Updated 18/09/2024
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Article 3 - Standard forms to be used for information exchange regarding investment firms operating through a branch

Article 3

Standard forms to be used for information exchange regarding investment firms operating through a branch

1.   Information referred to in Articles 2 to 4 and Article 7 of Delegated Regulation (EU) 2023/1117 shall be exchanged using the template and form set out in the Annex.

2.   Information and findings about any potential problems and risks posed by the branch or its activities in the host Member State having significant impact on the protection of clients or the stability of the financial system in the host Member State shall be provided by the competent authorities of the host Member State in the form deemed appropriate by those authorities.

3.   Information referred to in Article 8 of Delegated Regulation (EU) 2023/1117 and information regarding the application of supervisory or other administrative measures or administrative sanctions as referred to in Article 1(2) of this Regulation shall be provided in the form deemed appropriate by the competent authority that provides the information.