EBA and ESMA request-response log
Track the authority source, EBA or ESMA touchpoint, national competent authority owner, request type, source URL, retrieval date, response owner, response status, and unresolved external-advice questions.
What Article 96 changes operationally
Cooperation with EBA and ESMA: Regulation (EU) 2023/1114 Article 96 is titled “Cooperation with EBA and ESMA” in public MiCA text and ESMA Interactive Single Rulebook references.
For CASP operating evidence, treat Article 96 as a reason to keep national competent-authority, EBA, and ESMA touchpoints traceable: request source, retrieval date, information owner, confidentiality handling, response status, and how the file connects back to authorisation, market-abuse, register, or cross-border-service evidence.
This page is a control-mapping checklist. It is not a legal interpretation, supervisory-response instruction, authorisation opinion, enforcement-risk determination, provider endorsement, broker recommendation, or assurance about any firm, authority, request, inspection, service, Member State, EU authority, or fact pattern.
Article 96 EBA and ESMA cooperation evidence map
Information request provenance
Keep source files, document versions, production logs, confidentiality or professional-secrecy handling notes, redaction decisions, and sign-off ownership for any record prepared for EBA, ESMA, or a competent authority.
Supervisory evidence handoffs
Connect Article 96 cooperation files to Article 93 competent-authority routing, Article 95 cooperation records, Article 94 response files, Article 109 register hygiene, and Article 68 governance evidence.
Register and convergence touchpoints
Where EBA or ESMA context affects classification, register, supervisory, or public-source records, reconcile the internal source file with public ESMA register checks, service-scope evidence, and governance escalation minutes.
Broker, insurer, partner, and internal-risk diligence questions
- Evidence sources: Article 93 competent-authority routing records, Article 95 cooperation files, Article 94 response logs, Article 109 ESMA register checks, correspondence logs, source URLs, retrieval dates, governance minutes, and incident records.
- Decision records: request owner, legal or compliance reviewer, authority source, confidentiality status, evidence-production status, client-impact owner, operational-risk assessment, and unresolved external-advice questions.
- Handoff pages: link Article 96 EBA/ESMA cooperation evidence to Article 95 cooperation, Article 93 competent-authority routing, Article 94 response files, Article 68 governance controls, Article 92 market-abuse reporting, and Article 109 ESMA register hygiene.
FAQ
What does MiCA Article 96 cover?
Article 96 is titled “Cooperation with EBA and ESMA”. This checklist uses that public title as a conservative control-mapping prompt for authority touchpoints, request provenance, and response ownership.
Why does Article 96 matter for CASP evidence packs?
EBA or ESMA cooperation context can create additional supervisory, register, classification, or market-abuse evidence dependencies. CASPs should keep request provenance, source URLs, evidence owners, response status, confidentiality notes, and links to authorisation, register, governance, and service-scope records easy to review.
How does Article 96 connect to insurance or partner diligence?
Traceable authority-cooperation records can expose operational-risk gaps around document retention, governance ownership, public-register hygiene, authority routing, confidentiality handling, incident response, and supervisory-response readiness. Those gaps can matter to partners, auditors, counsel, brokers, insurers, and internal-risk teams without turning this page into legal, supervisory, brokerage, underwriting, or insurance advice.