ESMA_QA_1959

13/09/2012

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Subject Matter

Enforcement - Sanctioning of violations

Original question

How will any violations of the provisions of the Regulation be sanctioned?

ESMA Answer

13-09-2012

Original language

[ESMA70-145-408 SSR Q&A, Q&A 13.1]

Pursuant to Article 41 of the Regulation, rules on penalties and administrative measures shall be established by Member States and notified to ESMA.

In addition, ESMA has to publish a list of the existing penalties and administrative measures applicable in Member States on its website (http://www.esma.europa.eu/page/Short-selling).

Status: Answer Published

Additional Information

Level 1 Regulation

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

Topic