EU-DORA-38-06
Transparency
38 — General investigations
Inform competent authorities before investigation start
Description
The Lead Overseer must inform competent authorities of financial entities using the ICT services of the critical ICT third-party service provider about the envisaged investigation and identity of...
Full Analysis & Evidence Requirements
Sign in to view the full obligation text, AI-generated applicability analysis, evidence checklists, and compliance mapping.
Sign In to ViewRelated Obligations
EU-DORA-38-01
Requirement
Submit to investigations by Lead Overseer
EU-DORA-38-02
Transparency
Provide records, data, procedures and materials for examination
EU-DORA-38-03
Transparency
Allow copying and extraction of materials
EU-DORA-38-04
Transparency
Respond to summons for explanations
EU-DORA-38-05
Transparency
Provide telephone and data traffic records upon request
EU-DORA-38-07
Transparency
Communicate investigation information to JON
EU-DORA-38-08
Documentation
Produce written authorization for investigation officials
EU-DORA-38-09
Transparency
Include penalty information in investigation authorization
EU-DORA-38-10
Transparency
Include legal remedies and review rights in investigation decision
Map this obligation to your AI systems
ReguLume automatically maps regulatory obligations to your system inventory, identifies compliance gaps, and generates remediation plans.
Get Started