Request for cooperation or exchange of information

Reference number:

Date:

General information

FROM:

Member State:

Requesting Authority:

Address:

(Contact details of the contact point)

Name:

Telephone:

Email:

TO:

Member State:

Requested Authority:

Address:

(Contact details of the contact point)

Name:

Telephone:

Email:

Dear [insert appropriate name]

In accordance with Article(s) [80/81 (1)] of Directive 2014/65/EU your input is sought in relation to the matter(s) set out in further detail below.

I would be grateful to receive a response to the above request by [insert indicative date for the reply and in case of an urgent request insert deadline for the information to be provided by] or, if that is not possible, for an indication as to when you anticipate being in a position to provide the assistance which is sought.

(1) Please insert relevant Article of Directive 2014/65/EU.

Type of request

Please tick the appropriate box(es)

Supervisory Activities (provision of information, taking of a statement, other)

Investigation

On-site verification

Reasons for the request

[insert provision(s) of the sectoral legislation under which the requesting authority is competent to deal with the matter]

The request concerns cooperation or exchange of information on

[insert description of the subject matter of the request, the purpose for which the cooperation or exchange of information is sought, facts underlying the investigation which form the basis of the request and explanation for its helpfulness]

Further to

[if applicable, insert details of the previous request in order to enable it to be identified]

Supervisory Activities (provision of information, taking of a statement)

(a) Please provide a detailed description of the specific information sought with reasons why that information will be of assistance and, if known, a list of the persons considered possessing the information sought or the places where such information may be obtained.

(b) If the request concerns information relating to a transaction or order in a specific financial instrument, please provide the following information.

Product ID:

[insert precise description of the financial instrument, including the ISIN code]

Person ID:

[insert the identity of any person connected with the transaction or order, including a person dealing in the financial instrument or on whose behalf the dealing is considered to have taken place]

Dates:

[insert the dates between which transactions or orders in those financial instruments took place including in the case of a significant period of time, reasons why the entirety of the time period is beneficial]

(c) If the request concerns information relating to the business or activities of a person, please provide information as precise as possible to enable that person to be identified.

(d) If there are special considerations on the sensitivity of the information sought, please provide an indication of the sensitivity of the information contained in the request and any special precautions that have to be taken in collecting the information due to investigatory considerations.

(e) Please provide any additional information.

[Whether the requesting authority has been or will be in contact with any other authority or law enforcement agency in our Member State in relation to the subject matter of the request or any other authority which the requesting authority is aware that has an active interest in the subject matter of the request]

(f) In case of an urgent request and the setting of any deadlines, please provide full explanation of the urgency of the request and an explanation of any deadlines that the requesting authority has asked for the information to be provided by.

Taking of a statement

Please indicate:

(a) Statement under: oath /affirmation

(b) Need and purpose of the taking of a statement:

(c) Name of person(s) from whom the statement is to be obtained:

[insert details of the persons from which the statement will be taken to enable the requested authority to begin the summoning process where applicable]

(d) Detailed description of the information sought, including a preliminary list of questions (if available at the time of the request).

(e) Any additional information which may be useful:

[Whether the requesting authority’s staff is requesting participation in the taking of the statement, details of the participating officials of the requesting authority, where appropriate, description of any legal and procedural requirements that must be complied with to ensure the admissibility of statements made in the interview in the jurisdiction of the requesting’s authority]

On-site verification or investigation

If the request concerns an on-site verification or investigation on behalf of the requesting authority, please provide information to enable the requested authority to assess whether it may have an interest in entering into a joint investigation, including the requesting authority’s proposal for the verification or investigation, its reasoning and the benefits to the requested authority.

[including all relevant information required by the requested authority to enable the latter to provide the necessary assistance, as appropriate]

[Insert any necessary confidentiality warnings or any necessary restrictions on the permissible uses of information (in compliance with Union law)].

Yours sincerely,

[signature]