Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a system for greenhouse gas emission allowances trading within the Union (Text with EEA relevance) (c. 1031)

1. Introductory Text

2. CHAPTER I GENERAL PROVISIONS

   1. Article 1. Subject matter

   2. Article 2. Scope

   3. Article 3. Definitions

3. CHAPTER II THE DESIGN OF THE AUCTIONS

   1. Article 4. Auctioned products

   2. Article 5. Auction format

   3. Article 6. Submission and withdrawal of bids

   4. Article 7. Auction clearing price and resolution of tied bids

4. CHAPTER III AUCTION CALENDAR

   1. Article 8. Timing and frequency

   2. Article 9. Circumstances preventing the conduct of auctions

   3. Article 10. Annual volumes of the auctioned allowances covered by Chapter III of Directive 2003/87/EC

   4. Article 11. Calendar for individual auctions of allowances covered by Chapter III of Directive 2003/87/EC auctioned by auction platforms appointed pursuant to Article 26(1) of this Regulation

   5. Article 12. Annual volumes of auctioned allowances covered by Chapter II of Directive 2003/87/EC

   6. Article 13. Calendar for individual auctions of allowances covered by Chapter II of Directive 2003/87/EC auctioned by auction platforms appointed pursuant to Article 26(1) of this Regulation

   7. Article 14. Adjustments of the auction calendar

5. CHAPTER IV ACCESS TO THE AUCTIONS

   1. Article 15. Persons who may submit bids directly in an auction

   2. Article 16. Means of access

   3. Article 17. Training and helpline

   4. Article 18. Persons eligible to apply for admission to bid

   5. Article 19. Requirements for admission to bid

   6. Article 20. Submission and processing of applications for admission to bid

   7. Article 21. Refusal, revocation or suspension of admission

6. CHAPTER V APPOINTMENT OF THE AUCTIONEER AND ITS FUNCTIONS

   1. Article 22. Appointment of the auctioneer

   2. Article 23. The auctioneer's functions

7. CHAPTER VI APPOINTMENT OF THE AUCTION MONITOR AND ITS FUNCTIONS

   1. Article 24. Auctioning of allowances for the Innovation Fund and the Modernisation Fund

   2. Article 25. Procedure for cancellation of allowances pursuant to Article 12(4) of Directive 2003/87/EC

8. CHAPTER VII APPOINTMENT OF AN AUCTION PLATFORM BY MEMBER STATES PARTICIPATING IN A JOINT ACTION WITH THE COMMISSION AND ITS FUNCTIONS

   1. Article 26. Appointment of an auction platform through joint action of the Member States with the Commission

   2. Article 27. Functions of the auction platform appointed pursuant to Article 26(1)

   3. Article 28. Functions of the auction platform appointed pursuant to Article 26(2)

   4. Article 29. Services provided to the Commission by the auction platforms appointed pursuant to Article 26(1)

9. CHAPTER VIII APPOINTMENT OF AUCTION PLATFORMS BY MEMBER STATES OPTING TO HAVE THEIR OWN AUCTION PLATFORM AND THEIR FUNCTIONS

   1. Article 30. Appointment of any auction platform other than an auction platform appointed pursuant to Article 26(1)

   2. Article 31. Functions of auction platforms other than the auction platforms appointed pursuant to Article 26(1)

   3. Article 32. Auction calendar for any auction platform other than the auction platforms appointed pursuant to Article 26(1)

   4. Article 33. Review of this Regulation

10. CHAPTER IX APPOINTMENT REQUIREMENTS APPLICABLE TO THE AUCTIONEER AND ANY AUCTION PLATFORM

    1. Article 34. Appointment requirements applicable to the auctioneer

    2. Article 35. Appointment requirements applicable to any auction platform

11. CHAPTER X REPORTING ON TRANSACTIONS

    1. Article 36. Obligation to report transactions

    2. Article 37. Definitions for market abuse regime applicable to auctioned products other than financial instruments within the meaning of Article 1(3) of Directive 2003/6/EC

