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Chapter VII – Competent authorities (Art. 46-56)

Art. 46 DORA - Competent authorities arrow_right_alt

Without prejudice to the provisions on the Oversight Framework for critical ICT third-party service providers referred to in Chapter V, Section II, of this Regulation, compliance with this Regulation shall be ensured by the following competent authorities in accordance with the powers granted by the respective legal acts:

    1. for credit institutions and for institutions exempted pursuant to Directive 2013/36/EU, the competent authority designated in accordance with Article 4 of that Directive, and for credit institutions classified as significant in accordance with Article 6(4) of Regulation (EU) No 1024/2013, the ECB in accordance with the powers and tasks conferred by that Regulation;
    2. for payment institutions, including payment institutions exempted pursuant to Directive (EU) 2015/2366, electronic money institutions, including those exempted pursuant to Directive 2009/110/EC, and account information service providers as referred to in Article 33(1) of Directive (EU) 2015/2366, the competent authority designated in accordance with Article 22 of Directive (EU) 2015/2366;
    3. for investment firms, the competent authority designated in accordance with Article 4 of Directive (EU) 2019/2034 of the European Parliament and of the Council (1);
    4. for crypto-asset service providers as authorised under the Regulation on markets in crypto-assets and issuers of asset-referenced tokens, the competent authority designated in accordance with the relevant provision of that Regulation;
    5. for central securities depositories, the competent authority designated in accordance with Article 11 of Regulation (EU) No 909/2014;
    6. for central counterparties, the competent authority designated in accordance with Article 22 of Regulation (EU) No 648/2012;
    7. for trading venues and data reporting service providers, the competent authority designated in accordance with Article 67 of Directive 2014/65/EU, and the competent authority as defined in Article 2(1), point (18), of Regulation (EU) No 600/2014;
    8. for trade repositories, the competent authority designated in accordance with Article 22 of Regulation (EU) No 648/2012;
    9. for managers of alternative investment funds, the competent authority designated in accordance with Article 44 of Directive 2011/61/EU;
    10. for management companies, the competent authority designated in accordance with Article 97 of Directive 2009/65/EC;
    11. for insurance and reinsurance undertakings, the competent authority designated in accordance with Article 30 of Directive 2009/138/EC;
    12. for insurance intermediaries, reinsurance intermediaries and ancillary insurance intermediaries, the competent authority designated in accordance with Article 12 of Directive (EU) 2016/97;
    13. for institutions for occupational retirement provision, the competent authority designated in accordance with Article 47 of Directive (EU) 2016/2341;
    14. for credit rating agencies, the competent authority designated in accordance with Article 21 of Regulation (EC) No 1060/2009;
    15. for administrators of critical benchmarks, the competent authority designated in accordance with Articles 40 and 41 of Regulation (EU) 2016/1011;
    16. for crowdfunding service providers, the competent authority designated in accordance with Article 29 of Regulation (EU) 2020/1503;
    17. for securitisation repositories, the competent authority designated in accordance with Articles 10 and 14(1) of Regulation (EU) 2017/2402.

(1) Directive (EU) 2019/2034 of the European Parliament and of the Council of 27 November 2019 on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU (OJ L 314, 5.12.2019, p. 64).

Art. 47 DORA - Cooperation with structures and authorities established by Directive (EU) 2022/2555 arrow_right_alt

Art. 48 DORA - Cooperation between authorities arrow_right_alt

Art. 49 DORA - Financial cross-sector exercises, communication and cooperation arrow_right_alt

Art. 50 DORA - Administrative penalties and remedial measures arrow_right_alt

Art. 51 DORA - Exercise of the power to impose administrative penalties and remedial measures arrow_right_alt

Art. 52 DORA - Criminal penalties arrow_right_alt

Art. 53 DORA - Notification duties arrow_right_alt

Art. 54 DORA - Publication of administrative penalties arrow_right_alt

Art. 55 DORA - Professional secrecy arrow_right_alt

Art. 56 DORA - Data Protection arrow_right_alt