# Instrument Metadata # Output tuned for LLM consumption -- deterministic parse of the # EUR-Lex source, no LLM involved in generation. instrument_id: esma celex: "32010R1095" eli: "http://data.europa.eu/eli/reg/2010/1095/oj" full_title: ESMA Regulation (EU) No 1095/2010 short_title: ESMA Regulation instrument_type: regulation document_type: regulation normative_weight: binding jurisdiction: EU effective_period: from: "2011-01-01" to: null dates: adopted: "2010-11-24" entered_into_force: "2011-01-01" status: in_force legal_status: in_force structure_levels: - title - chapter - article total_articles: 94 total_recitals: 0 total_annexes: 0 definitions_article: 4 chunk_strategy: by_chapter chunks: - /esma/chunks/esma_t01_establishment_and_legal_status.md - /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md - /esma/chunks/esma_t03_ch01_board_of_supervisors.md - /esma/chunks/esma_t03_ch02_management_board.md - /esma/chunks/esma_t03_ch03_chairperson.md - /esma/chunks/esma_t03_ch04_executive_director.md - /esma/chunks/esma_t04_ch01_joint_committee_of_european_supervisory_.md - /esma/chunks/esma_t04_ch02_board_of_appeal.md - /esma/chunks/esma_t05_remedies.md - /esma/chunks/esma_t06_financial_provisions.md - /esma/chunks/esma_t07_general_provisions.md - /esma/chunks/esma_t08_transitional_and_final_provisions.md key_dates: - date: "2010-11-24" type: lifecycle context: "Adopted" - date: "2011-01-01" type: application article: "80" context: "Commission Decision 2009/77/EC, establishing CESR, is hereby repealed with effect from 1 January 2011." - date: "2011-01-01" type: application article: "82" context: "…its publication in the Official Journal of the European Union. It shall apply from 1 January 2011, with the exception of Article 76 and…" - date: "2011-01-01" type: lifecycle article: "82" context: "…apply as from the date of its entry into force. The Authority shall be established on 1 January 2011." - date: "2014-10-31" type: citation article: "62" context: "…(No 36) on transitional provisions shall continue to apply beyond the deadline of 31 October 2014 therein established; (b) a subsidy…" - date: "2021-06-30" type: review article: "81" context: "…legislative proposal, if appropriate, to the European Parliament and to the Council by 30 June 2021. 3. Concerning the issue of direct…" - date: "2021-12-31" type: review article: "81" context: "1. By 31 December 2021, and every three years thereafter,…" - date: "2027-11-11" type: review article: "35a" context: "…only with the consent of the authority that initially obtained that information. 11. By 11 November 2027, the Authority shall, in close…" - date: "2030-11-11" type: deadline article: "35b" context: "1. By 11 November 2030, the ESAs, through the Joint…" generated_at: "2026-09-08T12:37:01.030Z" articles: - article_number: 1 article_title: Establishment and scope of action chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 1" applies_to_entities: - competent_authorities - european_commission - financial_entities topics: - supervisory_framework - authorisation - payment_systems - investment_funds - crypto_assets keywords: - SCA - authorisation - supervision - POS - settlement - clearing - system - RTS - ITS - guidelines - reporting - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 16a external_references: - instrument_type: directive reference: "98/26/EC" - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2011/61/EU" - instrument_type: regulation reference: "1060/2009" - instrument_type: directive reference: "2014/65/EU" - instrument_type: regulation reference: "648/2012" - instrument_type: regulation reference: "2017/1129" - instrument_type: regulation reference: "2023/1114" - instrument_type: directive reference: "2002/87/EC" - instrument_type: directive reference: "2002/65/EC" recitals: [] - article_number: 2 article_title: European System of Financial Supervision chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 2" applies_to_entities: - member_states - competent_authorities - european_banking_authority - european_commission topics: - supervisory_framework keywords: - supervision - POS - system - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 54 - target: Article 55 - target: Article 56 - target: Article 57 - target: Article 1 paragraph: "2" external_references: - instrument_type: regulation reference: "1093/2010" - instrument_type: regulation reference: "1094/2010" recitals: [] - article_number: 3 article_title: Accountability of the Authorities chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 3" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 2 paragraph: "2" - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 17 - target: Article 18 - target: Article 20 - target: Article 33 external_references: [] recitals: [] - article_number: 4 article_title: Definitions chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 4" applies_to_entities: - competent_authorities topics: - supervisory_framework - investment_funds keywords: - POS - scheme - ITS - financial market participant - key financial market participant - competent authorities contains: obligations: false prohibitions: false permissions: false definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" external_references: - instrument_type: directive reference: "2002/65/EC" recitals: [] - article_number: 5 article_title: Legal status chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 5" applies_to_entities: - member_states topics: - supervisory_framework keywords: - POS - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 6 article_title: Composition chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 6" applies_to_entities: [] topics: - supervisory_framework keywords: - POS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 43 - target: Article 47 - target: Article 48 - target: Article 53 - target: Article 60 external_references: [] recitals: [] - article_number: 7 article_title: Seat chunk_file: /esma/chunks/esma_t01_establishment_and_legal_status.md path: "Title 1 > Article 7" applies_to_entities: [] topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 8 article_title: Tasks and powers of the Authority chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 8" applies_to_entities: - competent_authorities - european_commission - consumers topics: - supervisory_framework - consumer_protection keywords: - supervision - consumer - POS - data - access - cross-border - system - ITS - guidelines - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 21 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 25 - target: Article 26 - target: Article 10 - target: Article 15 - target: Article 16 - target: Article 29a - target: Article 17 paragraph: "3" - target: Article 9 paragraph: "3" - target: Article 18 - target: Article 19 - target: Article 17 paragraph: "6" - target: Article 18 paragraph: "4" - target: Article 19 paragraph: "4" - target: Article 16a - target: Article 16b - target: Article 9a - target: Article 35 external_references: [] recitals: [] - article_number: 9 article_title: Tasks related to consumer protection and financial activities chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 9" applies_to_entities: - competent_authorities - european_commission - consumers topics: - supervisory_framework - liability - data_protection - consumer_protection keywords: - consumer - POS - ATM - data - access - system - ITS - guidelines - reporting - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "5" - target: Article 1 paragraph: "2" - target: Article 18 - target: Article 44 paragraph: "1" external_references: - instrument_type: regulation reference: "2016/679" recitals: [] - article_number: 9a article_title: No action letters chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 9a" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework - liability - implementing_acts keywords: - POS - system - ITS - guidelines - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: true rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 16 external_references: [] recitals: [] - article_number: 10 article_title: Regulatory technical standards chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 10" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - POS - ITS contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 37 external_references: [] recitals: [] - article_number: 11 article_title: Exercise of the delegation chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 11" applies_to_entities: - european_commission topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 10 - target: Article 14 - target: Article 12 - target: Article 13 external_references: [] recitals: [] - article_number: 12 article_title: Revocation of the delegation chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 12" applies_to_entities: - european_commission topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 10 external_references: [] recitals: [] - article_number: 13 article_title: Objections to regulatory technical standards chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 13" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - notification contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 14 article_title: Non-endorsement or amendment of draft regulatory technical standards chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 14" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 10 external_references: [] recitals: [] - article_number: 15 article_title: Implementing technical standards chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 15" applies_to_entities: - european_commission topics: - supervisory_framework - implementing_acts keywords: - POS - ITS contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: true rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 37 external_references: [] recitals: [] - article_number: 16 article_title: Guidelines and recommendations chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 16" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework - competent_authorities keywords: - ITS - guidelines - financial market participant - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 37 - target: Article 43 paragraph: "5" external_references: [] recitals: [] - article_number: 16a article_title: Opinions chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 16a" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework keywords: - POS - ITS - reporting - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" external_references: - instrument_type: directive reference: "2014/65" - instrument_type: directive reference: "2014/65/EU" recitals: [] - article_number: 16b article_title: Questions and answers chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 16b" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework - implementing_acts keywords: - system - ITS - guidelines - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: true rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 44 - target: Article 16 - target: Article 37 external_references: [] recitals: [] - article_number: 17 article_title: Breach of Union law chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 17" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework - competent_authorities keywords: - POS - system - ITS - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 35 - target: Article 43 paragraph: "5" external_references: [] recitals: [] - article_number: 17a article_title: Protection of reporting persons chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 17a" applies_to_entities: [] topics: - supervisory_framework keywords: - reporting contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: directive reference: "2019/1937" recitals: [] - article_number: 18 article_title: Action in emergency situations chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 18" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework keywords: - POS - system - ITS - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 19 article_title: Settlement of disagreements between competent authorities in cross-border situations chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 19" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework keywords: - POS - cross-border - settlement - ITS - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 17 - target: Article 44 paragraph: "4" - target: Article 50 paragraph: "2" external_references: [] recitals: [] - article_number: 20 article_title: Settlement of disagreements between competent authorities across sectors chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 20" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - settlement - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 19 - target: Article 56 - target: Article 4 paragraph: "2" external_references: - instrument_type: regulation reference: "1093/2010" - instrument_type: regulation reference: "1094/2010" recitals: [] - article_number: 21 article_title: Colleges of supervisors chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 21" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - liability - POS - access - cross-border - system - ITS - guidelines - financial market participant - key financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 23 - target: Article 32 - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 19 external_references: [] recitals: [] - article_number: 22 article_title: General provisions on systemic risk chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 22" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework keywords: - POS - system - RTS - ITS - guidelines - financial market participant - key financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 23 - target: Article 1 paragraph: "2" - target: Article 35 external_references: [] recitals: [] - article_number: 23 article_title: Identification and measurement of systemic risk chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 23" applies_to_entities: - credit_institutions topics: - supervisory_framework keywords: - supervision - POS - settlement - system - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 25 external_references: [] recitals: [] - article_number: 24 article_title: Permanent capacity to respond to systemic risks chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 24" applies_to_entities: [] topics: - supervisory_framework keywords: - POS - system contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 22 - target: Article 23 - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 25 article_title: Recovery and resolution procedures chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 25" applies_to_entities: [] topics: - supervisory_framework keywords: - system contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 external_references: [] recitals: [] - article_number: 26 article_title: European system of national Investor Compensation Schemes chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 26" applies_to_entities: [] topics: - supervisory_framework keywords: - system - scheme - guidelines - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 16 - target: Article 1 paragraph: "2" - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 81 external_references: [] recitals: [] - article_number: 27 article_title: European system of resolution and funding arrangements chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 27" applies_to_entities: - financial_entities topics: - supervisory_framework keywords: - system - ITS - financial market participant - key financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 28 article_title: Delegation of tasks and responsibilities chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 28" applies_to_entities: - member_states - competent_authorities topics: - supervisory_framework - competent_authorities keywords: - supervision - consent - cross-border - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 29 article_title: Common supervisory culture chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 29" applies_to_entities: - competent_authorities - european_commission - financial_entities topics: - supervisory_framework - data_protection - security keywords: - SCA - supervision - POS - security - data - system - scheme - ITS - guidelines - reporting - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 29a - target: Article 45b - target: Article 1 paragraph: "3" external_references: [] recitals: [] - article_number: 29a article_title: Union strategic supervisory priorities chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 29a" applies_to_entities: - competent_authorities topics: - supervisory_framework - competent_authorities keywords: - POS - guidelines - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 30 article_title: Peer reviews of competent authorities chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 30" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework - competent_authorities - enforcement - sanctions keywords: - sanction - SEPA - POS - system - RTS - ITS - guidelines - reporting - financial market participant - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: true penalties: true delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 35 - target: Article 1 paragraph: "2" - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 44 paragraph: "4" - target: Article 29 paragraph: "1" - target: Article 16 paragraph: "3" - target: Article 45b external_references: [] recitals: [] - article_number: 31 article_title: Coordination function chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 31" applies_to_entities: - member_states - competent_authorities - consumers topics: - supervisory_framework - consumer_protection keywords: - liability - consumer - POS - system - ITS - guidelines - reporting - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 19 - target: Article 21 - target: Article 35 - target: Article 16 external_references: [] recitals: [] - article_number: 31a article_title: Information exchange on fitness and propriety chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 31a" applies_to_entities: - competent_authorities - european_banking_authority topics: - supervisory_framework keywords: - system - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 31b article_title: "Coordination function in relation to orders, transactions and activities with significant cross-border effects" chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 31b" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - transaction - cross-border - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 32 article_title: "Assessment of market developments, including stress tests" chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 32" applies_to_entities: - competent_authorities - european_banking_authority - european_commission topics: - supervisory_framework keywords: - POS - ITS - financial market participant contains: obligations: true prohibitions: false permissions: false definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 22 paragraph: "2" external_references: [] recitals: [] - article_number: 33 article_title: International relations including equivalence chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 33" applies_to_entities: - competent_authorities - european_banking_authority - european_commission topics: - supervisory_framework - competent_authorities - aml keywords: - supervision - POS - system - ITS - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 43 paragraph: "5" external_references: - instrument_type: directive reference: "2015/849" recitals: [] - article_number: 35 article_title: Collection of information chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 35" applies_to_entities: - credit_institutions - member_states - competent_authorities topics: - supervisory_framework - competent_authorities - information_requirements keywords: - POS - access - system - ITS - reporting - financial market participant - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 70 - target: Article 35a paragraph: "12" external_references: [] recitals: [] - article_number: 35a article_title: Exchange of information between authorities and with other entities chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 35a" applies_to_entities: - member_states - competent_authorities - european_banking_authority - european_commission - financial_entities topics: - supervisory_framework - data_protection - aml keywords: - POS - data - access - consent - ITS - reporting - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 70 - target: Article 71 - target: Article 35 paragraph: "4" - target: Article 70 paragraph: "3" - target: Article 4 external_references: - instrument_type: regulation reference: "1093/2010" - instrument_type: regulation reference: "1094/2010" - instrument_type: regulation reference: "1024/2013" - instrument_type: regulation reference: "806/2014" - instrument_type: directive reference: "2014/59" recitals: [] - article_number: 35b article_title: Integrated reporting system chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 35b" applies_to_entities: - credit_institutions - competent_authorities - european_commission - european_central_bank topics: - supervisory_framework keywords: - POS - data - system - ITS - reporting - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 36 article_title: Relationship with the ESRB chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 36" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework keywords: - POS - data - ITS - financial market participant contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 37 article_title: Securities and Markets Stakeholder Group chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 37" applies_to_entities: - consumers topics: - supervisory_framework - refunds - reinsurance keywords: - consumer - SEPA - POS - ITS - guidelines - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 70 - target: Article 56 external_references: [] recitals: [] - article_number: 38 article_title: Safeguards chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 38" applies_to_entities: - member_states - competent_authorities - european_commission topics: - supervisory_framework keywords: - SCA - ITS - notification contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 18 - target: Article 19 - target: Article 19 paragraph: "3" - target: Article 18 paragraph: "3" external_references: [] recitals: [] - article_number: 39 article_title: Decision-making procedures chunk_file: /esma/chunks/esma_t02_tasks_and_powers_of_the_authority.md path: "Title 2 > Article 39" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - system - ITS - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 17 - target: Article 18 - target: Article 19 - target: Article 17 paragraph: "3" - target: Article 18 paragraph: "3" external_references: [] recitals: [] - article_number: 40 article_title: Composition chunk_file: /esma/chunks/esma_t03_ch01_board_of_supervisors.md path: "Title 3 > Chapter 1 > Article 40" applies_to_entities: - member_states - competent_authorities - european_commission - consumers topics: - supervisory_framework - competent_authorities - consumer_protection - aml keywords: - supervision - consumer - POS - scheme - ITS - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 41 article_title: Internal committees chunk_file: /esma/chunks/esma_t03_ch01_board_of_supervisors.md path: "Title 3 > Chapter 1 > Article 41" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - POS - ITS - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 17 - target: Article 19 - target: Article 22 paragraph: "4" external_references: [] recitals: [] - article_number: 42 article_title: Independence of the Board of Supervisors chunk_file: /esma/chunks/esma_t03_ch01_board_of_supervisors.md path: "Title 3 > Chapter 1 > Article 42" applies_to_entities: [] topics: - supervisory_framework - conflicts_of_interest keywords: - ITS contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 43 article_title: Tasks chunk_file: /esma/chunks/esma_t03_ch01_board_of_supervisors.md path: "Title 3 > Chapter 1 > Article 43" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - POS - guidelines contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 63 - target: Article 51 paragraph: "5" external_references: [] recitals: [] - article_number: 43a article_title: Transparency of decisions adopted by the Board of Supervisors chunk_file: /esma/chunks/esma_t03_ch01_board_of_supervisors.md path: "Title 3 > Chapter 1 > Article 43a" applies_to_entities: [] topics: - supervisory_framework keywords: - financial market participant contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 70 - target: Article 75 paragraph: "3" - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 44 article_title: Decision making chunk_file: /esma/chunks/esma_t03_ch01_board_of_supervisors.md path: "Title 3 > Chapter 1 > Article 44" applies_to_entities: [] topics: - supervisory_framework keywords: - POS - ITS - financial market participant contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 9 paragraph: "5" - target: Article 3 - target: Article 41 paragraph: "2" - target: Article 41 paragraph: "3" - target: Article 41 paragraph: "4" - target: Article 30 paragraph: "2" - target: Article 18 paragraph: "3" - target: Article 18 paragraph: "4" - target: Article 17 - target: Article 19 - target: Article 30 - target: Article 75 paragraph: "3" - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 45 article_title: Composition chunk_file: /esma/chunks/esma_t03_ch02_management_board.md path: "Title 3 > Chapter 2 > Article 45" applies_to_entities: [] topics: - supervisory_framework keywords: - POS - RTS - ITS - financial market participant contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 45a article_title: Decision-making chunk_file: /esma/chunks/esma_t03_ch02_management_board.md path: "Title 3 > Chapter 2 > Article 45a" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 63 external_references: [] recitals: [] - article_number: 45b article_title: Coordination Groups chunk_file: /esma/chunks/esma_t03_ch02_management_board.md path: "Title 3 > Chapter 2 > Article 45b" applies_to_entities: - competent_authorities topics: - supervisory_framework - competent_authorities keywords: - ITS - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 35 external_references: [] recitals: [] - article_number: 46 article_title: Independence of the Management Board chunk_file: /esma/chunks/esma_t03_ch02_management_board.md path: "Title 3 > Chapter 2 > Article 46" applies_to_entities: [] topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 47 article_title: Tasks chunk_file: /esma/chunks/esma_t03_ch02_management_board.md path: "Title 3 > Chapter 2 > Article 47" applies_to_entities: [] topics: - supervisory_framework - implementing_acts keywords: - POS - access - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 63 - target: Article 64 - target: Article 30 - target: Article 68 paragraph: "2" - target: Article 72 - target: Article 58 paragraph: "3" - target: Article 58 paragraph: "5" external_references: [] recitals: [] - article_number: 48 article_title: Appointment and tasks chunk_file: /esma/chunks/esma_t03_ch03_chairperson.md path: "Title 3 > Chapter 3 > Article 48" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - supervision - POS - ITS - financial market participant contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 45b - target: Article 49 external_references: [] recitals: [] - article_number: 49 article_title: Independence of the Chairperson chunk_file: /esma/chunks/esma_t03_ch03_chairperson.md path: "Title 3 > Chapter 3 > Article 49" applies_to_entities: - member_states topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 68 external_references: [] recitals: [] - article_number: 49a article_title: Expenses chunk_file: /esma/chunks/esma_t03_ch03_chairperson.md path: "Title 3 > Chapter 3 > Article 49a" applies_to_entities: [] topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 51 