ANNEX I
Form for requests for cooperation or exchange of information
Request for cooperation or exchange of information
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Reference number: … Date: … General information FROM: Member State: Requesting competent authority: Address: (Contact point details) Name: Telephone: Email: TO: Member State: Recipient: Address: (Contact point details) Name: Telephone: Email: Dear [insert appropriate name] In accordance with Article 31 of Regulation (EU) 2020/1503 of the European Parliament and of the Council (1), your input is sought in relation to the matter(s) set out in further detail below. I would be grateful to receive a response to the above request 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 Please tick the appropriate box(es)
Reasons for the request … … … [Insert provision(s) of the sectoral legislation under which the requesting competent authority is competent to deal with the matter] The request concerns [cooperation] or [exchange of information] on … … … … … [Insert description of the subject matter of the request, the purpose for which the cooperation or exchange of information is sought, the facts underlying any investigation which form the basis of the request and an explanation of their helpfulness] Further to… … … … [If applicable, insert details of the previous request in order to enable it to be identified] Supervisory Activities (provision of information, taking of a statement) Provision of information
Taking of a statement Please indicate:
[Whether the requesting competent authority requests its staff to participate in the taking of the statement, insert details of the participating officials of the requesting competent authority, and, where appropriate, a description of any legal and procedural requirements that must be complied with to ensure the admissibility of the statement in the jurisdiction of the requesting’s competent authority] On-site inspection or investigation If the request concerns an on-site inspection or investigation, please provide information to enable the recipient to assess which of the actions set out in Article 31(4), second subparagraph, points (a) to (e), of Regulation (EU) 2020/1503 it may take and whether it may have an interest in entering into a joint on-site inspection or investigation. Please also provide information on the requesting competent authority’s proposal for the inspection or investigation, its reasoning and the benefits to the recipient. … [Include all relevant information to enable the recipient of the request to provide the necessary assistance, as appropriate] … Enforcement
Personal ID:… [Insert the identity of any person connected with the crowdfunding offer and/or the relevant crowdfunding service provider] Date:… [Insert the date of when the crowdfunding offer was provided on the crowdfunding platform] Authorisation procedure (a) Subject matter: … … … (b) Information on the authorisation procedure : … … … (c) Information on any other competent authority involved : … … … [Please provide information here or make reference to the annexed documentation containing the information] (d) Information sought: … … … [Please insert a specific description of the information sought, including any relevant documents requested with reasons why that information is necessary for the review of the application of authorisation] (e) Any additional information which may be useful: … … … [Insert any other relevant information. If there are special considerations on the sensitivity of the information sought, please provide an indication of such sensitivity and any special precautions that have to be taken in collecting the information.] 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] |
(1) Regulation (EU) 2020/1503 of the European Parliament and of the Council of 7 October 2020 on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (OJ L 347, 20.10.2020, p. 1).
(2) Commission Delegated Regulation (EU) 2022/2119 of 13 July 2022 supplementing Regulation (EU) 2020/1503 of the European Parliament and of the Council with regard to regulatory technical standards for the key investment information sheet (see page 63 of this Official Journal)..