Commission Implementing Regulation (EU) 2024/2545 of 24 September 2024 laying down implementing technical standards for the application of Regulation (EU) 2023/1114
as it stood on 2024-09-24, permalink: /eu-eurlex/32024r2545/2024-09-24
Article 1
For the purposes of this Regulation, ‘electronic means’ are means of electronic equipment for the processing (including digital compression), storage and transmission of data, employing wires, radio, optical technologies, or any other electromagnetic means that ensure that the completeness, integrity and confidentiality of the information are maintained during the transmission.
Article 2
Each competent authority shall designate a contact point for the purposes of the communication of requests for cooperation or exchange of information pursuant to Article 95 of Regulation (EU) 2023/1114.
Competent authorities shall communicate the details of their contact points to ESMA by 15 January 2025 and shall provide updated information to ESMA as necessary.
ESMA shall maintain and keep up to date a list of the contact points designated by competent authorities pursuant to paragraph 1.
Article 3
A requesting authority shall make a request for cooperation or exchange of information in writing, by post or by electronic means. It shall address the request to the contact point designated pursuant to Article 2.
When requesting cooperation or the exchange of information, a competent authority shall use the form set out in Annex I and shall:
| (a) | specify the details of the relevant information requested; |
|---|
| (b) | identify, where appropriate, issues relating to the confidentiality of the information requested. |
|---|
Article 4
Within 5 working days of receipt of a request for cooperation or exchange of information, the requested authority shall send an acknowledgement of receipt, by post or by electronic means, to the contact point designated pursuant to Article 2, unless otherwise specified in the request. The acknowledgement of receipt shall be made by using the form set out in Annex II and shall include, where possible, an indication of the estimated date or timeframe in which a reply is expected to be provided.
Where it is not possible to indicate an estimated date or timeframe for the reply, the requested authority shall indicate the frequency with which it will update the requesting authority.
Article 5
The requested authority shall reply to a request for cooperation or exchange of information in writing, by post or by electronic means. The reply shall be addressed to the contact point designated pursuant to Article 2, unless otherwise specified in the request. Where the requested authority requires additional information in relation to the request for cooperation or exchange of information, it shall request further clarifications promptly by any means.
The requested authority shall reply to the request for cooperation or exchange of information using the form set out in Annex III and shall:
| (a) | take all reasonable steps within the scope of its powers to provide the requested information or assistance; |
|---|
| (b) | act without undue delay, taking into account the complexity of the request and the necessity to involve third parties or another competent authority. |
|---|
- Where the requested authority refuses to act, in full or in part, upon a request for cooperation or exchange of information, it shall inform the requesting authority as soon as possible of its decision in writing, either by post or by electronic means, indicating which of the grounds for refusal set out in Article 95(2) of Regulation (EU) 2023/1114 it has relied upon.
Article 6
By way of derogation from Articles 4 and 5, the procedure in this Article shall apply to urgent requests for cooperation or exchange of information.
The requesting authority shall specify, in a clear manner, the reasons for the urgency of the request, using the form set out in Annex I.
By way of derogation from paragraph 2, the requesting authority may initially communicate the information orally where this is justified by the concrete circumstances that prompted the request. That oral submission shall be subsequently confirmed in writing and transmitted to the requested authority without undue delay using the form set out in Annex I, unless the requested authority agrees otherwise.
Within 3 working days of receipt of an urgent request for cooperation or exchange of information, the requested authority shall send an acknowledgement of receipt in writing, by post or by electronic means, to the contact point designated pursuant to Article 2, unless otherwise specified in the request, using the form set out in Annex II.
If the requested authority disagrees with the urgency of the request, it shall inform the requesting authority thereof together with the acknowledgement of receipt, detailing its reasons in a clear manner and using the form set out in Annex II. In such case, the request shall not be treated as an urgent request for cooperation or exchange of information.
Where the requested authority refuses to act, in full or in part, upon an urgent request for cooperation or exchange of information, it shall inform the requesting authority as soon as possible of its decision in writing, by post or by electronic means, indicating which of the grounds for refusal set out in Article 95(2) of Regulation (EU) 2023/1114 it has relied upon.
The requested authority shall provide a precise and comprehensive reply as soon as possible and no later than 10 working days from the receipt of the request. The reply shall be provided in writing, by post or by electronic means, using the form set out in Annex III, unless the requesting authority agrees otherwise.
