ANNEX I
Form for a request for assistance
Request for assistance
Reference number:
Date:
Annexes: [Specify the number of documents/supporting documents attached]
General information
FROM:
Member State:
Requesting Authority:
Legal address:
[Insert the contact details of the contact point designated pursuant to Article 2 of Commission Implementing Regulation (EU) 2018/292, or the person designated as contact point for dealing with this request and identified below]
Name:
Telephone:
Email:
TO:
Member State:
Requested Authority:
Legal address:
[Insert the contact details of the contact point designated pursuant to Article 2 of Commission Implementing Regulation (EU) 2018/292]
Name:
Telephone:
Email:
Dear [Insert appropriate name]
In accordance with Article 3 of Commission Implementing Regulation (EU) 2018/292, your 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.
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
4. On-site inspection
5. On recovery of sanctions
6. Other type of assistance
(e.g. freezing or sequestration of assets, authorisation for other use or onward disclosure…)
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 relating to the investigation as contextual information for the request and explanation for its helpfulness for fulfilling its duties]
Further to
[If applicable, insert details of the previous request in order to enable it to be identified]
1. Provision of information
(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 any applicable identification standard code such as the ISIN code or the AII]
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, and any applicable identification code, such as LEI code or client Id code under Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012]
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 the Member State of the requested authority 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.
2. Taking of a statement
Please indicate:
(a) Nature of the statement sought:
[Insert indication of preference, if any, as to the nature of the statement sought, e.g. affirmation or other legal instructions; on a voluntary or compelled basis if applicable]
(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, including where relevant the person’s position and the company, to enable the requested authority to begin organising the taking of the statement including 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]
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 investigation, its reasoning and the perceived benefits to the requested authority.
[Including all relevant information required by the requested authority to enable the latter 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 inspection, its reasoning and the perceived benefits to the requested authority.
[Including all relevant information required by the requested authority to enable the latter to provide the necessary assistance by opening an on-site inspection or a joint inspection, as appropriate]
The information included in this request shall be kept confidential in accordance with Article 11 of Commission Implementing Regulation (EU) 2018/292 and Article 27 of Regulation (EU) No 596/2014. The requirements of Article 28 of Regulation (EU) No 596/2014 shall be observed with respect to any personal data included in this request.
Your contact for any queries you might have in relation to any aspects of this request is [Insert relevant contact name and contact details: telephone, email]
Yours sincerely,
[Name and signature]