Article 4
Transmission of notifications between competent authorities
1. Competent authorities shall designate a single contact point for the communication and transmission of the information and documents referred to in Article 3. Competent authorities shall notify the details of that contact point, and any modification of that contact point, to every other competent authority.
2. Competent authorities shall ensure that their designated email address or other communication channel for receiving notifications is monitored each working day.
3. Competent authorities shall send the information and documents referred to in Article 3 by email or, if other communication channels are chosen, in a machine-readable format to the contact point referred to in paragraph 1.
4. The communication and transmission of the information and documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC shall not be considered to have taken place in any of the following cases:
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(a) |
an information or documentation that had to be communicated or transmitted is missing, is incomplete, or is in a format other than that specified in paragraph 3; |
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(b) |
the competent authorities of a management company’s or of a UCITS home Member State did not use the contact point designated in accordance with paragraph 1 by the competent authority of the UCITS or management company’s host Member State; |
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(c) |
the competent authorities of a management company’s or of a UCITS home Member State have failed to transmit the complete information and documentation as a result of a technical failure in their electronic system. |
5. Competent authorities of the management company’s or of the UCITS home Member State shall notify the management company about the transmission of the complete information or documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC only after having ensured that that information or documentation has been transmitted to the receiving competent authority.
6. Competent authorities of the management company’s or the UCITS home Member State that have been informed or have become aware that the complete information or documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC has not been transmitted shall immediately take steps to transmit that complete information and documentation.