 and 3.
4. ESMA shall publish the contact point referred to in paragraph 3 on its website.
Competent authorities shall provide ESMA with the information referred to in Article 99e(1) of Directive 2009/65/EC by filling in the form set out in Annex I to this Regulation.
That information shall refer to all the penalties and measures imposed during the previous calendar year.
The form shall be completed electronically and sent to ESMA by e-mail using the contact point referred to in Article 1(3) no later than 31 March of each year.
1. Competent authorities shall report to ESMA the administrative penalties and measures referred to in Article 99e(2) of Directive 2009/65/EC using the existing interfaces provided by the information technology system, and the related database, set up by ESMA to manage the receipt, storage and publication of information on those administrative penalties and measures in accordance with Article 99e of Directive 2009/65/EC.
2. The administrative penalties and measures shall be submitted to ESMA in a report file in the format set out in Annex II.
1. Where a competent authority wishes to invalidate an existing report file it has previously submitted to ESMA in accordance with Article 3, it shall cancel the existing report and send a new report file.
2. Where a competent authority wishes to update an existing report file it has previously submitted to ESMA in accordance with Article 3, it shall resubmit the report file with the updated information.
ANNEX I
Form for annual submission of aggregated information regarding all penalties and measures imposed
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Aggregated information regarding all penalties and measures imposed by
[name of the competent authority] in [year]
FROM:
Member State:
Competent authority:
Address:
(Contact details of the designated contact person)
Name:
Telephone:
E-mail:
TO:
ESMA
(Contact details of the designated contact person)
Name:
Telephone:
E-mail:
Dear [insert appropriate name]
In accordance with Article 99e(1) of Directive 2009/65/EC, I wish to provide you with aggregated information regarding all penalties and measures imposed by [name of the competent authority].
Penalties:
Article of Directive 2009/65/EC transposed by the national provisions which were infringed
Number of penalties imposed in the reporting period
Amount of penalties imposed in the reporting period
[number of the article, paragraph, subparagraph]
[number of penalties]
[amount of penalties (*)]
Total penalties
[total number of penalties (†)]
[total amount of penalties (*) (†)]
(*) Please insert value in Euro or in national currency. If the relevant penalties refer not only to breaches relating to the relevant article of Directive 2009/65/EC, but also to other provisions, add the mention ‘AGGREGATED FIGURE’ to each value.
(†) As penalties imposed may cover more than one legislative provision, the sum of the different lines (number of penalties/amount) may not correspond to the total number/amount of penalties imposed.
Text of image
Measures:
Article of Directive 2009/65/EC transposed by the national provisions which were infringed
Number of measures imposed in the reporting period
[number of the article, paragraph, subparagraph]
[number of measures]
Total measures
[total number of measures (†)]
(†) As measures imposed may cover more than one legislative provision, the sum of the different number of measures may not correspond to the total number of measures imposed.
Yours sincerely,
[signature]
ANNEX II
Form for reporting administrative penalties or measures disclosed to the public
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Field
Description
Type
Legal Framework
The acronym of the Union legislative act under which the administrative penalty or measure has been imposed.
Mandatory
Member State
The acronym of the Member State of the competent authority submitting the administrative penalty or measure
Mandatory
Entity Identifier
The identification code used to uniquely identify a legal entity on which an administrative penalty or measure has been imposed.
Mandatory
Authority Key
The identifier of the competent authority submitting the administrative penalty or measure
Mandatory
Entity Legal Framework
The acronym of the Union legislative act that applies to the entity on which the administrative penalty or measure has been imposed.
Mandatory
Entity Full Name
Full name of the entity on which the administrative penalty or measure has been imposed
Optional
Person Full Name
Full name of the persons on whom an administrative penalty or measure has been imposed.
Mandatory (for natural persons only)
Sanctioning NCA
The acronym of the competent authority that has imposed the administrative penalty or measure.
Mandatory
Free Text
Text of the administrative penalty or measure in the main language
Mandatory
Free Text
Text of the administrative penalty or measure in other language (*)
Optional
Date
The date on which the administrative penalty or measure was imposed by the competent authority
Mandatory
Expiration date
Date on which the administrative penalty or measure ends
Optional
(*) Other language could be either a language customary in the sphere of international finance or another official language of the Member State.
