6.1 Article / Legislative Act Please indicate the EU legislation (and, if possible, the relevant Article(s)) you think may have been infringed by the NCA under [insert relevant section under 4] / the firms/groups supervised by that NCA 7. Nature of the disagreement 7.1 Concise case The case summary should be drafted in such a way to ensure summary that ESMA can assess whether the request is unsubstantiated, abusive or outside the scope of Article 19 of the ESMA Regulation (the latter condition is particularly relevant in case of requests for binding mediation). To that extent, at least the following information should be provided, where applicable: Why and to what extent the alleged conduct of the NCA under [insert relevant section under 4] affects investor protection / the orderly function of the financial markets in your Member State. Please provide as much concrete evidence as possible. The date that you became aware of the alleged conduct by the relevant firm The date that the alleged conduct began Whether the alleged conduct is ongoing Whether you have been in contact with the NCA under relevant section under 4]; [insert if yes, please provide us with copies of the relevant correspondence Whether you have taken any action regarding the alleged conduct; Whether the NCA under [insert relevant section under 4] has taken any action regarding the alleged conduct 7.2 List of documents to which the case summary refers
6.1 Article / Legislative Act Please indicate the EU legislation (and, if possible, the relevant Article(s)) you think may have been infringed by the NCA under [insert relevant section under 4] / the firms/groups supervised by that NCA 7. Nature of the disagreement 7.1 Concise case summary The case summary should be drafted in such a way to ensure that ESMA can assess whether the request is unsubstantiated, abusive or outside the scope of Article 19 of the ESMA Regulation (the latter condition is particularly relevant in case of requests for binding mediation). To that extent, at least the following information should be provided, where applicable: Why and to what extent the alleged conduct of the NCA under [insert relevant section under 4] affects investor protection / the orderly function of the financial markets in your Member State. Please provide as much concrete evidence as possible. The date that you became aware of the alleged conduct by the relevant firm The date that the alleged conduct began Whether the alleged conduct is ongoing Whether you have been in contact with the NCA under [insert relevant section under 4]; if yes, please provide us with copies of the relevant correspondence Whether you have taken any action regarding the alleged conduct; Whether the NCA under [insert relevant section under 4] has taken any action regarding the alleged conduct 7.2 List of documents to which the case summary refers
esma42-110-500_template_for_the_submission_of_a_request_to_esma_to_assist_in_the_settlement_of_a_disagreement.docx