Esma35!43!1410 Mifid II Contact Point Information For Ncas

16 August 2023
ESMA35-43-1410
NOTE
Contact points of national supervisory authorities for communication in the

MiFID II framework on supervisory cooperation, authorisation, acquisitions and
passporting
Overview
1. This document provides information on contact points of national competent authorities

(NCAs) to facilitate communication on the topics of:
• Cooperation and exchange of information between NCAs 1
• Consultation of other competent authorities prior to the authorisation of an

investment firm 2
• Consultation process between relevant competent authorities in relation to

proposed acquisition of a qualifying holding in an investment firm 3
• Passporting of investment services 4
2. The information has been provided by the NCAs and is collated in Annex I. The information
included in the Annex will be updated by ESMA to reflect any changes to the relevant detail
and will be communicated to all NCAs. NCAs should inform ESMA of any changes to the
details in the Annex in a timely manner.
1
See Article 1 of Commission Implementing Regulation (EU) 2017/980
2
3
4
See Article 2(2) of Commission Implementing Regulation (EU) 2017/2382
ESMA • 201-203 rue de Bercy • CS 80910 • 75345 Paris Cedex 07 • France • Tel. +33 (0) 1 58 36 43 21 • www.esma.europa.eu
Annex I: List of contact points of National Competent Authorities
Austria...................................................................................................................................................... 3
Belgium .................................................................................................................................................... 5
Bulgaria.................................................................................................................................................... 7
Croatia ..................................................................................................................................................... 9
Cyprus ................................................................................................................................................... 11
Czech Republic ..................................................................................................................................... 14
Denmark ................................................................................................................................................ 16
Estonia ................................................................................................................................................... 18
Finland ................................................................................................................................................... 20
France.................................................................................................................................................... 22
Germany ................................................................................................................................................ 24
Greece ................................................................................................................................................... 26
Hungary ................................................................................................................................................. 28
Iceland ................................................................................................................................................... 30
Ireland .................................................................................................................................................... 32
Italy ........................................................................................................................................................ 34
Latvia ..................................................................................................................................................... 36
Liechtenstein ......................................................................................................................................... 38
Lithuania ................................................................................................................................................ 40
Luxembourg ........................................................................................................................................... 42
Malta ...................................................................................................................................................... 44
Netherlands ........................................................................................................................................... 46
Norway................................................................................................................................................... 48
Poland.................................................................................................................................................... 50
Portugal ................................................................................................................................................. 52
Romania ................................................................................................................................................ 54
Slovakia ................................................................................................................................................. 56
Slovenia ................................................................................................................................................. 58
Spain...................................................................................................................................................... 60
Sweden .................................................................................................................................................. 62
2
Austria
Contact point details for the purposes of ‘cooperation and exchange of information
between national competent authorities’
[Commission Implementing Regulation (EU) 2017/980]
Name of the NCA Austrian Financial Market Authority
Name of
International and Legislative Affairs
Department/Unit
Address Otto Wagner Platz 5, 1090 Vienna
Contact point details for the purposes of ‘consultation of other competent

authorities prior to authorisation’
Name of
Investment Firms and Crowdfunding Service Providers
Department/Unit
Contact point details for the purposes of ‘consultation process between relevant
competent authorities in relation to the notification of a proposed acquisition of a
qualifying holding in an investment firm’
Name of
Investment Firms and Crowdfunding Service Providers
Department/Unit
3
Contact point details for the purposes of ‘passporting’
Passporting investment Firms: Unit Investment Firms

Name of
Passporting credit institutions: Unit Integrated Conduct
Department/Unit
Supervision of Banks
4
Belgium
between national compfetent authorities’
Name of the NCA FSMA
Prudential supervision of UCI and AIF management companies

Name of
and of portfolio management and investment advice
Department/Unit
companies
Address Rue du Congrès 12-14, 1000 Brussels, Belgium
Contact point details for the purposes of ‘consultation of other competent authorities
prior to authorisation’
Name of Prudential supervision of UCI and AIF management companies

