Penalty-publication file
Preserve the Article 111 route, decision date, informed-person timestamp, official website URL, retrieval date, type and nature of infringement, responsible person identity fields, and Article 94 response-file links.
What Article 114 changes operationally
Publication of decisions: the ESMA Interactive Single Rulebook text for Regulation (EU) 2023/1114 Article 114 says decisions imposing administrative penalties and other administrative measures under Article 111 shall be published by competent authorities on official websites without undue delay after the person subject to the decision has been informed.
Article 114 says publication includes at least the type and nature of the infringement and the identity of responsible natural or legal persons, while investigatory measures need not be published. It also provides routes to defer publication, publish on an anonymous basis, or not publish where proportionality, personal data, investigations, financial-market stability, or minor-measure considerations apply.
The article also says competent authorities publish appeal information immediately where a penalty or measure is under appeal, publish subsequent appeal outcomes and annulments, and keep Article 114 publications on official websites for at least five years, with personal data kept only as necessary under applicable data-protection rules.
This page is an evidence-preparation checklist. It is not a legal interpretation, publication instruction, anonymisation determination, data-protection assessment, appeal strategy, enforcement-risk determination, provider endorsement, broker recommendation, or assurance about any firm, authority decision, appeal, publication, personal-data field, investigation, or fact pattern.
Article 114 evidence matrix
Deferral or anonymous-publication record
Track proportionality assessment notes, personal-data concerns, ongoing-investigation risk, national-law basis for anonymous publication, deferred-publication reason, review date, and external-review owner.
Non-publication rationale
Where publication is not made, keep source-backed notes on why deferral or anonymous publication was considered insufficient, including financial-market-stability or minor-measure proportionality context where relevant.
Appeal and annulment updates
Connect Article 113 appeal records to the Article 114 publication: appeal status, court or administrative-body route, official update URL, outcome record, annulment publication if relevant, and subsequent retrieval dates.
Five-year website archive
Maintain publication start date, expected retention window, snapshot or archive references, removal or correction logs, and personal-data retention assumptions tied to applicable data-protection rules.
Governance and privacy bridge
Link publication records to Article 100 professional-secrecy boundaries, Article 101 data-protection maps, legal-review gates, communications archives, and board or management-body escalation notes.
Review-ready tracker
- Decision context: article route, competent authority, affected person, informed-date evidence, decision text, infringement type and nature, and internal response owner.
- Publication state: official website URL, publication date, retrieval date, identity fields shown, deferral/anonymisation/non-publication rationale, and review schedule.
- Appeal state: appeal route, under-appeal status, subsequent outcome, annulment record where relevant, and Article 113 evidence-file link.
- Retention and privacy: five-year publication tracking, personal-data necessity notes, Article 100/101 handoffs, source URLs, retrieval dates, and unresolved external-review questions.
FAQ
What does MiCA Article 114 cover?
Article 114 covers publication of decisions imposing Article 111 administrative penalties or other administrative measures, including publication content, deferral or anonymous-publication routes, appeal updates, annulments, and website-retention expectations.
Why is Article 114 relevant to CASP diligence?
It turns enforcement-publication events into recordkeeping: official website URLs, retrieval dates, publication or non-publication rationale, appeal updates, identity/personal-data boundaries, and governance handoffs.
Does this page decide whether a decision should be published or anonymised?
No. It only helps organize source-backed evidence and handoffs. Publication, anonymisation, deferral, non-publication, appeal, and personal-data decisions depend on competent-authority action, national law, data-protection rules, and qualified review.