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Chapter 1 Authorisation and registration (arts. 34-36) |
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⚠ Article 34 Authorisation and registration of an administrator |
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Article 35 Withdrawal or suspension of authorisation or registration |
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⚠ Article 36 Register of administrators and benchmarks |
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Chapter 2 Supervisory cooperation (arts. 37-39) |
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Article 37 Delegation of tasks between competent authorities |
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Article 38 Disclosure of information from another Member State |
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Article 39 Cooperation on on-site inspections and investigations |
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Chapter 3 Role of competent authorities (arts. 40-48) |
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Article 40 Competent authorities |
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⚠ Article 41 Powers of competent authorities |
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⚠ Article 42 Administrative sanctions and other administrative measures |
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Article 43 Exercise of supervisory powers and imposition of sanctions |
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Article 44 Obligation to cooperate |
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Article 45 Publication of decisions |
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Article 46 Colleges |
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Article 47 Cooperation with ESMA |
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Article 48 Professional secrecy |
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Chapter 4 ESMA powers and competences (arts. 48a-48n) |
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Section 1 Competences and procedures (arts. 48a-48d) |
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Article 48a Exercise of the powers by ESMA |
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Article 48b Request for information |
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Article 48c General investigations |
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Article 48d On-site inspections |
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Section 2 Administrative sanctions and other administrative measures (arts. 48e-48h) |
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Article 48e Supervisory measures by ESMA |
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Article 48f Fines |
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Article 48g Periodic penalty payments |
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Article 48h Disclosure, nature, enforcement and allocation of fines and periodic penalty payments |
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Section 3 Procedures and review (arts. 48i-48k) |
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Article 48i Procedural rules for taking supervisory measures and imposing fines |
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Article 48j Hearing of the persons subject to investigations |
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Article 48k Review by the Court of Justice |
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Section 4 Fees and delegation (arts. 48l-48n) |
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Article 48l Supervisory fees |
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Article 48m Delegation of tasks by ESMA to competent authorities |
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Article 48n Transition measures related to ESMA |