Where the requested authority is unable to provide the requesting authority with a precise and comprehensive reply within 10 working days, it shall, by way of derogation from paragraph 7, provide a partial reply within that deadline. In that case, the requested authority shall provide a precise and comprehensive reply within 20 working days from the date of the receipt of the original request. Where the requested authority is unable to gather all necessary information within that deadline, it shall provide to the requesting authority an explanation of the relevant constraints.
Article 7
- The requesting authority and the requested authority shall communicate using the most expedient means, taking due account of the following:
| (a) | confidentiality considerations; |
|---|
| (b) | correspondence times; |
|---|
| (c) | the volume of material to be communicated; |
|---|
| (d) | the ease of access to the information by the requesting authority. |
|---|
The requesting authority shall reply promptly to any request for clarifications from the requested authority.
Where a reply cannot be provided by the estimated date or timeframe referred to in Article 4(1), the requested authority shall give a new estimated date or timeframe to the requesting authority explaining the reasons for the delay, using the same means used to acknowledge receipt of the request.
The requested authority and the requesting authority shall cooperate in order to resolve any difficulties that may arise in executing a request.
Article 8
- Where the requesting authority includes within its request the taking of a statement from any person, the requested authority and the requesting authority shall, subject to existing legal limitations or constraints and any differences in procedural requirements, assess and take into account the following:
| (a) | the rights of the persons from whom the statements are to be taken including, where applicable, any self-incrimination issues; |
|---|
| (b) | the role and the nature of participation of the staff of the requested authority and requesting authority in the taking of the statement, in particular whether the participation is active or passive; |
|---|
| (c) | whether the person from whom the statement is to be taken has the right to be assisted by a legal representative and, if so, the scope of the legal representative’s assistance during the taking of the statement, including in relation to any records or report of the statement; |
|---|
| (d) | whether the statement is to be taken on a voluntary or mandatory basis, where that distinction exists; |
|---|
| (e) | whether, based on the information available at the time of the request, the person from whom the statement is to be taken is a witness or a suspect, where that distinction exists; |
|---|
| (f) | whether, based on the information available at the time of the request, the statement could be or is intended to be used in criminal proceedings; |
|---|
| (g) | the admissibility of the statement in the requesting authority’s jurisdiction; |
|---|
| (h) | the recording of the statement and the applicable procedures, including whether the statement will be contemporaneous, summarised in written minutes or recorded by audio or audiovisual means; |
|---|
| (i) | procedures on the certification or confirmation of the statement by the persons providing the statement, including whether such certification or confirmation takes place after the statement is taken; and |
|---|
| (j) | the procedure for the transmission of the statement to the requesting authority, including the format of and timing for such transmission. |
|---|
- The requested authority and the requesting authority shall ensure that arrangements are in place which allow their staff to proceed efficiently and to agree on the following:
| (a) | planning of dates; |
|---|
| (b) | the list of questions to be asked to the person from whom the statement is to be taken; |
|---|
| (c) | travelling arrangements, including ensuring that the requested authority and the requesting authority are able to meet to discuss the matter prior to the taking of the statement; |
|---|
| (d) | language arrangements; |
|---|
| (e) | any other practical issue that might arise in connection to taking of a statement. |
|---|
Article 9
Where a request to carry out an investigation or an on-site inspection is made pursuant to Article 95(4) of Regulation (EU) 2023/1114, the requesting authority and the requested authority shall consult each other on the best way to give useful effect to the request, taking into account Article 95(4), second subparagraph, points (a) to (d), of Regulation (EU) 2023/1114, including on the merits of conducting a joint investigation or a joint on-site inspection.
The requested authority shall keep the requesting authority informed of the progress of the investigation or on-site inspection and shall transmit its findings promptly to the requesting authority.
