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Chapter XII · PROVISIONS CONCERNING THE AUTHORITIES RESPONSIBLE FOR AUTHORISATION AND SUPERVISION › Article 98

Article 98

1.   The competent authorities shall be given all supervisory and investigatory powers that are necessary for the exercise of their functions. Such powers shall be exercised:

(a)

directly;

(b)

in collaboration with other authorities;

(c)

under the responsibility of the competent authorities, by delegation to entities to which tasks have been delegated; or

(d)

by application to the competent judicial authorities.

2.   Under paragraph 1, competent authorities shall have the power, at least, to:

(a)

access any document in any form and receive a copy thereof;

(b)

require any person to provide information and, if necessary, to summon and question a person with a view to obtaining information;

(c)

carry out on-site inspections;

(d)

require existing telephone and existing data traffic records;

(e)

require the cessation of any practice that is contrary to the provisions adopted in the implementation of this Directive;

(f)

request the freezing or the sequestration of assets;

(g)

request the temporary prohibition of professional activity;

(h)

require authorised investment companies, management companies or depositaries to provide information;

(i)

adopt any type of measure to ensure that investment companies, management companies or depositaries continue to comply with the requirements of this Directive;

(j)

require the suspension of the issue, repurchase or redemption of units in the interest of the unit-holders or of the public;

(k)

withdraw the authorisation granted to a UCITS, a management company or a depositary;

(l)

refer matters for criminal prosecution; and

(m)

allow auditors or experts to carry out verifications or investigations.

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