Article 4, Paragraph 2. · ECB/2026/18

Contents

2.The joint controller responsible for handling the data subject request shall be:

(a)for fit and proper procedures for significant supervised entities, the relevant NCA in accordance with Articles 93 and 94 of Regulation (EU) No 468/2014 (ECB/2014/17) until the assessment in the fit and proper procedure is assigned to the ECB, and thereafter the ECB;

(b)for authorisation procedures:

(i)in cases of authorisation, the NCA that receives the application for authorisation to take up the business of a credit institution pursuant to Article 14(1) of Regulation (EU) No 1024/2013 until the draft decision prepared by the NCA is notified to the ECB, and thereafter the ECB;

(ii)in cases of qualifying holdings, the NCA that receives the notification or any related information pursuant to Article 15(1) of Regulation (EU) No 1024/2013 until the draft NCA proposal for a decision to oppose or not to oppose the acquisition is submitted to the ECB, and thereafter the ECB;

(iii)in cases of procedures initiated by an NCA for withdrawal of an authorisation to take up the business of a credit institution, including a withdrawal at the credit institution’s request, pursuant to Article 80 of Regulation (EU) No 468/2014 (ECB/2014/17), the relevant NCA until the draft withdrawal decision prepared by the NCA is submitted to the ECB, and thereafter the ECB;

(iv)in cases of procedures initiated by the ECB for withdrawal of an authorisation to take up the business of a credit institution, the ECB;

(v)in cases of establishment of a branch by a significant supervised entity, the NCA of the home Member State in accordance with Article 11 of Regulation (EU) No 468/2014 (ECB/2014/17) until the opening of the passporting procedure is notified to the ECB, and thereafter the ECB;

(vi)in cases of notification of a change in the provision of services by a significant supervised entity or a less significant supervised entity; notification of a change in branch particulars by a significant supervised entity or a less significant supervised entity; or the establishment of a branch by a less significant supervised entity, the NCA of the home Member State until the opening of the passporting procedure is notified to the ECB, and thereafter the ECB;

(vii)in cases of establishment of a branch in a participating Member State by a credit institution established in a non-participating Member State, the NCA of the host Member State until the opening of the passporting procedure is notified to the ECB, and thereafter the ECB;

(viii)in cases of the provision of services outside the participating Member States by a significant supervised entity or by a less significant supervised entity, the NCA of the home Member State until the opening of the passporting procedure is notified to the ECB, and thereafter the ECB;

(ix)in cases of the provision of services in a participating Member State by a credit institution established in a non-participating Member State, the NCA of the host Member State until the opening of the passporting procedure is notified to the ECB, and thereafter the ECB;

(x)in cases of approval or exemption from approval of (mixed) financial holding companies comprising significant supervised entities or significant supervised groups, the ECB;

(xi)in cases of approval or exemption from approval of (mixed) financial holding companies comprising less significant supervised entities or less significant supervised groups, the NCA that receives the application in accordance with Article 21a of Directive 2013/36/EU;

(xii)in cases of mergers carried out by institutions and by (mixed) financial holding companies where the entities resulting from such proposed operation are significant supervised entities, the ECB;

(xiii)in cases of mergers carried out by institutions and by (mixed) financial holding companies where the entities resulting from such proposed operation are less significant supervised entities, the NCA that receives the notification pursuant to Article 27i(1), first subparagraph, of Directive 2013/36/EU;

(xiv)in cases of divisions carried out by institutions and by (mixed) financial holding companies that are significant supervised entities, the ECB;

(xv)in cases of divisions carried out by institutions and by (mixed) financial holding companies that are less significant supervised entities, the NCA that receives the notification pursuant to Article 27i(1), second subparagraph, of Directive 2013/36/EU;

(c)for ongoing supervision of significant supervised entities, the ECB;

(d)for enforcement and sanctions, the ECB;

(e)for on-site inspections of significant supervised entities, the ECB;

(f)for oversight of the supervision of less significant supervised entities, the ECB;

(g)for supervision of less significant supervised entities:

(i)the NCA of the home Member State; or

(ii)where the ECB exercises directly itself all the relevant powers for a less significant supervised entity pursuant to Article 6(5), point (b), of Regulation (EU) No 1024/2013, the ECB.