Department/Unit and of portfolio management and investment advice companies
5

Name of
Department/Unit
companies


Name of
Department/Unit
companies
6
Bulgaria
Name of the NCA Financial Supervision Commission (FSC)
Name of
Investment Supervision Division
Department/Unit
Address 16 Budapeshta str., 1000 Sofia, Bulgaria

Name of
Department/Unit
Name of
Department/Unit
7
Name of
Department/Unit
8
Croatia
Name of the NCA Croatian Financial Services Supervisory Agency (HANFA)
Name of Regulatory Harmonisation and International Cooperation

Department/Unit Division
Address Račkoga 6, 10000 Zagreb, Croatia



9

10
Cyprus
Central Bank of Cyprus (Only for inquiries on information

Name of the NCA
related to credit institutions)
Name of
Financial Conduct and Investment Services Section
Department/Unit
Address 80 Kennedy Avenue, Nicosia 1076, Cyprus
Name of the NCA Cyprus Securities and Exchange Commission
Name of Department of Strategy, International Relations and

Department/Unit Communications
Address 19 Diagorou Street, 1097 Nicosia, Cyprus


Name of the NCA
Name of
Supervision Division
Department/Unit
11


Name of the NCA
Name of
Department/Unit

12

Name of the NCA
Name of
Department/Unit

Name of
Authorisations Department
Department/Unit
13
Czech Republic
Name of the NCA Czech National Bank
Financial Market Regulation and International Cooperation

Name of
Department – International Cooperation on Financial Market
Department/Unit
Division
Address Na Příkopě 28, 115 03 Praha 1, Czech Republic

Name of Licensing and Enforcement Department – Enforcement

Name of Licensing and Enforcement Department – Enforcement

14
Name of
Licensing and Enforcement Department – Licensing Division
Department/Unit
15
Denmark
Name of the NCA Danish Financial Supervisory Authority (the Danish FSA)
Name of
Department of Investor Protection
Department/Unit
Strandgade 29
Address
1401 Copenhagen

Name of
Department/Unit
Strandgade 29
Address
1401 Copenhagen
Name of
Department/Unit
Strandgade 29
Address
1401 Copenhagen
16
Name of
Department/Unit
Strandgade 29
Address
1401 Copenhagen
17
Estonia
Name of the NCA Finantsinspektsioon
Name of
Administrative Services Department
Department/Unit
Address Sakala 4, Tallinn, 15030, Estonia

Name of Administrative Services Department;

Department/Unit Corporate Governance Department
Name of
Corporate Governance Department
Department/Unit
18
Name of
Financial Services Supervision Department
Department/Unit
19
Finland
Name of the NCA Finanssivalvonta (FIN-FSA)
Name of
Capital Markets Supervision
Department/Unit
Address Snellmaninkatu 6, P.O. Box 103, FI-00101 Helsinki, Finland

Name of
Capital Markets Supervision/Investment Products and Services
Department/Unit
Name of
Department/Unit
20
Name of
Department/Unit
21
France
Name of the NCA Autorité des Marchés Financiers
Name of International Cooperation Unit, Investigation and Inspection

Address 17, place de la Bourse 75082 Paris cedex 2, France

Name of the NCA Autorité de Contrôle Prudentiel et de Résolution
Name of
-
Department/Unit
Address -
Name of
-
Department/Unit
Address -
22
Name of
-
Department/Unit
Address -
23
Germany
Bundesanstalt für Finanzdienstleistungsaufsicht

Name of the NCA
(Federal Financial Supervisory Authority)
Name of
Division WA 44
Department/Unit
Marie-Curie-Strasse 24-28
Address 60439 Frankfurt am Main
Germany


Name of the NCA
Name of
Division WA 44
Department/Unit
Germany

Name of the NCA
Name of
Division WA 44
Department/Unit
Germany
24

Name of the NCA
Name of
Division WA 44
Department/Unit
Germany
25
Greece
Name of the NCA Hellenic Capital Market Commission (HCMC)
Name of
Directorate of International Relations
Department/Unit
Address 3-5 Ippokratous Str, 10679 Athens, Greece

