Commission Implementing Regulation (EU) 2022/1210 of 13 July 2022 laying down implementing technical standards for the application of Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to the format of insider lists and their updates (Text with EEA relevance)
Insider lists required by Article 18(1) of Regulation (EU) No 596/2014
1. The insider lists required by 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 using the format set out in Template 1 in Annex I to this Regulation.
2. The personal details of 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 insiders list. That section shall be drawn up using the format set out in Template 2 in Annex I to this Regulation. Where the permanent insiders list section is drawn, the personal details of the permanent insiders shall not be included in the specific sections of the insider list referred to in paragraph 1.
3. The insider lists shall be kept in an electronic form that, at all times, ensures that:
(a)
access to the insider lists is restricted to clearly identified persons that need that access due to the nature of their function or position;
(b)
the information included is accurate;
(c)
previous versions of the insider list are accessible.
4. The competent authority shall specify on its website the electronic means by which the insider lists are to be transmitted to the competent authority. Those electronic means shall ensure that the completeness, integrity and confidentiality of the information are maintained during the transmission.
Insider lists referred to in Article 18(6) of Regulation (EU) No 596/2014
1. The insider list referred to in the first subparagraph of Article 18(6) of Regulation (EU) No 596/2014 may include only the personal details of persons having regular access to inside information. That list shall be drawn up using the format set out in Annex II.
2. Insider lists required by the Member States pursuant to the second subparagraph of Article 18(6) of Regulation (EU) No 596/2014 shall contain a section specific to each piece of inside information, and shall be drawn up using the format set out in Template 1 in Annex III to this Regulation.
The details of 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 insiders list. That permanent insiders section shall be drawn up using the format set out in Template 2 in Annex III to this Regulation. Where the permanent insiders list section is drawn, the personal data of the permanent insiders shall not be included in each section of the insider list corresponding to each inside information referred to in the first subparagraph of this paragraph.
3. The insider lists referred to in paragraphs 1 and 2 shall be kept in any form that ensures that the completeness, integrity and confidentiality of the information included in those lists are maintained at all times during the transmission to the competent authority.
Repeal
Implementing Regulation (EU) 2016/347 is repealed. References to the repealed Regulation shall be construed as references to this Regulation.
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
Supplementary provisions
ANNEX ISupplementary provisions
ANNEX I
TEMPLATE 1
Format for the insider lists referred to in Article 1(1)
Description of the source of the specific inside information [:
Date and time of creation of this section (i.e. when the specific inside information was identified) : [
yyyy-mm-dd; hh:mm UTC (Coordinated Universal Time) ]
Date and time (last update): [
yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time)
Date of transmission to the competent authority: [
yyyy-mm-dd ]
First name(s) of the insider
Surname(s) of the insider
Surname(s) of the insider at birth (if different)
Professional telephone number(s)
(work direct telephone line and work mobile numbers)
Company name and address
Function and reason for being insider
Obtained
(the date and time at which the insider obtained access to the inside information)
Ceased
(the date and time at which the insider ceased to have access to the inside information)
National Identification- Number (if applicable)
Date of birth
Personal tele- phone numbers (home and personal mobile telephone numbers)
Personal full home address: street name; street number; city; post/zip code; country)
[Text]
[Text]
[Text]
[Numbers (no space)]
[Address of issuer/emission allowance market participant/auction plat- form/auctioneer/auction monitor or, of the person acting on their behalf or on their account
[Text describing role, function and reason for being on this list]
[yyyy-mm-dd, hh:mm UTC]
[yyyy-mm-dd, hh:mm UTC]
[Number and/or text]
[yyyy-mm-dd]
[Numbers (no space)]
[Text]
TEMPLATE 2
Format for the permanent insiders section of insider lists referred to in Article 1(2)
