Guideline 8: General investigations and inspections

8.1 At least 3 weeks before the start of the general investigation or inspection according to Articles 38(5), 39(3) and 36(1) of the DORA, or with the shortest possible delay in case of an urgent investigation or inspection, the Lead Overseer should inform the competent authorities of the financial entities using the ICT services provided by a critical ICT third-party service provider, the identity of the authorised persons for the general investigation or inspection.

8.2 The authorised persons include:

8 See Recital 3 of draft Regulatory Technical Standards on the conduct of oversight activities in relation to the joint examination teams under DORA 11

• - relevant staff members of the Lead Overseer; and
• - the staff members of the Joint Examination Team as referred to in Article 40(2) of the DORA, appointed to carry out the general investigation or inspection.

8.3 The Lead Overseer should inform competent authorities of the financial entities using the ICT services provided by that critical ICT third-party service provider where the authorised persons find that a critical ICT third-party service provider opposes the inspection, including imposing any unjustified conditions to the inspection.

1. Přehled

1.1 Odkazy

1.2 Identifikované požadavky

1.3 Související standardy

2. Identifikované požadavky

3. Související standardy

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