Scope of assistance. 1. To the extent permitted by their respective Laws and Regulations, the Authorities will provide each other with mutual assistance in any matters falling within the competence of the Authorities, including in particular the following areas:
a. investigations and enforcement in connection with applicable Laws and Regulations relating to insider dealing, market manipulation and other fraudulent or manipulative practices in the securities field,
b. investigation and enforcement of, and monitoring compliance with, applicable Laws and Regulations relating to dealing in, advising on and the management, administration and safekeeping of securities,
c. checking that the conditions for the taking up of, or continuing in, business as an Intermediary are met, including e.g. the enforcement of requirements to be authorized,
d. enforcing and monitoring compliance with applicable Laws and Regulations relating to the disclosure of interests in securities, takeover bids or the acquisition of influence over financial intermediaries,
e. the supervision of the Financial Markets, including clearing and settlement facilities, the monitoring and surveillance of OTC-transactions in securities listed on regulated markets,
f. enforcing or monitoring compliance with applicable Laws and Regulations relating to the duties of issuers and offerors of securities in relation to the disclosure of information.
2. In cases where the information requested may be maintained by, or available to, another authority within the country of the Requested Authority, the Requested Authority will endeavor to provide full assistance in obtaining the information requested, to the extent permitted by its national Laws and Regulations. If necessary, the Requested Authority will provide the Requesting Authority with sufficient information to establish direct contact between the Requesting Authority and the other authority.
3. The Requested Authority may refuse to act on a request for assistance where communication of the information might adversely affect the sovereignty, security or public policy of the State of the Requested Authority or where judicial proceedings for the imposition of criminal penalties have already been initiated in the jurisdiction of the Requested Authority, in respect of the same actions and against the same persons or on the grounds that the provision of assistance might result in a judicial or administrative sanction being imposed, where a non-appealable judicial or administrative...
Scope of assistance. Referral mechanism
5.1. The Authorities will refer to each other Innovator Businesses that would like to operate in the other Authority’s jurisdiction. The Receiving Authority intends to assist the Innovator Businesses in understanding the regulatory regime under the Receiving Authority’s remit, and how such regimes may be relevant to them.
5.2. The Authorities intend to share information about innovations in financial services in their respective markets, where appropriate. This may include, but is not limited to:
5.2.1. Emerging trends and developments;
5.2.2. Regulatory issues pertaining to innovation in financial services; and
5.2.3. Information on organisations or bodies which lead efforts to promote innovation in financial services.
5.3. Authorities intend to consider participating in joint innovation projects on the application of novel financial technologies.
Scope of assistance. 3.1 In the event of an Emergency affecting the electrical generation, electrical or natural gas transmission, distribution, and/or related facilities owned or controlled by a Party, such Party ("Requesting Party") may request another Party ("Assisting Party") to provide Assistance. The Assisting Party shall, in its sole discretion, determine if it shall provide such Assistance. If the Assisting Party determines to provide Assistance, such Assistance shall be provided in accordance with the terms and conditions of this Agreement.
3.2 Requests for Assistance may be made either verbally or in writing by the Authorized Representative of the Requesting Party and shall be directed to the Authorized Representative of the Assisting Party. Authorized Representatives of the Parties are identified in Attachment “B” hereto and shall be updated upon any change in such Authorized Representative. Upon acceptance of a request for Assistance either verbally or in writing, the Assisting Party shall respond with reasonable dispatch to the request in accordance with information and instructions supplied by the Requesting Party. All requests for Assistance shall follow the procedures described in Attachment "D". The Requesting Party shall also follow the procedures set forth in Attachment “E” for Deactivation of Assistance.
3.3 The Requesting Party shall provide the Assisting Party with a description of the work needed to address the Emergency, with the most urgent needs for Assistance addressed first. If the request is not based on a lack of resources, such information must be stated in the request. The Assisting Party shall use its reasonable efforts to schedule the Assistance in accordance with the Requesting Party's request. However, the Assisting Party reserves the right to recall any and all personnel, material, Equipment, supplies, and/or tools at any time that the Assisting Party determines necessary for its own operations. Any Requesting Party for whom an Operator Qualification (OQ) Program and/or Drug and Alcohol Program under 49 CFR Parts 192 and 199 respectively, is required should pre-screen the other Parties to this Agreement to determine which Parties have compatible regulatory agency accepted programs and may therefore be contacted for assistance. Parties to this agreement agree to make their programs and related records available for review to assist in the pre- screening.
