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+Article 39 3. |
Article 39 3.For the purposes of point (j) of paragraph 2, competent authorities may only impose additional or more frequent reporting requirements on investment firms where the information to be reported is not duplicative and one of the following conditions is met:
(a)
one of the cases referred to in points (a) and (b) of Article 38 applies;
(b)
the competent authority considers it to be necessary to gather the evidence referred to in point (b) of Article 38;
(c)
the additional information is required for the purpose of the supervisory review and evaluation process referred to in Article 36. Information shall be deemed to be duplicative where the competent authority already has the same or substantially the same information, where that information is capable of being produced by the competent authority or of being obtained by the same competent authority through other means than a requirement on the investment firm to report it. A competent authority shall not require additional information where the information is available to the competent authority in a different format or level of granularity than the additional information to be reported and that different format or granularity does not prevent it from producing substantially similar information. 1. Prezentare generală
1.1 Referințe1.2 Cerințe identificate1.3 Standarde asociate2. Cerințe identificate
3. Standarde asociate
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