

                  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) (revoked) 

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CHAPTER I
GENERAL PROVISIONS
Subject matter
Article 1 
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Scope
Article 2 
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Definitions
Article 3 
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CHAPTER II
THE DESIGN OF THE AUCTIONS
Auctioned products
Article 4 
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Auction format
Article 5 
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Submission and withdrawal of bids
Article 6 
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Auction clearing price and resolution of tied bids
Article 7 
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CHAPTER III
AUCTION CALENDAR
Timing and frequency
Article 8 
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                  Circumstances preventing the conduct of auctions
               
Article 9 
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Annual volumes of the auctioned allowances covered by Chapter III of Directive 2003/87/EC
Article 10 
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                  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
               
Article 11 
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                  Annual volumes of auctioned allowances covered by Chapter II of Directive 2003/87/EC
               
Article 12 
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                  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
               
Article 13 
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Adjustments of the auction calendar
Article 14 
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CHAPTER IV
ACCESS TO THE AUCTIONS

                  Persons who may submit bids directly in an auction
               
Article 15 
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Means of access
Article 16 
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                  Training and helpline
               
Article 17 
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Persons eligible to apply for admission to bid
Article 18 
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Requirements for admission to bid
Article 19 
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Submission and processing of applications for admission to bid
Article 20 
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Refusal, revocation or suspension of admission
Article 21 
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CHAPTER V
APPOINTMENT OF THE AUCTIONEER AND ITS FUNCTIONS
Appointment of the auctioneer
Article 22 
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                  The auctioneer's functions
               
Article 23 
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CHAPTER VI

               APPOINTMENT OF THE AUCTION MONITOR AND ITS FUNCTIONS
            

                  Auctioning of allowances for the Innovation Fund and the Modernisation Fund
               
Article 24 
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                  Procedure for cancellation of allowances pursuant to Article 12(4) of Directive 2003/87/EC
               
Article 25 
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CHAPTER VII
APPOINTMENT OF AN AUCTION PLATFORM BY MEMBER STATES PARTICIPATING IN A JOINT ACTION WITH THE COMMISSION AND ITS FUNCTIONS
Appointment of an auction platform through joint action of the Member States with the Commission
Article 26 
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Functions of the auction platform appointed pursuant to Article 26(1)
Article 27 
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                  Functions of the auction platform appointed pursuant to Article 26(2)
               
Article 28 
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                  Services provided to the Commission by the auction platforms appointed pursuant to Article 26(1)
               
Article 29 
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CHAPTER VIII
APPOINTMENT OF AUCTION PLATFORMS BY MEMBER STATES OPTING TO HAVE THEIR OWN AUCTION PLATFORM AND THEIR FUNCTIONS

                  Appointment of any auction platform other than an auction platform appointed pursuant to Article 26(1)
               
Article 30 
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                  Functions of auction platforms other than the auction platforms appointed pursuant to Article 26(1)
               
Article 31 
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                  Auction calendar for any auction platform other than the auction platforms appointed pursuant to Article 26(1)
               
Article 32 
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                  Review of this Regulation
               
Article 33 
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CHAPTER IX

               APPOINTMENT REQUIREMENTS APPLICABLE TO THE AUCTIONEER AND ANY AUCTION PLATFORM
            

                  Appointment requirements applicable to the auctioneer
               
Article 34 
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Appointment requirements applicable to any auction platform
Article 35 
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CHAPTER X

               REPORTING ON TRANSACTIONS
            

                  Obligation to report transactions
               
Article 36 
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                  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
               
Article 37 
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                  Prohibition of insider dealing
               
Article 38 
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                  Other prohibited uses of inside information
               
Article 39 
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                  Other persons covered by the prohibition of inside dealing
               
Article 40 
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                  Prohibition of market manipulation
               
Article 41 
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                  Specific requirements to mitigate the risk of market abuse
               
Article 42 
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                  Supervision and enforcement
               
Article 43 
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CHAPTER XI
PAYMENT AND TRANSFER OF THE AUCTION PROCEEDS
Payment by successful bidders and transfer of proceeds to the Member States
Article 44 
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Consequences of late or non-payment
Article 45 
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CHAPTER XII
DELIVERY OF THE AUCTIONED ALLOWANCES

                  Transfer of the auctioned allowances
               
Article 46 
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Delivering the auctioned allowances
Article 47 
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Late delivery of the auctioned allowances
Article 48 
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CHAPTER XIII
MANAGEMENT OF COLLATERAL
Collateral given by the bidder
Article 49 
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Collateral given by the auctioneer
Article 50 
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CHAPTER XIV
FEES AND COSTS
Structure and level of fees
Article 51 
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Costs of the auction process
Article 52 
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CHAPTER XV
AUCTION SURVEILLANCE, REMEDIAL MEASURES AND SANCTIONS

                  Monitoring of auctions
               
Article 53 
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                  Monitoring the relationship with bidders
               
Article 54 
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                  Notification of money laundering, terrorist financing or criminal activity
               
Article 55 
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Notification of market abuse
Article 56 
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Maximum bid-size and other remedial measures
Article 57 
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                  Market conduct rules or any other contractual arrangements
               
Article 58 
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Conduct rules for other persons authorised to bid on behalf of others pursuant to Article 18(1)(b) and (c) and Article 18(2)
Article 59 
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CHAPTER XVI
TRANSPARENCY AND CONFIDENTIALITY
Publication
Article 60 
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Announcement and notification of the auction results
Article 61 
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Protection of confidential information
Article 62 
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Language regime
Article 63 
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CHAPTER XVII
FINAL PROVISIONS

                  Right of appeal
               
Article 64 
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Correction of errors
Article 65 
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Entry into force
Article 66 
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ANNEX I

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

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

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

2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

14. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

15. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

16. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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)
               

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ANNEX IV

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

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