Reference number:

Date:

General information

FROM:

Member State:

Requesting Authority:

Legal address:

(Contact details of the designated contact person)

Name:

Telephone:

Email:

TO:

Member State:

Requested Authority:

Legal address:

(Contact details of the designated contact person)

Name:

Telephone:

Email:

Dear [insert appropriate name]

In accordance with Article 1(3) of the Commission Implementing Regulation (EU) 2017/988 (1) your urgent [delete if appropriate] assistance is sought in relation to the matter(s) set out in further detail below

I would be grateful for the above assistance 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) Commission Implementing Regulation (EU) 2017/988 of 6 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for cooperation arrangements in respect of a trading venue whose operations are of substantial importance in a host Member State (OJ L 149, 13.6.2017, p. 3).

Type of request for assistance

Please tick the appropriate box(es)

(1) Provision of information

(2) Taking of a statement

(3) Opening of an investigation or a joint-investigation

(4) On-site inspection

(5) Other

Background and reasons for the request for assistance

[insert provision(s) of the sectoral legislation under which the Requesting Authority is competent to deal with the matter

The request concerns assistance in

[insert description of the subject matter of the request, the purpose for which the assistance 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]

1. Provision of information

(a) Description [For reasons of consistency, it is suggested to separate the headings of sub-section from the instructions (in italics) for filling out those sub-sections.]

[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) Identification of the financial instruments concerned

[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) Persons concerned

[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) Special sensitivity

[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) Additional information.

[Whether the Requesting Authority has been or will be in contact with any other Authority or law enforcement agency in relation to the subject matter of the request or any other Authority which the Requesting Authority is aware of that has an active interest in the subject matter of the request.]

(f) Urgency

[In case of an urgent request and the setting of any deadlines, please provide a 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.]

2. Taking of a statement

(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) Additional information:

[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 Authority.]

3. The opening of an investigation or a joint-investigation

[If the request concerns the opening of an 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 joint investigation, its reasoning and the perceived benefits to the Requested Authority. Please include all relevant information required to enable the Requested Authority to provide the necessary assistance by opening an investigation or a joint investigation, as appropriate.]

4. The opening of an on-site inspection or a joint inspection

[If the request concerns the opening of an on-site inspection 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 on-site inspection, including the Requesting Authority’s proposal for the joint on-site inspection, its reasoning and the perceived benefits to the Requested Authority. Please include all relevant information required to enable the Requested Authority to provide the necessary assistance by opening an on-site inspection or a joint on-site inspection, as appropriate.]

5. Confidentiality restrictions and permissible use of information

[Insert any necessary confidentiality warnings or any necessary restrictions on the permissible uses of information (provided those restrictions are compliant with Union law).]

Yours sincerely,

[signature]