Market Abuse Reports
Dear European Securities and Markets Authority,
Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I am requesting documents which contain the following information:
To whom it may concern:
Could I please request all information provided and held by ESMA in regard to Market Abuse Reports ( Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (Market Abuse Regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC, OJ L 173, 12.6.2014, p. 1-61), specifically from November 1, 2020 to present day ( October, 11, 2022) for the trade tickers AMC (AMC Entertainment Holdings Inc, NYSE,(ISIN: US00165C1045)), APE (AMC Entertainment Hldg Pref Equity Units Depositary Share Rep 1 100th Int Convertible Prf Shs Series A
NYSE: APE ISIN: US00165C2035)) & GME ( GameStop Corp.
NYSE: GME (ISIN: US36467W1099)). Please also include any failed trade data or market abuse data that may of been provided via MiFIR for the above ISINs.
Thank you,
Bryan
Dear Bryan James,
We acknowledge receipt of your request and will get back to you in due course.
With kind regards
Enrico Gagliardi
Dear Bryan James,
We would like to refer you to the request you sent to ESMA on 12 October
2022.
In particular you requested the following: “[…] all information provided
and held by ESMA in regard to Market Abuse Reports ( Regulation (EU) No
596/2014 of the European Parliament and of the Council of 16 April 2014 on
market abuse (Market Abuse Regulation) and repealing Directive 2003/6/EC
of the European Parliament and of the Council and Commission Directives
2003/124/EC, 2003/125/EC and 2004/72/EC, OJ L 173, 12.6.2014, p. 1-61),
specifically from November 1, 2020 to present day ( October, 11, 2022) for
the trade tickers AMC (AMC Entertainment Holdings Inc, NYSE,(ISIN:
US00165C1045)), APE (AMC Entertainment Hldg Pref Equity Units Depositary
Share Rep 1 100th Int Convertible Prf Shs Series A
NYSE: APE ISIN: US00165C2035)) & GME ( GameStop Corp.
NYSE: GME (ISIN: US36467W1099)). Please also include any failed trade data
or market abuse data that may of been provided via MiFIR for the above
ISINs.”
Against this background and in relation to your request to receive
information provided to and held by ESMA in relation to Market Abuse
Reports pursuant to Regulation (EU) No 596/2014, we understand this as
referring to Suspicious Transaction Order Reports. In this respect, please
be informed that ESMA does not possess such information. Equally, ESMA
does not possess information relating to “failed trade data” possibly
provided via Regulation (EU) No 600/2014.
Finally, in relation to your interest to also receive “market abuse data”
and with the aim to properly address your request, we would like to ask
you to better clarify this notion and indicate what kind of data you are
referring to.
Please note that, pending your response on this last point, the deadline
for responding to this part of your request is put on hold.
With kind regards
Enrico Gagliardi
Dear Enrico Gagliardi,
Thank you for the response.
Any data that was created by, collected and /or provided to ESMA in relation to any suspected, alleged, discussed, reports of, or investigation into market manipulation involving the companies listed during said time period.
Yours sincerely,
Bryan James
Dear Bryan James,
We acknowledge receipt of your clarification and will get back to you in due course.
With kind regards
Enrico Gagliardi
Dear Bryan James,
We are writing with reference to the outstanding point of the request you sent to ESMA on 12 October 2022, as further clarified by you on 21 October.
Further to such clarification, we can confirm that ESMA does not possess the requested information or any relevant documents in this respect.
Kind regards,
Enrico Gagliardi