Sanctions by FCA under MIFID II/MiFIR

The request was successful.

Dear The Financial Conduct Authority,

On 13 July 2020, ESMA released a document listing aggregated sanctions issued by National Competent Authorities under the MiFID II regime ( https://www.esma.europa.eu/sites/default... ).

1- The UK is mising from p.7 - please provide the UK's figures for the same for 2019 (Total number of sanctions and measures | Total aggregate amount of administrative fines)

2- Also, breakdowns according to the level and format of section "5.2.1 Sanctions and measures imposed in relation to Level 1 provisions" (p.9) and section "5.2.2 Sanctions and measures imposed in relation to Level 2provisions"(p.13)

Yours faithfully,

Jason Steele

The Financial Conduct Authority

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Freedom of Information, The Financial Conduct Authority

3 Attachments

Our ref: FOI7532

 

Dear Mr Steele

 

Freedom of Information: Right to know request

 

Thank you for your email of 5 August 2020, in which you asked for:

 

“On 13 July 2020, ESMA released a document listing aggregated sanctions
issued by National Competent Authorities under the MiFID II regime

[1]https://www.esma.europa.eu/sites/default...

 

 1. The UK is missing from p.7 - please provide the UK's figures for the
same for 2019 (Total number of sanctions and measures | Total
aggregate amount of administrative fines)
 2. Also, breakdowns according to the level and format of section "5.2.1 
Sanctions and measures imposed in relation to Level 1 provisions"
(p.9) and section "5.2.2 Sanctions and measures imposed in relation to
Level 2provisions"(p.13)

We are handling your email as a request for information under the Freedom
of Information Act 2000 (FOIA) and can confirm that in the relevant period
we had no reportable sanctions that fell under the Markets in Financial
Instruments Directive (MiFID II) for the purposes of the European Security
and Markets Authority (ESMA) data collection.

 

Your right to complain under FOIA

 

If you are unhappy with this response, you have the right to request an
internal review.  To do so, please contact us within 40 working days of
the date of this response.

 

If you are not content with the outcome of the internal review, you also
have a right of appeal to the Information Commissioner by phone or on
their website at:

 

Telephone: 0303 123 1113

Website: [2]www.ico.org.uk

 

Yours sincerely

 

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

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London

E20 1JN

 

[4]www.fca.org.uk

 

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This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

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