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🔗 Back to Summary. 🇫🇷 French Version: 2015R0514_FR.12. Back to Summary of LVL1. Open the PDF. Direct link to EUR-LEX.
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: ⬅️ | ➡️ Article 13 – With regard to the features of the third country regulatory and supervisory framework that might prevent the effective exercise by the competent authority of its supervisory functions, 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:
(a)
the number and type of complaints addressed to the competent authority from investors in relation to AIFs marketed in that jurisdiction under the applicable national regime;
(b)
enforcement or regulatory actions or sanctions imposed by the competent authority, including the revocation, suspension or modification of relevant licenses or registration, concerning or related to non-EU AIFMs that market or manage AIFs in that jurisdiction, or non-EU AIFs marketed in that jurisdiction by EU AIFMs.