Reporting-channel inventory
Preserve public and internal reporting-channel URLs, intake owners, accepted formats, routing assumptions, source URLs, retrieval dates, and Article 93 competent-authority routing notes where relevant.
What Article 116 changes operationally
Infringement-reporting evidence: the ESMA Interactive Single Rulebook title for Regulation (EU) 2023/1114 Article 116 is “Reporting of infringements and protection of reporting persons.” A public MiCA article mirror states that Directive (EU) 2019/1937 applies to the reporting of infringements of MiCA and the protection of persons reporting such infringements.
For CASP operating teams, the practical issue is not to promise a protected outcome. It is to make the reporting route, handler ownership, confidentiality boundary, personal-data boundary, non-retaliation control, escalation record, and supervisory-evidence handoff easy to review when an infringement report touches MiCA obligations.
This page is an evidence-preparation checklist. It is not a legal interpretation, whistleblowing-procedure instruction, reporting instruction, employment-law assessment, supervisory-response instruction, provider endorsement, broker recommendation, or assurance about any report, reporter, protection status, infringement, authority response, internal process, or fact pattern.
Article 116 evidence matrix
Directive 2019/1937 handoff
Track the Directive reference, internal whistleblowing-policy owner, employment or contractor scope questions, external-advice needs, and unresolved legal-review assumptions without turning the page into a procedure manual.
Reporter-protection controls
Map confidentiality handling, access restrictions, non-retaliation control owners, conflicts checks, acknowledgement or follow-up logs where applicable, and evidence-retention boundaries.
MiCA infringement context
Link the reported issue to the relevant MiCA article route, service or activity, source materials, investigation owner, Article 94 authority-response file, and Article 111 penalty-risk evidence.
Privacy and secrecy boundaries
Connect reporter identity fields, personal-data minimisation, professional-secrecy context, legal-review gates, Article 100 secrecy notes, and Article 101 data-protection maps.
Governance and escalation trail
Record management-body escalation, independent-review ownership, remediation actions, appeal or publication handoffs where relevant, and Article 112/114/115 supervisory evidence links.
Review-ready tracker
- Report route: channel source, intake owner, report date, MiCA article route, competent-authority touchpoint where relevant, and source URLs.
- Protection boundary: Directive (EU) 2019/1937 reference, reporter category assumptions, confidentiality owner, non-retaliation controls, and legal-review status.
- Evidence file: allegation summary, supporting records, investigation owner, access log, remediation status, and unresolved external-review questions.
- Supervisory handoffs: Article 94 response files, Article 100/101 privacy and secrecy notes, Article 111 penalty route, Article 114 publication context, and Article 115 reporting context.
FAQ
What does MiCA Article 116 cover?
Article 116 is titled “Reporting of infringements and protection of reporting persons.” Public Article 116 text states that Directive (EU) 2019/1937 applies to reports of infringements of MiCA and protection of persons reporting such infringements.
Why is Article 116 relevant to CASP diligence?
It turns infringement reports into an evidence-governance problem: reporting channels, confidentiality, non-retaliation controls, personal-data boundaries, investigation ownership, remediation records, and supervisory handoffs.
Does this page decide whether a reporter is protected?
No. It only helps organize conservative, source-backed evidence and handoffs. Reporter status, protection, employment-law issues, confidentiality duties, and supervisory responses require qualified review.