1. A competent authority shall submit the request to the requested competent authority by means of the template set out in Annex XI. The requesting competent authority may attach to the request any supporting material it deems relevant. In case the information request is relevant for EIOPA’s duties, the requesting competent authority shall forward the request also to EIOPA.
2. The requesting competent authority shall specify the urgency of the request. Where the request for cooperation involves a request for information, the requesting competent authority shall:
(a)
specify, to the extent possible, the details of the information sought, including the reasons why that information is considered relevant for carrying out its duties under Regulation (EU) 2019/1238;
(b)
identify, where appropriate, any issue relating to the confidentiality of the information sought, including any special precaution for the collection of that information.
3. Where the requesting competent authority has justified reasons for categorising its request as urgent, it may make the request by means other than those provided for in paragraph 1, if the request is subsequently transmitted by electronic means in accordance with that paragraph, unless the competent authorities involved agree otherwise.
Reply to a request for cooperation or exchange of information
1. The requested competent authority shall provide its reply to the requesting competent authority by means of the template set out in Annex XII. If the reply is relevant for EIOPA’s duties, the requested competent authority shall forward the response also to EIOPA. In its reply, the requested competent authority shall:
(a)
request further clarification in any form as soon as possible where it has doubts in relation to the request;
(b)
take reasonable steps within the scope of its powers to cooperate or provide the requested information;
(c)
execute the request in a way that facilitates any necessary regulatory action to be undertaken in a timely manner, taking into account the complexity of the request and the necessity to involve another competent authority;
(d)
provide any additional essential information on its own initiative.
2. Where due to the complexity of the request or the amount of information requested the requested competent authority is unable to meet the time limit set in that request, it shall:
(a)
promptly inform the requesting competent authority of the reasons that justify such delay and provide an estimated date of response;
(b)
provide already available information by means of the template set out in Annex XII;
(c)
provide any missing information as soon as it becomes available in a manner that ensures that any necessary action can be taken expediently.
Cooperation and exchange of information in case of infringements
1. Upon becoming aware of any infringement or suspected infringement by a PEPP provider or PEPP distributor or such infringement occurring in the exercise of the freedom to provide services or freedom of establishment, the competent authority or EIOPA, as applicable, shall promptly notify the concerned competent authority by means of the template set out in Annex XIII. The notifying competent authority may attach to the notification any supporting material it deems necessary. If the infringement is relevant for EIOPA’s duties, the notifying competent authority shall also promptly notify EIOPA by means of the template set out in Annex XIII.
2. The notifying competent authority or EIOPA, as applicable, shall provide the notified competent authority with all the information necessary to assess the matter, in particular, the following information:
(a)
the type, nature, materiality and duration of the infringement or suspected infringement;
(b)
suggested actions and potential publication, if any, planned to be undertaken by the notifying competent authority;
(c)
the evidence upon which they have based their decision.
The notified competent authority and EIOPA, as applicable, may request from the notifying competent authority any other information they consider necessary for their assessment and action.
3. Where the notifying competent authority considers the information should be sent urgently, it may initially notify the notified competent authority and EIOPA, as applicable, verbally, provided that the information is subsequently transmitted by electronic means in accordance with paragraph 1, unless the competent authorities involved agree otherwise.
