+Artikel 39 Zusammenarbeit bei Prüfungen und Untersuchungen vor Ort
---+Article 39 1.
---+Article 39 2.
---+Article 39 3.
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Artikel 39 Zusammenarbeit bei Prüfungen und Untersuchungen vor Ort
1. Übersicht
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Regulierung |
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Article 39 1.
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A competent authority may request the assistance of another competent authority with regard to on-site inspections or investigations. The competent authority receiving the request shall cooperate to the extent possible and appropriate.
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Article 39 2.
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A competent authority making a request referred to in paragraph 1 shall inform ESMA thereof. In the event of an investigation or inspection with cross-border effect, the competent authorities may request ESMA to coordinate the on-site inspection or investigation.
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Article 39 3.
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Where a competent authority receives a request from another competent authority to carry out an on-site inspection or an investigation, it may:
(a)
carry out the on-site inspection or investigation itself;
(b)
allow the competent authority which submitted the request to participate in the on-site inspection or investigation;
(c)
appoint auditors or experts to support or carry out the on-site inspection or investigation.
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1.1 Referenzen
1.2 Identifizierte Anforderungen
1.3 Zugehörige Standards
2. Identifizierte Anforderungen
Anforderungen
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Anforderung |
3. Zugehörige Standards
Standards
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Anforderung |
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