ANNEX IISupplementary provisions
ANNEX II Form for submitting aggregated information on all sanctions and measures imposed by competent authorities Text of image Aggregated information on all sanctions and measures imposed by [name of the competent authority] in [year] under Article … of … FROM: Member State: Competent authority: Address: (Contact details of the designated contact person) Name: Telephone: Email: TO: ESMA (Contact details of the designated contact person) Name: Telephone: Email: Dear [insert appropriate name] In accordance with the first subparagraph of Article 71(4) of Directive 2014/65/EU I wish to provide you with aggregated information regarding all sanctions and measures imposed by [name of the competent authority] in [year]: Text of image (1) Please insert value in euro or in national currency. If the relevant 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. (2) As sanctions/measures imposed may be based on more than one legislative provision, the sum of the different lines (number of sanctions or measures/value of fines) may not correspond to the total number of sanctions/measures or to the total value of fines imposed. Yours sincerely, [signature] Articles of Directive 2014/65/EU transposed by the national provisions, or of Regulation (EU) No 600/2014 of the European Parliament and of the Council (1), which were infringed Number of sanctions/measures imposed in the reporting period Value of administrative fines imposed in the reporting period [number of the article, paragraph, subparagraph] [number of sanctions/measures] [value of fines (1)] Total sanctions/measures [total number of sanctions/measures (2)] [total value of fines (1) (2)] (1) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84).