    3. Article 38. Prohibition of insider dealing

    4. Article 39. Other prohibited uses of inside information

    5. Article 40. Other persons covered by the prohibition of inside dealing

    6. Article 41. Prohibition of market manipulation

    7. Article 42. Specific requirements to mitigate the risk of market abuse

    8. Article 43. Supervision and enforcement

12. CHAPTER XI PAYMENT AND TRANSFER OF THE AUCTION PROCEEDS

    1. Article 44. Payment by successful bidders and transfer of proceeds to the Member States

    2. Article 45. Consequences of late or non-payment

13. CHAPTER XII DELIVERY OF THE AUCTIONED ALLOWANCES

    1. Article 46. Transfer of the auctioned allowances

    2. Article 47. Delivering the auctioned allowances

    3. Article 48. Late delivery of the auctioned allowances

14. CHAPTER XIII MANAGEMENT OF COLLATERAL

    1. Article 49. Collateral given by the bidder

    2. Article 50. Collateral given by the auctioneer

15. CHAPTER XIV FEES AND COSTS

    1. Article 51. Structure and level of fees

    2. Article 52. Costs of the auction process

16. CHAPTER XV AUCTION SURVEILLANCE, REMEDIAL MEASURES AND SANCTIONS

    1. Article 53. Monitoring of auctions

    2. Article 54. Monitoring the relationship with bidders

    3. Article 55. Notification of money laundering, terrorist financing or criminal activity

    4. Article 56. Notification of market abuse

    5. Article 57. Maximum bid-size and other remedial measures

    6. Article 58. Market conduct rules or any other contractual arrangements

    7. Article 59. Conduct rules for other persons authorised to bid on behalf of others pursuant to Article 18(1)(b) and (c) and Article 18(2)

17. CHAPTER XVI TRANSPARENCY AND CONFIDENTIALITY

    1. Article 60. Publication

    2. Article 61. Announcement and notification of the auction results

    3. Article 62. Protection of confidential information

    4. Article 63. Language regime

18. CHAPTER XVII FINAL PROVISIONS

    1. Article 64. Right of appeal

    2. Article 65. Correction of errors

    3. Article 66. Entry into force

19. Signature

20. 1. ANNEX I

       Template for the notification of voluntary cancellation by a Member State under Article 12(4) of Directive 2003/87/EC

    2. ANNEX II

       List of the elements referred to in Article 20(3)

       1. 1. Proof of eligibility pursuant to Article 18(1) or (2).

       2. 2. The applicant’s name, address, telephone and facsimile numbers.

       3. 3. The account identifier of the applicant’s nominated holding account.

       4. 4. Full details of the applicant’s nominated bank account.

       5. 5. The name, address, telephone and facsimile numbers, as well as...

       6. 6. For legal persons, proof of:

       7. 7. For legal persons and/or legal arrangements, such information as is...

       8. 8. For natural persons, proof of their identity, by means of...

       9. 9. For operators, the permit referred to in Article 4 of...

       10. 10. For aircraft operators, proof of their being listed pursuant to...

       11. 11. Such information as is required to carry out the customer...

       12. 12. The applicant’s latest audited annual report and accounts including the...

       13. 13. The VAT registration number, if any, and, where the applicant...

       14. 14. A statement that, to the best of the applicant’s knowledge,...

       15. 15. Proof of compliance with the requirements of Article 19(2)(g).

       16. 16. Proof that the applicant satisfies the requirements of Article 19(3)....

       17. 17. A statement that the applicant has the necessary legal capacity...

       18. 18. A statement that to the best of the applicant’s knowledge...

       19. 19. A statement of whether the applicant proposes to pay in...

    3. ANNEX III

       Auction platforms other than those appointed pursuant to Article 26(1), their appointing Member States and any applicable conditions or obligations referred to in Article 30(7)

    4. ANNEX IV

       Adjustments to the volumes of allowances (in million) to be auctioned in 2013-2020 referred to in Article 10(2)

       1. . . . . . . . . . ....