3.4 The Requesting Party will provide the name and contact information for the person(s)...
Scope of assistance. 1. The customs authorities of the Union and New Zealand shall assist each other in the prevention, identification, investigation and suppression of breaches of the customs legislation.
2. Assistance under this Agreement shall not prejudice the rights and obligations of either Contracting Party on mutual assistance in criminal matters under international Agreements or the laws and regulations of each Contracting Party. Nor shall it cover information obtained under powers exercised at the request of a judicial authority.
3. Assistance to recover duties, taxes or fines is not covered by this Agreement.
Scope of assistance. Assistance shall include the following:
(a) taking testimony or statements;
(b) enabling the hearing by videoconference;
(c) obtaining items, including through the execution of search and seizure;
(d) obtaining records, documents or reports of bank accounts;
(e) examining persons, items or places;
(f) locating or identifying persons, items or places;
(g) providing items in the possession of the legislative, administrative or judicial authorities of the requested State as well as the local authorities thereof;
(h) serving documents and informing a person of an invitation to appear in the requesting State;
(i) temporary transfer of a person in custody for testimony or other evidentiary purposes;
(j) assisting in proceedings related to freezing or seizure and confiscation of proceeds or instrumentalities; and
(k) any other assistance permitted under the laws of the requested State and agreed upon between a Member State and Japan.
Scope of assistance. Referral mechanism
5.1. The Authorities will refer to each other Innovator Businesses that would like to operate in the other Authority’s jurisdiction. The Receiving Authority intends to assist the Innovator Businesses in understanding the regulatory regime under the Receiving Authority’s remit, and how such regimes may be relevant to them.
5.2. The Authorities intend to share information about innovations in financial services in their respective markets, where appropriate. This may include, but is not limited to:
5.2.1. emerging market trends and developments;
5.2.2. regulatory and policy issues pertaining to innovation in financial services; and
5.2.3. any other relevant issues on Fintech.
5.3. The Authorities intend to consider participating in joint innovation projects on the application of novel financial technologies.
5.4. Each Authority may allow its staff, as appropriate, to give presentations and conduct training sessions for the other Authority to share expertise and knowledge.
5.5. Authorities may second their staff on attachment to the other Authority on a case-by-case basis, subject to such terms and conditions as may be agreed.
Scope of assistance. The customs administrations shall provide each other, either on request or on their own initiative, with information which helps to ensure proper application of customs law and the prevention, investigation and combating of customs offences.
Scope of assistance. 1. The Parties shall, in accordance with this Treaty and subject to their respective domestic laws, render to one another the widest possible measure of mutual legal assistance in criminal matters, namely investigations, prosecutions and resulting proceedings.
2. Mutual assistance to be rendered in accordance with this Treaty may include:
(a) taking of evidence or obtaining voluntary statements from persons;
(b) making arrangements for persons to give evidence or to assist in criminal matters;
(c) effecting service of judicial documents;
(d) executing searches and seizures;
(e) examining objects and sites;
(f) providing original or certified copies of relevant documents, records and items of evidence;
(g) identifying or tracing property derived from the commission of an offence and instrumentalities of crime;
(h) the restraining of dealings in property or the freezing of property derived from the commission of an offence that may be recovered, forfeited or confiscated;
(i) the recovery, forfeiture or confiscation of property derived from the commission of an offence;
(j) locating and identifying witnesses and suspects; and
(k) the provision of such other assistance as may be agreed and which is consistent with the objects of this Treaty and the laws of the Requested Party.
3. This Treaty applies solely to the provision of mutual assistance among the Parties. The provisions of this Treaty shall not create any right on the part of any private person to obtain, suppress or exclude any evidence or to impede the execution of any request for assistance.
4. For the purposes of this Treaty, the expression "instrumentalities of crime" means property used in connection with the commission of an offence or the equivalent value of such property.
Scope of assistance. Article 3
Scope of assistance. Consular protection of citizens of the assisted State shall include the following consular functions: assistance in cases of death; assistance in cases of serious accident or illness; assistance in cases of arrest, detention or imprisonment; assistance to victims of a violent crime; relief and repatriation of distressed nationals; issuance of the EU Emergency Travel Document or national certificate of return.
