ANNEX IV
Form for a request for ESMA to coordinate an on-site inspection or investigation with cross-border effect pursuant to Article 32(2) of Regulation (EU) 2020/1503
Request for coordination of an on-site inspection or investigation with cross-border effect
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Reference number: Date: General information FROM: Member State: Requesting competent authority: Address: (Contact details of the contact point): Name: Telephone: Email: TO: European Securities and Markets Authority (ESMA) (Contact details of the contact point): Name: Telephone: Email: Information on the request for coordination 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 the coordination of an on-site inspection or investigation with cross-border effect on … … … … … [insert description of the subject-matter of the request, the purpose for which the coordination of an on-site inspection or investigation with cross-border effect is sought, facts underlying the investigation which form the basis of the request and explanation for its helpfulness] Further to … … … … [if applicable, please insert the details of the previous request on which the present request is based] 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: … … … … … Additional information: … … … … … The information included in this request shall be kept confidential in accordance with Article 35 of Regulation (EU) 2020/1503. Any personal data provided shall be processed by ESMA in accordance with Regulation (EU) 2018/1725 of the European Parliament and of the Council and by the relevant competent authorities in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council. In particular, both ESMA and the relevant competent authorities shall ensure that all relevant information on the processing of personal data is provided to data subjects in accordance with Section 2 ‘Information and access to personal data’ of CHAPTER III ‘Rights of the data subject’ of these Regulations. Yours sincerely, [signature] |