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Version date: 17 July 2024 - onwards

Guideline 8: General investigations and inspections (paras. 8.1-8.3)

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:

- 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, includin

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