article_title: Appointment chunk_file: /esma/chunks/esma_t03_ch04_executive_director.md path: "Title 3 > Chapter 4 > Article 51" applies_to_entities: [] topics: - supervisory_framework keywords: - supervision - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 52 article_title: Independence chunk_file: /esma/chunks/esma_t03_ch04_executive_director.md path: "Title 3 > Chapter 4 > Article 52" applies_to_entities: - member_states topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 68 external_references: [] recitals: [] - article_number: 53 article_title: Tasks chunk_file: /esma/chunks/esma_t03_ch04_executive_director.md path: "Title 3 > Chapter 4 > Article 53" applies_to_entities: [] topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 47 paragraph: "2" - target: Article 63 - target: Article 64 - target: Article 68 external_references: [] recitals: [] - article_number: 54 article_title: Establishment chunk_file: /esma/chunks/esma_t04_ch01_joint_committee_of_european_supervisory_.md path: "Title 4 > Chapter 1 > Article 54" applies_to_entities: - competent_authorities - european_banking_authority - consumers topics: - supervisory_framework - supervision - security - consolidation keywords: - consumer - security - reporting - financial market participant contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "6" - target: Article 56 external_references: [] recitals: [] - article_number: 55 article_title: Composition chunk_file: /esma/chunks/esma_t04_ch01_joint_committee_of_european_supervisory_.md path: "Title 4 > Chapter 1 > Article 55" applies_to_entities: - european_commission topics: - supervisory_framework - supervision keywords: - POS - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 57 external_references: [] recitals: [] - article_number: 56 article_title: Joint positions and common acts chunk_file: /esma/chunks/esma_t04_ch01_joint_committee_of_european_supervisory_.md path: "Title 4 > Chapter 1 > Article 56" applies_to_entities: - competent_authorities - european_banking_authority topics: - supervisory_framework - supervision keywords: - POS - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 10 - target: Article 11 - target: Article 12 - target: Article 13 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 17 - target: Article 18 - target: Article 19 - target: Article 1 paragraph: "2" external_references: - instrument_type: directive reference: "2002/87/EC" recitals: [] - article_number: 57 article_title: Sub-Committees chunk_file: /esma/chunks/esma_t04_ch01_joint_committee_of_european_supervisory_.md path: "Title 4 > Chapter 1 > Article 57" applies_to_entities: - competent_authorities topics: - supervisory_framework - supervision keywords: - POS - ITS - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 55 paragraph: "1" - target: Article 56 external_references: [] recitals: [] - article_number: 58 article_title: Composition and operation chunk_file: /esma/chunks/esma_t04_ch02_board_of_appeal.md path: "Title 4 > Chapter 2 > Article 58" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework keywords: - POS - ITS - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 59 article_title: Independence and impartiality chunk_file: /esma/chunks/esma_t04_ch02_board_of_appeal.md path: "Title 4 > Chapter 2 > Article 59" applies_to_entities: [] topics: - supervisory_framework keywords: - POS - ITS contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 60 article_title: Appeals chunk_file: /esma/chunks/esma_t05_remedies.md path: "Title 5 > Article 60" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - ITS - notification - competent authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 17 - target: Article 18 - target: Article 19 - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 60a article_title: Exceeding of competence by the Authority chunk_file: /esma/chunks/esma_t05_remedies.md path: "Title 5 > Article 60a" applies_to_entities: - european_commission topics: - supervisory_framework keywords: - ITS contains: obligations: false prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "5" - target: Article 16 - target: Article 16b external_references: [] recitals: [] - article_number: 61 article_title: Actions before the Court of Justice of the European Union chunk_file: /esma/chunks/esma_t05_remedies.md path: "Title 5 > Article 61" applies_to_entities: - member_states topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 62 article_title: Budget of the Authority chunk_file: /esma/chunks/esma_t06_financial_provisions.md path: "Title 6 > Article 62" applies_to_entities: - competent_authorities topics: - supervisory_framework keywords: - supervision - POS - financial market participant - competent authorities contains: obligations: true prohibitions: true permissions: false definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 3 paragraph: "3" external_references: [] recitals: [] - article_number: 63 article_title: Establishment of the budget chunk_file: /esma/chunks/esma_t06_financial_provisions.md path: "Title 6 > Article 63" applies_to_entities: - european_commission topics: - supervisory_framework - authorisation keywords: - authorisation - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 64 article_title: Implementation and control of the budget chunk_file: /esma/chunks/esma_t06_financial_provisions.md path: "Title 6 > Article 64" applies_to_entities: - european_commission topics: - supervisory_framework - consolidation keywords: - POS - ITS - reporting contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 70 external_references: [] recitals: [] - article_number: 65 article_title: Financial rules chunk_file: /esma/chunks/esma_t06_financial_provisions.md path: "Title 6 > Article 65" applies_to_entities: - european_commission topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 66 article_title: Anti-fraud measures chunk_file: /esma/chunks/esma_t06_financial_provisions.md path: "Title 6 > Article 66" applies_to_entities: [] topics: - supervisory_framework - fraud_prevention keywords: - fraud - POS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 67 article_title: Privileges and immunities chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 67" applies_to_entities: [] topics: - supervisory_framework keywords: - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 68 article_title: Staff chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 68" applies_to_entities: - member_states - european_commission topics: - supervisory_framework - implementing_acts keywords: - POS - RTS - ITS contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 69 article_title: Liability of the Authority chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 69" applies_to_entities: - member_states topics: - supervisory_framework - liability keywords: - liability - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 70 article_title: Obligation of professional secrecy chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 70" applies_to_entities: - competent_authorities topics: - supervisory_framework - authorisation keywords: - POS - ITS - financial market participant - competent authorities contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" - target: Article 35a paragraph: "12" external_references: [] recitals: [] - article_number: 71 article_title: Data protection chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 71" applies_to_entities: [] topics: - supervisory_framework - data_protection keywords: - data - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: regulation reference: "2016/679" - instrument_type: regulation reference: "2018/1725" recitals: [] - article_number: 72 article_title: Access to documents chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 72" applies_to_entities: [] topics: - supervisory_framework keywords: - access contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 73 article_title: Language arrangements chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 73" applies_to_entities: [] topics: - supervisory_framework keywords: [] contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 74 article_title: Headquarters Agreement chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 74" applies_to_entities: - member_states topics: - supervisory_framework keywords: - POS - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 75 article_title: Participation of third countries chunk_file: /esma/chunks/esma_t07_general_provisions.md path: "Title 7 > Article 75" applies_to_entities: [] topics: - supervisory_framework keywords: - financial market participant contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 1 paragraph: "2" external_references: [] recitals: [] - article_number: 76 article_title: Relationship with the Committee of European Securities Regulators chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 76" applies_to_entities: - european_commission topics: - supervisory_framework - final_provisions - transitional_provisions - liability keywords: - liability - transfer - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 77 article_title: Transitional staff provisions chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 77" applies_to_entities: [] topics: - supervisory_framework - final_provisions - transitional_provisions - authorisation keywords: - POS - agent - ITS contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 68 external_references: [] recitals: [] - article_number: 78 article_title: National provisions chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 78" applies_to_entities: - member_states topics: - supervisory_framework - final_provisions - transitional_provisions keywords: [] contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 79 article_title: Amendments chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 79" applies_to_entities: [] topics: - supervisory_framework - final_provisions - transitional_provisions keywords: [] contains: obligations: false prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 80 article_title: Repeal chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 80" applies_to_entities: [] topics: - supervisory_framework - final_provisions - transitional_provisions keywords: [] contains: obligations: false prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 81 article_title: Review chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 81" applies_to_entities: - competent_authorities - european_commission topics: - supervisory_framework - final_provisions - transitional_provisions keywords: - API - supervision - penalty - SEPA - POS - access - system - ITS - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: true delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 38 - target: Article 19 - target: Article 9a external_references: [] recitals: [] - article_number: 82 article_title: Entry into force chunk_file: /esma/chunks/esma_t08_transitional_and_final_provisions.md path: "Title 8 > Article 82" applies_to_entities: [] topics: - supervisory_framework - final_provisions - transitional_provisions keywords: - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 76 - target: Article 77 paragraph: "1" - target: Article 77 paragraph: "2" external_references: [] recitals: []