Information about crowdfunding service providers that is to be exchanged
Article 1
Competent authorities shall exchange the following information about a crowdfunding service provider: (a) general information and documents relating to the crowdfunding service provider: (i) the name of the crowdfunding service provider, the address of its head or registered office, contact details, its ISO 17442 legal entity identifier (LEI) code and relevant excerpts from nationally held registers; (ii) information concerning constitutional documents that the crowdfunding service provider is required to have under the applicable national legislation; (b) information about the natural persons responsible for the management of the crowdfunding service provider which was provided as part of the authorisation process, including: (i) the name and personal identification number, where the latter is available in the relevant Member State; (ii) information on the positions which such persons hold within the crowdfunding service provider; (c) information necessary to assess the good repute and suitability of the natural persons responsible for the management of the crowdfunding service provider, including, where available: (i) information about their work experience; (ii) the following information about their reputation: (1) information about criminal records, or administrative or civil sanctions and information about criminal investigations opened against such persons in respect of infringements of national rules in the fields of commercial law, insolvency law, financial services law, anti-money laundering law, fraud law or professional liability obligations, through an official certificate, or other equivalent document in accordance with national law, and a detailed description of any civil or administrative sanctions imposed; (2) information about ongoing investigations or proceedings other than those set out in point (c)(ii)(1) (3) information about any refusal of registration, authorisation, membership or license to carry out a business or a profession, and information about the withdrawal, revocation or termination of such a registration, authorisation, membership or license, or exclusion by a regulatory or government body or by a professional body or association; (4) information about any dismissal from employment relating to positions and tasks concerning the management of funds or similar fiduciary relationships and a description of the reasons for such dismissal; (d) information about shareholders who hold 20 % or more of the share capital or voting rights of the crowdfunding service provider, including information on the absence of criminal records or administrative or civil sanctions and information about criminal investigations opened against such shareholders, in respect of infringements of national rules in the fields of commercial law, insolvency law, financial services law, anti-money laundering law, fraud law or professional liability obligations and a detailed description of any civil or administrative sanctions imposed; (e) information about the crowdfunding service provider’s organisational structure, operating conditions and compliance with the requirements set out in Regulation (EU) 2020/1503, which was provided as part of the authorisation process and as updated through the supervisory activities of the competent authority receiving the request for information, including but not limited to: (i) information about the governance arrangements and internal control mechanisms ensuring compliance with Regulation (EU) 2020/1503, including risk-management and accounting procedures; (ii) a programme of operations setting out the types of crowdfunding services provided by the crowdfunding service provider in accordance with Regulation (EU) 2020/1503; (iii) compliance records of the crowdfunding service provider, including information held by competent authorities; (iv) information that can be requested from crowdfunding service providers in relation to the activities and requirements specified in Articles 3 to 11 of Regulation (EU) 2020/1503; (f) information about the authorisation as a crowdfunding service provider or the withdrawal of authorisation pursuant to Articles 12, 13 and 17 of Regulation (EU) 2020/1503; (g) information on any penalty, including criminal penalties, administrative measures or enforcement actions, imposed on the crowdfunding service provider; (h) any other information necessary for cooperating in investigation, supervision and enforcement activities pursuant to Article 31(1) of Regulation (EU) 2020/1503.