Name of
Department/Unit
Name of
Department/Unit
26
Name of
Department/Unit
Contact point details for the purposes of ‘passporting’ regarding credit institutions
Bank of Greece
Name of the NCA Bank of Greece is the competent authority in relation to the
passport notifications of credit institutions under MiFID II
Name of
Banking Supervision Department
Department/Unit
Address 21 E. Venizelos Avenue, GR 102 50, Athens, Greece
27
Hungary
Name of the NCA Central Bank of Hungary (MNB)
Name of
Department of Capital Markets Supervision
Department/Unit
Address H-1122 Budapest, Krisztina krt. 6.

Name of
Money and Capital Markets Licensing Department
Department/Unit
Name of
Department/Unit
28
Name of
Department/Unit
29
Iceland
Name of the NCA Central Bank of Iceland
Name of
Markets and conduct
Department/Unit
Address Kalkofnsvegur 1, 101 Reykjavík

Name of
Compliance and Inspections
Department/Unit
Name of
Department/Unit
30
Name of
Department/Unit
31
Ireland
Contact point details for the purposes of ‘cooperation and exchange of

information between national competent authorities’
Name of the NCA Central Bank of Ireland
Name of Supervisory Practices & Regulation (SPR) Banking

Department/Unit Supervision Division
Address New Wapping Street, North Wall Quay, Dublin 1, Ireland


Contact point details for the purposes of ‘consultation process between

relevant competent authorities in relation to the notification of a proposed
acquisition of a qualifying holding in an investment firm’

32
Inward FOS: Regulatory and Business Services Division

Name of
Inward FOE: Consumer Protection Investment Firm and
Department/Unit
Client Asset Division
33
Italy

Name of the NCA CONSOB
Name of
International Relations Office
Department/Unit
Via G. B. Martini, 3
Address 00198 Rome
Italy

Name of
Department/Unit
Address 00198 Rome
Italy

Name of
Department/Unit
Address 00198 Rome
Italy
34
Name of
Department/Unit
Address 00198 Rome
Italy
35
Latvia

Name of the NCA Financial and Capital Market Commission
Name of
Office of the Board, Legal and Licensing Department
Department/Unit
Address Kungu iela 1, Rīga, LV-1050, Latvia

Name of Legal and Licensing Department, Financial Instruments

Department/Unit Market Supervision Department

Name of
Legal and Licensing Department
Department/Unit
36
Name of
Legal and Licensing Department
Department/Unit
37
Liechtenstein

Name of the NCA Liechtenstein Financial Market Authority
Name of
Asset Management and Markets Division
Department/Unit
Address Landstrasse 109, P.O. Box 279, 9490 Vaduz, Liechtenstein

Name of
Department/Unit

Name of
Department/Unit
38
Name of
Department/Unit
Landstrasse 109, P.O. Box 279, 9490 Vaduz,

Address
Liechtenstein
39
Lithuania

Name of the NCA Bank of Lithuania
Investment Services and Undertakings Supervision

Name of
Division
Department/Unit
Financial Services and Markets Supervision Department
Address Žalgirio g. 90, LT-09323 Vilnius, Lithuania

Licensing Division
Name of
Prudential Supervision Department
Department/Unit
Supervision Service
40
Licensing Division
Name of
Department/Unit
Supervision Service

Licensing Division
Name of
Department/Unit
Supervision Service
41
Luxembourg

Name of the NCA Commission de Surveillance du Secteur Financier (CSSF)
Name of
Executive Board Secretariat
Department/Unit
283, route d’Arlon

Address
L-1150 Luxembourg

Name of
Department/Unit

Address
L-1150 Luxembourg

Name of
Department/Unit

Address
L-1150 Luxembourg
42
Name of
Department/Unit

Address
L-1150 Luxembourg
43
Malta

Name of the NCA Malta Financial Services Authority
Name of
Investment Services Supervision & Conduct Supervision
Department/Unit
Mdina Road, Zone 1, Central Business District, CBD 1010,

