Art. 3 Practical arrangements for supervisory cooperation | RTS on home-host supervisory cooperation | AML

This article establishes the procedural framework for how supervisors must initiate and manage cooperation requests with one another.

Building directly on the secure communication channels introduced in Article 2, it sets out the minimum content a cooperation request must contain, governs how that request is transmitted, and places obligations on both the requesting and requested supervisor throughout the process.

It also provides a narrow exception allowing requests to be made through alternative means in exceptional circumstances, subject to a strict 72-hour resubmission requirement.

Important points:

Requesting supervisors must include a defined set of minimum information in every cooperation request, covering the parties involved, the obliged entity, the justification, and confidentiality requirements.
Requested supervisors are required to acknowledge receipt without undue delay and must inform the requesting supervisor if they cannot meet the indicated deadline, proposing an alternative where appropriate.
All supervisors specified in Article 1 must maintain a record of all cooperation actions, including requests, decisions taken, and information exchanged.

1. To initiate a request for cooperation, the requesting supervisor shall submit a request to the supervisor from whom cooperation is sought. The following minimum information shall be provided:
  1. identification of the requesting and requested supervisors;
  2. the obliged entity or entities concerned, to the extent possible specifying the type of the concerned obliged entities with reference to Article 3 of Regulation (EU) 2024/1624;
  3. the reason, object and justification of the request;
  4. a description of the information requested, or of the planned inquiry, and its intended use;
  5. relevant requirements concerning data confidentiality and foreseen secure channels of communication;
  6. the preferred deadlines for providing a response or requested action.
1. The request under paragraph 1 shall be transmitted by using secure channels of communication as set out in Article 2.
1. In duly justified exceptional circumstances, the requesting supervisor may make the request by means other than those referred to in Article 2, including orally, while ensuring the appropriate level of confidentiality and security. Within 72 hours the request made pursuant to the first sentence shall be resubmitted by means referred to in Article 2 and shall contain information stipulated in paragraph 1.
1. The requests for cooperation and the subsequent exchanges between supervisors in accordance with this Regulation shall be submitted in any Union language agreed by the supervisors specified in Article 1.
1. The requested supervisor shall acknowledge the receipt of the request without undue delay and shall ask the requesting supervisor for any clarification that it deems necessary.
1. The requested supervisor shall make every effort to respond to the request within the deadlines indicated in the request. Where the requested supervisor is unable to comply with the request or to meet the indicated preferred deadline, it shall inform without undue delay the requesting supervisor of the reasons for such inability and, where appropriate, propose a different deadlines for the response.
1. The supervisors specified in Article 1 shall maintain a record of all cooperation actions, including requests, decisions taken and information exchanged.

Article 3 Practical arrangements for supervisory cooperation

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