Commission Implementing Regulation (EU) 2016/347 of 10 March 2016 laying down implementing technical standards with regard to the precise format of insider lists and for updating insider lists in accordance with Regulation (EU) No 596/2014
as it stood on 2016-03-10, permalink: /eu-eurlex/32016r0347/2016-03-10--0c402e9e024af8e7deae0af3b4b4c6b614f97e1d9364cecaab740cb98c555225
Article 1
For the purposes of this Regulation, the following definition shall apply:
| ‘electronic means’ are means of electronic equipment for the processing (including digital compression), storage and transmission of data, employing wires, radio, optical technologies, or any other electromagnetic means. |
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Article 2
- Issuers, emission allowance market participants, auction platforms, auctioneers and auction monitor, or any person acting on their behalf or on their account, shall ensure that their insider list is divided into separate sections relating to different inside information. New sections shall be added to the insider list upon the identification of new inside information, as defined in Article 7 of Regulation (EU) No 596/2014.
Each section of the insider list shall only include details of individuals having access to the inside information relevant to that section.
- The persons referred to in paragraph 1 may insert a supplementary section into their insider list with the details of individuals who have access at all times to all inside information (‘permanent insiders’).
The details of permanent insiders included in the supplementary section referred to in the first subparagraph shall not be included in the other sections of the insider list referred to in paragraph 1.
- The persons referred to in paragraph 1 shall draw up and keep the insider list up to date in an electronic format in accordance with Template 1 of Annex I.
Where the insider list contains the supplementary section referred to in paragraph 2, the persons referred to in paragraph 1 shall draw up and keep that section updated in an electronic format in accordance with Template 2 of Annex I.
- The electronic formats referred to in paragraph 3 shall at all times ensure:
| (a) | the confidentiality of the information included by ensuring that access to the insider list is restricted to clearly identified persons from within the issuer, emission allowance market participant, auction platform, auctioneer and auction monitor, or any person acting on their behalf or on their account that need that access due to the nature of their function or position; |
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| (b) | the accuracy of the information contained in the insider list; |
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| (c) | the access to and the retrieval of previous versions of the insider list. |
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- The insider list referred to in paragraph 3 shall be submitted using the electronic means specified by the competent authority. Competent authorities shall publish on their website the electronic means to be used. Those electronic means shall ensure that completeness, integrity and confidentiality of the information are maintained during the transmission.
Article 3
For the purposes of Article 18(6)(b) of Regulation (EU) No 596/2014, an issuer whose financial instruments are admitted to trading on an SME growth market shall provide the competent authority, upon its request, with an insider list in accordance with the template in Annex II and in a format that ensures that the completeness, integrity and confidentiality of the information are maintained during the transmission.
Article 4
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
It shall apply from 3 July 2016.
Provenance and validity dates, identifier, hash
| as of | 2016-03-10 → this publisher state was selected |
| publisher state | publisher version 2016-03-10 → latest held publisher-asserted |
| type | REG_IMPL Commission Implementing Regulation (EU) 2016/347 of 10 March 2016 laying down implementing technical standards with regard to the precise format of insider lists and for updating insider lists in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council (Text with EEA relevance) |
| language | en |
| published | 2016-03-10 |
| lex_id | eu-eurlex:32016r0347:2016-03-10--0c402e9e024af8e7deae0af3b4b4c6b614f97e1d9364cecaab740cb98c555225 |
| record sha256 | 6093d2598e456f8727729bc90c86c0f8cc364032fa69e1a8b4b45dad28fa18d8 |
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