Date and time of creation of this section: [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date and time (last update): [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date of transmission to the competent authority: [ yyyy-mm-dd ]
First name(s) of the insider
Surname(s) of the insider
Surname(s) of the insider at birth (if different)
Professional telephone number(s) (work direct telephone line and work mobile numbers)
Company name and address
Function and reason for being insider
Included
(the date and time at which the insider was included in the permanent insider section)
National Identification Number (if applicable)
Date of Birth
Personal full home address
(street name; street number; city; post/zip code; country) (If available at the time of the request by the competent authority)
Personal telephone numbers
(home and personal mobile telephone numbers)
[Text]
[Text]
[Text]
[Numbers (no space)]
[Address of issuer or of the person acting on their behalf or on their account]
[Text describing role, function and reason for being on this list]
[yyyy-mm-dd, hh:mm UTC]
[Number and/or text]
yyyy- mm-dd for the date of birth]
[Text]
[Numbers (no space)]
ANNEX IISupplementary provisions
ANNEX II
Format for the list of the personal data of persons having regular access to inside information referred to in Article 2(1)
Date and time of creation of this insider list: [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date and time (last update): [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date of transmission to the competent authority: [ yyyy-mm-dd ]
First name(s) of the insider
Surname(s) of the insider
Surname(s) of the insider at birth (if different)
Professional telephone number(s) (work direct telephone line and work mobile numbers)
Company name and address
Function and reason for being insider
Obtained
(the date and time at which the insider obtained regular access to the inside information)
Ceased
(the date and time at which the insider ceased to have regular access to the inside information)
National Identification Number (if applicable) or otherwise Date of Birth
Personal full home address
(street name; street number; city; post/zip code; country) (If available at the time of the request by the competent authority)
Personal telephone numbers
(home and personal mobile telephone numbers)
(If available at the time of the request by the competent authority)
[Text]
[Text]
[Text]
[Numbers (no space)]
[Address of issuer]
[Text describing role, function and reason for being on this insider list/]
[yyyy-mm-dd, hh:mm UTC]
[yyyy-mm-dd, hh:mm UTC]
[Number and/or text or yyyy- mm-dd for the date of birth]
[Text]
[Numbers (no space)]
ANNEX IIISupplementary provisions
ANNEX III
TEMPLATE 1
Format for the insider lists referred to in Article 2(2), first subparagraph
Description of the source of the specific inside information:
Date and time of creation of this section (i.e. when the specific inside information was identified): [yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time)]
Date and time (last update): [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date of transmission to the competent authority : [ yyyy-mm-dd ]
First name(s) of the insider
Surname(s) of the insider
Professional telephone number(s)
(work direct telephone line and work mobile numbers)
Function or reason for being insider
Obtained
(the date and time at which the insider obtained access to the inside information)
Ceased
(the date and time at which the insider ceased to have access to the inside information)
National Identification Number
(if applicable)
Or otherwise Date of Birth
[Text]
[Text]
[Numbers (no space)]
[Text describing role, function and/or reason for being on this list]
[yyyy-mm-dd, hh:mm UTC]
[yyyy-mm-dd, hh:mm UTC]
[Number and/or text or yyyy-mm-dd for the date of birth]
TEMPLATE 2
Format for the permanent insiders section of insider lists referred to in Article 2(2), second subparagraph
Date and time of creation of this section: [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date and time (last update): [ yyyy-mm-dd, hh:mm UTC (Coordinated Universal Time) ]
Date of transmission to the competent authority: [ yyyy-mm-dd ]
First name(s) of the insider
Surname(s) of the insider
Professional telephone number(s) (work direct telephone line and work mobile numbers)
Company name and address
Function and reason for being insider
Included
(the date and time at which the insider was included in the permanent insider section)
National Identification Number
(if applicable)
Or otherwise Date of Birth
[Text]
[Text]
[Numbers (no space)]
[Address of issuer or of the person acting on their behalf or on their account]
[Text describing role, function and reason for being on this list]
[yyyy-mm-dd, hh:mm UTC]
[Number and/or yyyy- mm-dd for the date of birth]
Source: EUR-Lex (Publications Office of the EU), © European Union, reuse permitted under Commission Decision 2011/833/EU.