Address
Birkirkara, Malta

Name of
Investment Services Supervision
Department/Unit

Address
Birkirkara, Malta

Name of
Department/Unit

Address
Birkirkara, Malta
44
Name of
Department/Unit

Address
Birkirkara, Malta
45
Netherlands

Name of the NCA AFM
Name of
Legal Department/ Juridische Zaken
Department/Unit
Address Vijzelgracht 50, P.O.Box 11723, 1001 GS Amsterdam

Name of the NCA AFM
Name of
Department/Unit

Name of the NCA AFM
Name of
Department/Unit
46
Name of the NCA AFM
Name of
Asset Management (AM)
Department/Unit
47
Norway

The Financial Supervisory Authority of Norway

Name of the NCA
(Finanstilsynet)
Name of
Capital Markets Supervision/Investment Firms Section
Department/Unit
Address Revierstredet 3, 0107 Oslo, Norway


Name of the NCA
(Finanstilsynet)
Name of
Department/Unit


Name of the NCA
(Finanstilsynet)
Name of
Department/Unit
48

Name of the NCA
(Finanstilsynet)
Name of
Department/Unit
49
Poland

Polish Financial Supervision Authority (Komisja Nadzoru

Name of the NCA
Finansowego)
Name of International Cooperation Department (Departament

Department/Unit Współpracy Międzynarodowej)
ul. Piękna 20
Address
00-549 Warsaw


Name of the NCA
Finansowego)

ul. Piękna 20
Address
00-549 Warsaw


Name of the NCA
Finansowego)

ul. Piękna 20
Address
00-549 Warsaw
50

Name of the NCA
Finansowego)
Name of Investment Firms Department (Departament Firm

Department/Unit Inwestycyjnych)
ul. Piękna 20
Address
00-549 Warsaw
51
Portugal

Name of the NCA CMVM / Portugal
Name of
Regulatory Policy and International Affairs Department
Department/Unit
Address Rua Laura Alves, n.º 4, 1050-138 Lisbon

Name of
Authorisation and Registration Department
Department/Unit

Name of
Department/Unit
52
Name of
Department/Unit
53
Romania

Name of the NCA ROMANIAN FINANCIAL SUPERVISORY AUTHORITY
Name of STRATEGY AND FINANCIAL STABILITY DEPARTMENT

Department/Unit - European Affairs and International Relations Unit
15, SPLAIUL INDEPENDENTEI, SECTOR 5,

Address
BUCHAREST, ROMANIA, 050092

REGULATION AND LICENSING DEPARTMENT/

Name of Intermediaries & Market Institutions Licensing and
Department/Unit Monitoring Unit

Address

REGULATION AND LICENSING DEPARTMENT /

Name of
Intermediaries & Market Institutions Licensing and
Department/Unit
Monitoring Unit
Address
54
REGULATION AND LICENSING DEPARTMENT /

Name of
Intermediaries & Market Institutions Licensing and
Department/Unit
Monitoring Unit
Address
55
Slovakia

Name of the NCA Národná banka Slovenska
Name of
Capital Market Supervision Department
Department/Unit
Address Imricha Karvaša 1, 813 25 Bratislava, Slovakia

Name of Capital Market Supervision Department, First-Instance

Department/Unit Proceedings Section

Name of Capital Market Supervision Department, First-Instance

Department/Unit Proceedings Section
56
Name of
Capital Market Supervision Department
Department/Unit
57
Slovenia

Name of the NCA Securities Market Agency (SMA)
Name of
International Cooperation Department
Department/Unit
Address Poljanski nasip 6, 1000 Ljubljana, Slovenia

Name of
Financial Instruments Market Department
Department/Unit

Name of
Department/Unit
58
Name of
Department/Unit
59
Spain

Name of the NCA CNMV
Name of
Dirección de Asuntos Internacionales
Department/Unit
Address C/Edison , 4 28006 Madrid

Name of
Department/Unit

Name of
Department/Unit
60
Name of
Dirección de Autroización y Registro
Department/Unit
61
Sweden

