Joint examination teams

Preamble (Recitals 1 – 10)

Recitals

Article 1

Tasks of the members of a joint examination team

Article 2

Establishment of a joint examination team

Article 3

Members of the joint examination team

Article 4

Renewal of the membership in the joint examination team

Article 5

Working arrangements of the members of the joint examination team

Article 6

Entry into force

Article 1Note: This article is based on the final draft from the ESAs and is not yet adopted. Tasks of the members of a joint examination team

  1. The joint examination team shall assist the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation in conducting oversight activities, including the individual oversight plan adopted annually according to Article 33(4) of Regulation (EU) 2022/2554.

  2. The tasks of the members of the joint examination team shall be performed under the coordination of the Lead Overseer coordinatordefined in-line and shall include any of the following:

    1. assisting the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation in the preparation and drafting of the individual annual oversight plan describing the annual oversight objectives and the main oversight activities planned for each critical ICT third-party service provideran ICT third-party service provider designated as critical in accordance with Article 31 that are to be carried out by the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation and the joint examination team;

    2. assisting the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation in performing the assessment referred to in Article 33(2) of Regulation (EU) 2022/2554;

    3. collecting and assessing the information submitted by the critical ICT third-party service provideran ICT third-party service provider designated as critical in accordance with Article 31 according to Article 37 of Regulation (EU) 2022/2554and Chapter II of Commission Delegated Regulation xxx [RTS on harmonisation of the conditions of oversight conduct]Offical text not yet finalized.;

    4. conducting general investigations on the critical ICT third-party service providersan ICT third-party service provider designated as critical in accordance with Article 31 according to Article 38 of Regulation (EU) 2022/2554;

    5. conducting inspections of the critical ICT third-party service providersan ICT third-party service provider designated as critical in accordance with Article 31 according to Article 39 of Regulation (EU) 2022/2554;

    6. drafting the recommendations addressed to the critical ICT third-party service provideran ICT third-party service provider designated as critical in accordance with Article 31 as defined in Article 35(1), point (d) of Regulation (EU) 2022/2554;

    7. assessing the remediation plan and the progress reports as defined in Article 4 of Commission Delegated Regulation xxx [RTS on harmonisation of the conditions of oversight conduct]Offical text not yet finalized.;

    8. preparing and drafting the requests and decisions to the critical ICT third-party service provideran ICT third-party service provider designated as critical in accordance with Article 31 referred to in Article 35(6), Article 37(1), Article 38(4), and Article 39(6) of Regulation (EU) 2022/2554;

    9. assisting the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation in its contribution to horizontal oversight activities, including in the development of benchmarking, as referred to in Article 32(3) of Regulation (EU) 2022/2554;

    10. ensuring that the relevant information relating to financial entitiesas defined in Article 2, points (a) to (t) making use of the services provided by the critical ICT third-party service providersan ICT third-party service provider designated as critical in accordance with Article 31 are shared with the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation;

    11. assisting the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation in unplanned ad hoc activities deemed necessary by the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation for the purpose of oversight.

  3. In case the individual annual oversight plan is significantly revised during the year by the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation, the Lead Overseerthe European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation shall involve the joint examination team in the process of the revision and execution of the individual annual oversight plan according to point (a) of paragraph 2.

Table of contents