European Bank Regulations and Financial Markets:
the Regulatory and Legal Risks?

This e-Presentation offers an overview of key elements of European banking and financial markets regulation, including macro-prudential regulation, the interaction between the ECB, EBA and the SSM, CRD, CRR, and the EU Bank Recovery and Resolution framework.

Prof Kern Alexander

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Question 1 of 3

Question 1: On the basis of the case law discussed in the presentation, which of the following is considered as condition for the legality of a Commission inspection?

That outside counsel is present during the inspection.

That the Commission has obtained prior judicial authorisation to conduct the dawn raid.

That the inspection decision of the Commission mentions the product and geographic market allegedly affected.

That the inspection decision mentions all the information available to the Commission concerning the possible infringement.

Question 2 of 3

Question 2: The Commission cannot extend its search to

documents in order to ascertain whether they are within the scope of the investigation.

offices that the undertaking states that are irrelevant to the inspection.

documents in electronic format.

documents that are pertinent to sectors other than those mentioned in the inspection decision.

Question 3 of 3

Question 3: Pursuant to the Explanatory Note of the Commission of 18-3-2013, which of the following is not true with regard to Commission inspectors?

They are required to justify the inspection decision when the undertaking representatives so require.

They entitled to assistance by NCA officials.

They are required to prove their identity.

They should provide the undertaking with a copy of the inspection decision.

European Bank Regulations and Financial Markets:
the Regulatory and Legal Risks?

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Standard version

Certified version

Chapters

Question 1 of 3

Question 1: On the basis of the case law discussed in the presentation, which of the following is considered as condition for the legality of a Commission inspection?

Question 2 of 3

Question 2: The Commission cannot extend its search to

Question 3 of 3

Question 3: Pursuant to the Explanatory Note of the Commission of 18-3-2013, which of the following is not true with regard to Commission inspectors?

Summary

e-Presentation ended

European Bank Regulations and Financial Markets: the Regulatory and Legal Risks?

Information

Standard version

Certified version

Chapters

Question 1 of 3

Question 1: On the basis of the case law discussed in the presentation, which of the following is considered as condition for the legality of a Commission inspection?

Question 2 of 3

Question 2: The Commission cannot extend its search to

Question 3 of 3

Question 3: Pursuant to the Explanatory Note of the Commission of 18-3-2013, which of the following is not true with regard to Commission inspectors?

Summary

e-Presentation ended

European Bank Regulations and Financial Markets:
the Regulatory and Legal Risks?