In deciding whether to initiate a joint investigation or a joint on-site inspection, the requesting authority and the requested authority shall take into account at least the following:
| (a) | the content of any requests for assistance received from the requesting authority including any suggestion on the appropriateness of carrying out a joint investigation or a joint on-site inspection; |
|---|
| (b) | whether the competent authorities are separately conducting their own inquiries into a matter with cross-border implications and whether that matter would be more suitable for joint action; |
|---|
| (c) | the legal and regulatory framework in each of their jurisdictions as well as the potential constraints and legal limitations on the conduct of any joint investigation or joint on-site inspection and on any proceedings that may follow, including any issues relating to the principle of ne bis in idem; |
|---|
| (d) | the management and direction needed for the investigation or on-site inspection; |
|---|
| (e) | the allocation of resources and appointment of staff in charge of carrying out investigations or on-site inspections; |
|---|
| (f) | the possibility of establishing a joint action plan and a time schedule for the work to be undertaken by each competent authority; |
|---|
| (g) | the determination of actions to be taken, jointly or individually, by each competent authority; |
|---|
| (h) | the mutual sharing of information gathered and reporting on the outcomes of any individual actions taken; |
|---|
| (i) | other case specific issues. |
|---|
- Where the requesting authority and the requested authority decide to carry out a joint investigation or a joint on-site inspection, they shall:
| (a) | agree on procedures for its conduct and conclusion; |
|---|
| (b) | engage in an ongoing dialogue to coordinate the information gathering and joint fact finding; |
|---|
| (c) | work closely and cooperate with each other on the conduct of the joint investigation or the joint on-site inspection; |
|---|
| (d) | provide mutual assistance on subsequent enforcement proceedings to the extent legally permitted, including coordinating any proceedings or other enforcement action related to the outcome of the joint investigation or the joint on-site inspection, whether administrative, civil or criminal, or, where appropriate, the prospects of a settlement; |
|---|
| (e) | identify the specific legal provisions governing the subject matter of the joint investigation or of the joint on-site inspection. |
|---|
Article 10
Where a competent authority has information that it believes would assist another competent authority for the purposes of carrying out its duties under Regulation (EU) 2023/1114, it shall transmit that information in writing by post or electronic means to the other competent authority without undue delay, using the form set out in Annex IV, and specify the legal basis for the provision of the information.
Article 11
The requesting authority and the requested authority shall include an appropriate confidentiality warning in any request for assistance, reply to a request for assistance or transmission of unsolicited information in accordance with the forms set out in the relevant Annex.
Where, in order to execute the request, the requested authority is required to disclose the fact that the requesting authority has made a request, it shall disclose the request after having discussed the nature and extent of the disclosure required with the requesting authority and after having obtained the consent of that competent authority to such disclosure. Where the requesting authority does not provide its consent to the disclosure, the requested authority shall not act upon the request, and the requesting authority may withdraw or suspend its request until it is able to provide such consent to disclosure.
Information received in accordance with Article 10 shall be used solely for the purposes of securing compliance with or enforcement of the provisions of Regulation (EU) 2023/1114, including initiating, conducting or assisting in criminal, administrative, civil or disciplinary proceedings resulting from a breach of the provisions of that Regulation.
Article 12
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Provenance and validity dates, identifier, hash
| as of | 2024-09-24 → this version applied |
| valid | 2024-09-24 → open publisher-asserted |
| type | REG_IMPL Commission Implementing Regulation (EU) 2024/2545 of 24 September 2024 laying down implementing technical standards for the application of Regulation (EU) 2023/1114 of the European Parliament and of the Council with regard to standard forms, templates and procedures for the cooperation and exchange of information between competent authorities |
| language | en |
| published | 2024-09-24 |
| lex_id | eu-eurlex:32024r2545:2024-09-24 |
| record sha256 | 284fdeacb3532416b93ca28f72c795a8fc8e51092cbeb5ba84aa2891afcc7d53 |
New here? What am I looking at?
This is a consolidated text: the original law with every later amendment merged in, as the official publisher produced it for a given date. Laws are amended constantly, so “the law” has no single text, only a text per date. That date is the banner above.
It has no legal force. Only the version published in the official gazette (Mémorial / Official Journal) is authentic, the publishers say so themselves, and so do we. Lex reproduces their text without altering a byte, and links the source on every page. This is legal information, never legal advice: it reports what the text said, never what it means for your situation.
“Valid from → to” = the window in which this text applied. “Open” = still current as far as the publisher has consolidated. Each article carries its own hash so you can prove it was not tampered with , here is how.
timeline next version (2024-09-24) →
| tier | A, publisher-supplied validity dates |
| history begins | publisher |
| index built | 2026-08-07T19:46:23Z · corpus 8d5e859 |
| stamp signature | valid (ECDSA-P256) |