Article 6 | Delegated Regulation 2022/803

Updated 22/10/2024

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Article 6 - Access to the file and use of documents

Article 6

Access to the file and use of documents

1. Upon request, ESMA shall grant access to the file to the person subject to the investigation to whom the investigation officer or ESMA has sent a statement of findings. Access shall be granted following the notification of any statement of findings.

2. File documents accessed shall be used by the person referred to in paragraph 1 only for the purposes of judicial or administrative proceedings concerning the application of Regulation (EU) No 600/2014.

Recitals Article 1 - Definition Article 2 - Rules of procedure in infringement proceedings before the investigation officer Article 3 - Rules of procedure in infringement proceedings before ESMA with regard to fines and supervisory measures Article 4 - Rules of procedure in infringement proceedings before ESMA with regard to periodic penalty payments Article 5 - Rules of procedure for interim decisions on supervisory measures Article 6 - Access to the file and use of documents Article 7 - Limitation periods for the imposition of fines and periodic penalty payments Article 8 - Limitation periods for the enforcement of penalties Article 9 - Collection of fines and periodic penalty payments Article 10 - Entry into force and date of application

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Article 6 - Access to the file and use of documents

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