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]: Sanctions: Articles of Directive 2014/65/EU Number of Value of sanctions transposed by the national provisions, or sanctions imposed in the of Regulation (EU) No 600/2014 of the imposed in the reporting period European Parliament and of the Council, reporting period which were infringed [number of the article, paragraph, [value of [number of subparagraph] sanctions(1)] sanctions] [total number of [total value of sanctions(1)(2)] sanctions(2)] Total sanctions 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 FIGURE” to each “AGGREGATED value. As sanctions imposed may be based on more than one legislative provision, the sum of the different lines (number of sanctions/value) may not correspond to the total number/value of sanctions imposed.
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]: Sanctions: 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, which were infringed Number of sanctions imposed in the reporting period Value of sanctions imposed in the reporting period [number of the article, paragraph, subparagraph] Total sanctions [number of sanctions] [value of sanctions(1)] [total number of sanctions(2)] [total value of sanctions(1)(2)] 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. As sanctions imposed may be based on more than one legislative provision, the sum of the different lines (number of sanctions/value) may not correspond to the total number/value of sanctions imposed.
its8%20dec%202015.docx