+DORA Ch. VII Competent authorities
---+DORA Ch. VII Art. 46 Competent authorities
---+DORA Ch. VII Art. 47 Cooperation with structures and authorities established by Directive (EU) 2022/2555
------+DORA Ch. VII Art. 47 1.
------+DORA Ch. VII Art. 47 2.
------+DORA Ch. VII Art. 47 3.
------+DORA Ch. VII Art. 47 4.
---+DORA Ch. VII Art. 48 Cooperation between authorities
------+DORA Ch. VII Art. 48 1.
------+DORA Ch. VII Art. 48 2.
---+DORA Ch. VII Art. 49 Financial cross-sector exercises, communication and cooperation
------+DORA Ch. VII Art. 49 1.
------+DORA Ch. VII Art. 49 2.
---+DORA Ch. VII Art. 50 Administrative penalties and remedial measures
------+DORA Ch. VII Art. 50 1.
------+DORA Ch. VII Art. 50 2.
------+DORA Ch. VII Art. 50 3.
------+DORA Ch. VII Art. 50 4.
------+DORA Ch. VII Art. 50 5.
------+DORA Ch. VII Art. 50 6.
---+DORA Ch. VII Art. 51 Exercise of the power to impose administrative penalties and remedial measures
------+DORA Ch. VII Art. 51 1.
------+DORA Ch. VII Art. 51 2.
---+DORA Ch. VII Art. 52 Criminal penalties
------+DORA Ch. VII Art. 52 1.
------+DORA Ch. VII Art. 52 2.
---+DORA Ch. VII Art. 53 Notification duties
---+DORA Ch. VII Art. 54 Publication of administrative penalties
------+DORA Ch. VII Art. 54 1.
------+DORA Ch. VII Art. 54 2.
------+DORA Ch. VII Art. 54 3.
------+DORA Ch. VII Art. 54 4.
------+DORA Ch. VII Art. 54 5.
------+DORA Ch. VII Art. 54 6.
---+DORA Ch. VII Art. 55 Professional secrecy
------+DORA Ch. VII Art. 55 1.
------+DORA Ch. VII Art. 55 2.
------+DORA Ch. VII Art. 55 3.
------+DORA Ch. VII Art. 55 4.
---+DORA Ch. VII Art. 56 Data Protection
------+DORA Ch. VII Art. 56 1.
------+DORA Ch. VII Art. 56 2.

1. Overview

DORA Ch. VII Competent authorities

Competent authorities

DORA Ch. VII Art. 46 Competent authorities

Competent authorities

Without prejudice to the provisions on the Oversight Framework for critical ICT third-party service providers referred to in Chapter V, Section II, of this Regulation, compliance with this Regulation shall be ensured by the following competent authorities in accordance with the powers granted by the respective legal acts:

  • (a) for credit institutions and for institutions exempted pursuant to Directive 2013/36/EU, the competent authority designated in accordance with Article 4 of that Directive, and for credit institutions classified as significant in accordance with Article 6(4) of Regulation (EU) No 1024/2013, the ECB in accordance with the powers and tasks conferred by that Regulation;
  • (b) for payment institutions, including payment institutions exempted pursuant to Directive (EU) 2015/2366, electronic money institutions, including those exempted pursuant to Directive 2009/110/EC, and account information service providers as referred to in Article 33(1) of Directive (EU) 2015/2366, the competent authority designated in accordance with Article 22 of Directive (EU) 2015/2366;
  • (c) for investment firms, the competent authority designated in accordance with Article 4 of Directive (EU) 2019/2034 of the European Parliament and of the Council (38);
  • (d) for crypto-asset service providers as authorised under the Regulation on markets in crypto-assets and issuers of asset-referenced tokens, the competent authority designated in accordance with the relevant provision of that Regulation;
  • (e) for central securities depositories, the competent authority designated in accordance with Article 11 of Regulation (EU) No 909/2014;
  • (f) for central counterparties, the competent authority designated in accordance with Article 22 of Regulation (EU) No 648/2012;
  • (g) for trading venues and data reporting service providers, the competent authority designated in accordance with Article 67 of Directive 2014/65/EU, and the competent authority as defined in Article 2(1), point (18), of Regulation (EU) No 600/2014;
  • (h) for trade repositories, the competent authority designated in accordance with Article 22 of Regulation (EU) No 648/2012;
  • (i) for managers of alternative investment funds, the competent authority designated in accordance with Article 44 of Directive 2011/61/EU;
  • (j) for management companies, the competent authority designated in accordance with Article 97 of Directive 2009/65/EC;
  • (k) for insurance and reinsurance undertakings, the competent authority designated in accordance with Article 30 of Directive 2009/138/EC;
  • (l) for insurance intermediaries, reinsurance intermediaries and ancillary insurance intermediaries, the competent authority designated in accordance with Article 12 of Directive (EU) 2016/97;
  • (m) for institutions for occupational retirement provision, the competent authority designated in accordance with Article 47 of Directive (EU) 2016/2341;
  • (n) for credit rating agencies, the competent authority designated in accordance with Article 21 of Regulation (EC) No 1060/2009;
  • (o) for administrators of critical benchmarks, the competent authority designated in accordance with Articles 40 and 41 of Regulation (EU) 2016/1011;
  • (p) for crowdfunding service providers, the competent authority designated in accordance with Article 29 of Regulation (EU) 2020/1503;
  • (q) for securitisation repositories, the competent authority designated in accordance with Articles 10 and 14(1) of Regulation (EU) 2017/2402.
DORA Ch. VII Art. 47 Cooperation with structures and authorities established by Directive (EU) 2022/2555

Cooperation with structures and authorities established by Directive (EU) 2022/2555
DORA Ch. VII Art. 48 Cooperation between authorities

Cooperation between authorities
DORA Ch. VII Art. 49 Financial cross-sector exercises, communication and cooperation

Financial cross-sector exercises, communication and cooperation
DORA Ch. VII Art. 50 Administrative penalties and remedial measures

Administrative penalties and remedial measures
DORA Ch. VII Art. 51 Exercise of the power to impose administrative penalties and remedial measures

Exercise of the power to impose administrative penalties and remedial measures
DORA Ch. VII Art. 52 Criminal penalties

Criminal penalties
DORA Ch. VII Art. 53 Notification duties

Notification duties

Member States shall notify the laws, regulations and administrative provisions implementing this Chapter, including any relevant criminal law provisions, to the Commission, ESMA, the EBA and EIOPA by 17 January 2025. Member States shall notify the Commission, ESMA, the EBA and EIOPA without undue delay of any subsequent amendments thereto.
DORA Ch. VII Art. 54 Publication of administrative penalties

Publication of administrative penalties
DORA Ch. VII Art. 55 Professional secrecy

Professional secrecy
DORA Ch. VII Art. 56 Data Protection

Data Protection

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards
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