Clifford Chance
Regulatory information requests: checklist
16 June 2014
Regulators and other authorities at national, European and international level are adopting an increasingly active approach to supervision and enforcement. Consequently, companies are more frequently confronted with regulatory information requests. Although such requests may sometimes look like informal questions, they should be treated as formal requests and handled with consideration. What at first may seem a simple and straightforward request can ultimately lead to a complex cross-border investigation.
The checklist below provides you with pointers when dealing with regulatory information requests that may be received from various Dutch and foreign regulators and other authorities (eg DNB, AFM, ACM, IGZ, Fiod, FCA, SEC, DoJ). This checklist is not exhaustive. Deciding on a concrete approach to an information request requires an assessment of the specific circumstances of each case.
