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Version status: Omitted | Document consolidation status: Updated to reflect all known changes
Version date: 31 December 2020 - onwards
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354D. Information under the markets in financial instruments directive

Omitted from 31 December 2020

(1) The appropriate regulator must give ESMA -

(a) information about any general difficulties encountered by UK investment firms in relation to their establishment of a branch or their provision of investment services and activities in a country or territory other than an EEA State;

(b) a return for each calendar year showing aggregated information about all -

(i) cases dealt with under section 177(2) [Section 177(2) was amended by the Financial Services Act 2012, Schedule 18, paragraphs 1 and 25, and by S.I. 2001/1090.] (failure to comply with information gathering and investigation requirements treated as contempt of court) where the requirement was imposed in connection with the regulator's markets in financial instruments directive functions;

(ii) convictions for an offence under section 177(3), (4) or (6) where the proceedings were instituted by the regulator in connection with the regulator's markets in financial instruments directive functions;

(iii) final notices and super

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