Knowledge Base
Report suspicious transactions in accordance with regulatory obligations
Which tool is used to submit a STOR report by entities that do not have a ROSA account?
Entities without a ROSA account must use the Sesterce tool with a PDF form that complies with the regulatory template. This tool ensures that all necessary information is structured and correctly transmitted to the AMF.
What is the minimum archiving period for documents related to STOR reports?
All reports submitted or not, as well as the information that enabled detection and the reasons for closure, must be archived for five years. This period allows for responding to any subsequent control or audit requests.
What is the main legal basis for the obligation to report suspicious transactions in Europe?
The obligation to report suspicious transactions is based on Article 16 of the MAR Regulation, as specified in Delegated Regulation (EU) 2016/957, also known as 'RD STOR'. This regulatory framework applies to market operators and other professional entities to ensure transparency and combat market abuse.
The submission deadline for a STOR report can be postponed to include other suspicious transactions identified subsequently.
The regulation expressly prohibits postponing the submission to incorporate other suspicious transactions. The transmission must be carried out without delay once the documentation of the reasons for reporting is sufficient. This rule aims to ensure the promptness and effectiveness of reporting.
Retrospective reports are prohibited even if they are justified by subsequent events.
Retrospective reports are permitted when suspicions arise after the suspicious activity due to subsequent events. However, they must be justified by the declarant. This flexibility allows for adaptation to complex situations where indicators are not immediately apparent.
Categorize items by dragging them to the appropriate zones
Items to categorize:
Regulatory obligations
Declarant protection
Regulatory obligations concern legal requirements such as deadlines and report content. Declarant protection covers the guarantees offered to entities that report in good faith, such as immunity from prosecution.
Among the following entities, which one is NOT subject to the obligation to report suspicious transactions under RD STOR?
The scope of the reporting obligation covers investment service providers, portfolio management companies, branches of foreign institutions, and non-financial companies trading on their own account. Individuals are not included in this obligation, which applies only to professional participants.
Address for submitting a STOR report via ROSA?
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Entities with a ROSA account, such as French investment service providers, must submit their reports via the ROSA extranet accessible at rosa.amf-france.org. This platform is specific to French participants and facilitates the secure transmission of information.