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European Union
Commission Delegated Regulation (EU) 2021/731
Article 3
1.

Commission Delegated Regulation (EU) 2021/731

law://eu/reg/2021/731/art_3__para_1@2026-11-12

Version in force onWhereEuropean Union

History · 1 version

7 May 2021Reading

Contents

1. The complete file to be submitted by the investigation off…
2. Where ESMA considers that the file submitted by the invest…
3. Where ESMA considers, on the basis of a complete file, tha…
4. Where ESMA does not agree with the findings of the investi…
5. Where ESMA agrees with all or some of the findings of the…
6. Where ESMA decides that one or more of the infringements l…

Contents

1. The complete file to be submitted by the investigation off…
2. Where ESMA considers that the file submitted by the invest…
3. Where ESMA considers, on the basis of a complete file, tha…
4. Where ESMA does not agree with the findings of the investi…
5. Where ESMA agrees with all or some of the findings of the…
6. Where ESMA decides that one or more of the infringements l…

Connections

Cited by 1: this act

Key facts

Type: Delegated regulation · Commission Delegated Regulation (EU) 2021/731 · EEA relevant
Adopted: 26 Jan 2021
In force: 7 May 2021
Made by: Directorate-General for Financial Stability, Financial Services and Capital Markets Union, European Commission
Official: EUR-Lex 32021R0731 · ELI

Topics

access to EU information administrative procedure European Securities and Markets Authority financial legislation financial supervision periodic penalty payment rights of the defence sanction (EU)third country Freedom of establishment Free movement of capital

This text since 7 May 2021

In force

1.The complete file to be submitted by the investigation officer to ESMA shall include the following documents:

(a)the statement of findings and a copy of the statement of findings addressed to the person subject to the investigation;

(b)copy of the written submissions by the person subject to the investigation;

(c)the minutes of any oral hearing.

Source: EUR-Lex, © European Union, 1998-2026. Reuse authorised under Decision 2011/833/EU.