MiCA Article 97 third-country cooperation
A source-backed, conservative evidence checklist for turning MiCA Article 97 cooperation agreements with third countries into authority touchpoint registers, information-sharing provenance, and supervisory handoffs.
Last reviewed · We re-read every article when ESMA, the EBA, or an NCA publishes guidance that changes it.
What Article 97 changes operationally
Cooperation agreements with third countries: Regulation (EU) 2023/1114 Article 97 is publicly titled around cooperation agreements with third countries in MiCA article references.
For CASP operating evidence, treat Article 97 as a reason to keep third-country authority touchpoints traceable: authority identity, source URL, retrieval date, information-sharing basis, confidentiality handling, response owner, and how the file connects back to Article 61 reverse-solicitation assumptions, Article 65 cross-border service maps, Article 95 cooperation records, and Article 109 register hygiene.
This page is a control-mapping checklist. It is not a legal interpretation, cross-border filing instruction, reverse-solicitation opinion, authorisation route decision, provider endorsement, broker recommendation, or assurance about any firm, authority, third country, service, communication, inspection, request, cooperation agreement, or fact pattern.
Article 97 third-country cooperation evidence map
third-country authority touchpoint register
Track the third-country authority name, Member State or EU authority touchpoint, source URL, retrieval date, subject matter, request owner, response status, and unresolved external-advice questions.
Information-sharing provenance
Keep document versions, production logs, confidentiality or professional-secrecy handling notes, redaction decisions, transmission records, and sign-off ownership for information prepared around third-country cooperation.
Reverse-solicitation and cross-border handoffs
Connect Article 97 context to Article 61 reverse-solicitation records, EU-facing promotion inventories, Article 65 cross-border service maps, and any Article 62 authorisation-route assumptions.
Register, governance, and risk links
Reconcile third-country cooperation files with Article 93 authority routing, Article 95 cooperation records, Article 96 EBA/ESMA request logs, Article 109 ESMA register hygiene, and Article 68 governance evidence.
Broker, insurer, partner, and internal-risk diligence questions
- Evidence sources: Article 61 client-initiative files, Article 65 Member State service maps, Article 93 authority routing records, Article 95 cooperation files, Article 96 EBA/ESMA logs, source URLs, retrieval dates, governance minutes, and incident records.
- Decision records: request owner, compliance reviewer, authority source, confidentiality status, information-production status, client-impact owner, operational-risk assessment, and unresolved external-advice questions.
- Handoff pages: link Article 97 third-country cooperation evidence to Article 61 reverse solicitation, Article 65 cross-border services, Article 95 cooperation, Article 96 EBA/ESMA cooperation, Article 68 governance controls, and Article 109 ESMA register hygiene.
FAQ
What does MiCA Article 97 cover?
Article 97 is framed in public MiCA references around cooperation agreements with third countries. This checklist uses that title as a conservative control-mapping prompt for third-country authority touchpoints, information provenance, confidentiality notes, and response ownership.
Why does Article 97 matter for CASP evidence packs?
Third-country cooperation context can expose dependencies around EU-facing service scope, reverse-solicitation assumptions, cross-border service records, authority routing, source provenance, register hygiene, and governance ownership. CASPs should keep those records easy to review before counsel, partner, auditor, broker, insurer, or internal-risk diligence.
Does this page say a third-country firm can avoid MiCA authorisation?
No. This page is not a legal interpretation or route decision. It helps teams preserve source-backed evidence and unresolved questions for qualified legal, regulatory, competent-authority, partner, broker, insurer, auditor, or internal-risk review.