MiCA enforcement evidence
A source-backed, conservative evidence checklist for CASPs mapping Regulation (EU) 2023/1114 Article 111 administrative penalties and other administrative measures to operational response owners, Article 94 authority files, and service-control evidence.
Informational only. Not legal, regulatory, brokerage, underwriting, or insurance advice.
Administrative penalties and other administrative measures: the ESMA Interactive Single Rulebook text for Regulation (EU) 2023/1114 Article 111 says Member States shall provide competent authorities with powers to take administrative penalties and other administrative measures, without prejudice to criminal penalties and Article 94 supervisory and investigative powers.
For CASP operating teams, the high-intent diligence question is not predicting a penalty. It is whether authorisation, conduct, prudential, custody, complaints, outsourcing, transfer, advice, market-abuse, and authority-response records can be found quickly when an Article 111-relevant issue is reviewed.
This page is an evidence-preparation checklist. It is not a legal interpretation, penalty assessment, supervisory-response instruction, authorisation opinion, provider endorsement, broker recommendation, or assurance about any firm, conduct, infringement, fine, ban, withdrawal, suspension, or fact pattern.
Article 111 references at least infringements of Articles 4 to 14; Articles 16, 17, 19, 22, 23, 25, 27 to 41, 46 and 47; Articles 48 to 51, 53, 54 and 55; Articles 59, 60, 64 and Articles 65 to 83; Articles 88 to 92; and failure to cooperate or comply with Article 94 investigations, inspections, or requests.
Keep request inventories, investigation or inspection correspondence, document-production owners, legal-review notes, deadlines, preservation holds, and source URLs together with the related Article 94 authority-powers file.
For the Article 59 to 83 route, connect evidence to Article 60 notification, Article 62 application, Article 64 withdrawal-risk monitoring, Article 65 cross-border services, Article 66 conduct, Article 67 prudential safeguards, Article 70 safeguarding, Article 73 outsourcing, Article 75 custody, and service-specific records.
For Articles 88 to 92, preserve disclosure files, inside-information controls, insider-dealing controls, unlawful-disclosure logs, market-manipulation reviews, surveillance alerts, suspicious-order or transaction records, and competent-authority reporting ownership.
Track public statements, cease-and-desist orders, withdrawal or suspension references, management-function ban notes, own-account dealing restrictions, disgorgement or fine references, and Member State source material without converting them into advice or outcome predictions.
Link any Article 111 review to management-body minutes, incident records, remediation owners, communications approvals, vendor evidence, client-impact notes, complaints logs, and unresolved questions for external counsel or competent-authority review.
Article 111 covers administrative penalties and other administrative measures that Member States provide to competent authorities for listed MiCA infringements and Article 94 cooperation failures, without prejudice to criminal penalties and supervisory or investigative powers.
It connects enforcement consequences to records CASPs already need for authorisation, conduct, prudential safeguards, custody, service operations, market-abuse controls, and competent-authority response files.
No. It only helps organize source-backed evidence and handoffs. Any formal assessment of penalties, measures, infringement status, supervisory response, or legal position requires qualified review and competent-authority context.