Name of the NCA Finansinspektionen
Name of
Capital Markets Law
Department/Unit
Finansinspektionen
Address Box 7821, SE-103 97 Stockholm, Sweden
Visiting address: Brunnsgatan 3, Stockholm, Sweden

Name of
Capital Markets Law
Department/Unit
Finansinspektionen

Name of
Capital Markets Law
Department/Unit
Finansinspektionen
62
Name of
Capital Markets Law
Department/Unit
Finansinspektionen
63

Esma35!43!1410 Mifid II Contact Point Information For Ncas

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16 August 2023

Contact points of national supervisory authorities for communication in the

1. This document provides information on contact points of national competent authorities

• Cooperation and exchange of information between NCAs 1

• Consultation of other competent authorities prior to the authorisation of an

• Consultation process between relevant competent authorities in relation to

• Passporting of investment services 4

Name of the NCA Austrian Financial Market Authority

Address Otto Wagner Platz 5, 1090 Vienna

Contact point details for the purposes of ‘consultation of other competent

Name of the NCA Austrian Financial Market Authority

Address Otto Wagner Platz 5, 1090 Vienna

Name of the NCA Austrian Financial Market Authority

Address Otto Wagner Platz 5, 1090 Vienna

Name of the NCA Austrian Financial Market Authority

Passporting investment Firms: Unit Investment Firms

Address Otto Wagner Platz 5, 1090 Vienna

Name of the NCA FSMA

Prudential supervision of UCI and AIF management companies

Address Rue du Congrès 12-14, 1000 Brussels, Belgium

Name of the NCA FSMA

Name of Prudential supervision of UCI and AIF management companies

Address Rue du Congrès 12-14, 1000 Brussels, Belgium

Name of the NCA FSMA

Prudential supervision of UCI and AIF management companies

Contact point details for the purposes of ‘passporting’

Name of the NCA FSMA

Prudential supervision of UCI and AIF management companies

Address Rue du Congrès 12-14, 1000 Brussels, Belgium

Name of the NCA Financial Supervision Commission (FSC)

Address 16 Budapeshta str., 1000 Sofia, Bulgaria

Contact point details for the purposes of ‘consultation of other competent

Name of the NCA Financial Supervision Commission (FSC)

Address 16 Budapeshta str., 1000 Sofia, Bulgaria

Name of the NCA Financial Supervision Commission (FSC)

Address 16 Budapeshta str., 1000 Sofia, Bulgaria

Name of the NCA Financial Supervision Commission (FSC)

Address 16 Budapeshta str., 1000 Sofia, Bulgaria

Name of the NCA Croatian Financial Services Supervisory Agency (HANFA)

Name of Regulatory Harmonisation and International Cooperation

Address Račkoga 6, 10000 Zagreb, Croatia

Contact point details for the purposes of ‘consultation of other competent

Name of the NCA Croatian Financial Services Supervisory Agency (HANFA)

Name of Regulatory Harmonisation and International Cooperation

Address Račkoga 6, 10000 Zagreb, Croatia

Name of the NCA Croatian Financial Services Supervisory Agency (HANFA)

Name of Regulatory Harmonisation and International Cooperation

Address Račkoga 6, 10000 Zagreb, Croatia

Name of the NCA Croatian Financial Services Supervisory Agency (HANFA)

Name of Regulatory Harmonisation and International Cooperation

Address Račkoga 6, 10000 Zagreb, Croatia

Central Bank of Cyprus (Only for inquiries on information

Address 80 Kennedy Avenue, Nicosia 1076, Cyprus

Name of the NCA Cyprus Securities and Exchange Commission

Name of Department of Strategy, International Relations and

Address 19 Diagorou Street, 1097 Nicosia, Cyprus

Contact point details for the purposes of ‘consultation of other competent

Central Bank of Cyprus (Only for inquiries on information

Address 80 Kennedy Avenue, Nicosia 1076, Cyprus

Name of the NCA Cyprus Securities and Exchange Commission

Name of Department of Strategy, International Relations and

Address 19 Diagorou Street, 1097 Nicosia, Cyprus