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🔗 Back to Summary. 🇫🇷 French Version: 2015R0514_FR.11. Back to Summary of LVL1. Open the PDF. Direct link to EUR-LEX.
Article 10 – With regard to the management of EU AIFs by non-EU AIFMs in accordance with applicable national regimes, competent authorities shall provide the following information: ⬅️ | ➡️ Article 12 – With regard to issues of investor protection in relation to marketing and management under the applicable national regimes, competent authorities shall provide the following information:
Article 11 - With regard to the existence and effectiveness of cooperation arrangements for the purpose of systemic risk oversight between the competent authority of a Member State and the supervisory authority of the non-EU country, competent authorities shall provide the following information:
(a)
the existence of bilateral cooperation arrangements between the competent authority and supervisory authorities in third countries other than those negotiated and agreed under the auspices of ESMA and the third countries concerned;
(b)
as regards requests for information or assistance submitted by the competent authority to authorities of a third country in accordance with cooperation arrangements: — the number and type of requests, — the number of requests rejected and the reasons for rejection, — the degree of satisfaction with the assistance received, including difficulties encountered, — the average time for receiving a response;
(c)
the number of on-site visits that the competent authority has requested the supervisory authority of a third country to perform on its behalf, in accordance with cooperation arrangements, as well as the number of requests for on-site visits that were refused;
(d)
the number of occasions where, in accordance with cooperation arrangements, unsolicited information was received from the supervisory authority of a third country about: — any known material event that could adversely impact a supervised entity, — enforcement or regulatory actions or sanctions, including the revocation, suspension or modification of relevant licenses or registration, concerning or related to non-EU AIFMs that market or manage AIFs in the jurisdiction of the competent authority;
(e)
the number of occasions when the competent authority has shared with other competent authorities information received from third country supervisory authorities for the purpose of monitoring systemic risk, in accordance with cooperation arrangements.