92. When deciding whether to carry out a full-scope on-site inspection at the subject of …

When deciding whether to carry out a full-scope on-site inspection at the subject of assessment, competent authorities should consider the following factors:

• a) whether there is a need to obtain additional or more comprehensive information on the subject of assessment that may be obtained only through on-site elements;
• b) what type of information is needed and how to obtain it effectively and in a comprehensive manner;
• c) whether the outcomes of previous on-site inspections or off-site reviews carried out either by the competent authority or relevant prudential supervisors or, where the subject of assessment is part of a group, by competent authorities responsible for the supervision of other entities within the group, if available, show poor levels of AML/CFT compliance or suggest poor compliance culture within the subject of assessment or within the group, which may have an impact on the subject of assessment;
• d) whether subjects of assessment have previously breached their AML/CFT obligations and whether they have done so repeatedly;
• e) what type of supervisory follow-up, if any, was previously applied by the competent authority to the subject of assessment; and
• f) whether subjects of assessment have previously demonstrated their commitment to fix the shortcomings and whether they have taken robust action to do so.

1. Übersicht

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Standards

2. Identifizierte Anforderungen

3. Zugehörige Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/