+Guidelines on authorisation of third-country branches (EBA/GL/2026/08)
---+1. Compliance and reporting obligations
------+Status of these Guidelines
------+Reporting requirements
---+Subject matter, scope and definitions
------+Subject matter
------+Scope of application
------+Addressees
------+Definitions
---+5. Implementation
------+Date of application
---+Part I: List of information for authorisation of third-country branches under CRD
------+1. Information about the identity of the applicant head undertaking and its group
---------+1. The application for authorisation to establish a TCB should include the following information on …
---------+2. The application for authorisation should contain the following information on the head …
---------+3. The application should indicate whether, based on the criteria set out in Article 48a(1) and (2) …
------+2. Programme of operations of the TCB: business plan
---------+4. The application should contain a business plan for the three years following access to the …
------+3. Programme of operations: internal governance and risk management of the TCB
---------+5. In relation to the internal governance and internal controls of the TCB, the application should …
------+4. Programme of operations: information on AML/CFT requirements
---------+6. In order to determine whether there are reasonable grounds to suspect that the TCB would be used …
------+5. Capital endowment
---------+7. The application should contain information on the capital endowment requirement, including the …
------+6. Liquidity requirements
---------+8. The application should include the following information in relation to the liquidity …
------+7. Programme of operations: information on the booking arrangements
---------+9. In relation to the booking requirements of the TCB, the information to be provided for the …
------+8. Exemption from the submission of information
---------+10. Where the applicant head undertaking has submitted an application for authorisation for the …
---------+11. The information obtained from other competent authorities should not affect the power of the …
---+Part II: Assessment methodology
------+1. General principles
---------+12. Competent authorities should review the information and documents submitted with the …
---------+13. Competent authorities should review the application also in order to assess the indicated …
---------+14. The authorisation can only be granted when the competent authority, having reviewed and …
------+2. Review of the information and documents on the applicant head undertaking and its group
---------+15. Competent authorities should review the information and documents relating to the applicant …
---------+16. For this purpose, competent authorities should take the necessary steps to gain a full …
---------+17. Competent authorities should be able to access all the necessary information on the applicant …
---------+18. Competent authorities should satisfy themselves that there is no legal impediment for the TCB …
------+3. Assessment of the programme of operations
---------+19. Competent authorities should carry out a qualitative review of the business plan, to gain an …
---------+20. Competent authorities should verify that the envisaged activities are only targeted to clients …
---------+21. Competent authorities should identify the non-core and core business lines, the typology of …
---------+22. With regard to key external factors and the business environment, competent authorities should …
---------+23. With regard to the key internal factors, competent authorities should understand success …
---------+24. Competent authorities should review the financial forecasts to assess whether they match the …
---------+25. The competent authority should also review whether there is a clear plan towards implementation …
---------+26. To assess the financial forecasts, competent authorities should at least: a) perform a …
---------+27. The competent authority’s assessment of the business plan should not enter into the merits of …
---------+4. Assessment of internal governance and risk management framework of the TCB
------------+28. Competent authorities should assess the applicant’s internal governance arrangements, based on …
------------+29. Competent authorities should assess the suitability of the at least two persons effectively …
------------+30. As part of the review of the internal governance arrangements, having regard in particular to …
------------+31. Competent authorities should pay attention that back-to-back booking practices or intragroup …
------------+32. Competent authorities should assess, where relevant, the applicant’s third -party arrangements …
---------+5. Assessment of AML/CFT requirements applicable to the TCB
------------+33. When assessing whether there are reasonable grounds to suspect if the TCB would be used to …
------------+34. Competent authorities should consult the AML/CFT competent authority in accordance with Article …
------------+35. When assessing the above AML/CFT related policies and procedures, competent authorities should …
---------+5. 6. Assessment of the minimum capital endowment requirement
------------+36. Competent authorities should ensure that the envisaged TCB will hold at authorisation the …
------------+37. Competent authorities should satisfy themselves of the eligibility of the instruments composing …
------------+38. For this purpose, competent authorities should also review the draft contract(s) to deposit the …
------------+39. Competent authorities should review that the origin of the instruments is legitimate and that …
------------+40. Competent authorities should verify that the applicant head undertaking has deposited the …
---------+7. Assessment of the liquidity requirement
------------+41. Competent authorities should achieve a clear view on the funding needs of the TCB’s business …
------------+42. The review should also focus on the liability structure, having regard to the different sources …
------------+43. Competent authorities should assess whether the planned cross-border intra-group funding …
------------+44. Competent authorities should achieve a clear view on the liquidity profile and the liability …
------------+45. Where, based on the competent authorities’ review of the application against the elements …
------------+46. With regard to the liability structure, competent authorities should assess the different …
------------+47. Competent authorities should verify that the assets to meet liquidity requirements are …
------------+48. Competent authorities should verify that the liquid assets are or will be deposited with a …
------------+49. Subject to the outcome of the assessment on whether the envisaged TCB will meet the conditions …
------------+50. Consistently with the proportionality, competent authorities should assess the envisaged TCB …
------------+51. In order to assess the overall preparedness to withstand liquidity stress, the competent …
---------+8. Assessment of the booking arrangements of the TCB
------------+52. Competent authorities should satisfy themselves that the TCB has put in place adequate …
------------+53. Competent authorities should assess the adequacy and completeness of the policies, processes …
------------+54. Competent authorities should satisfy themselves that such policy outlines the booking and …
------------+55. Competent authorities should verify that the booking arrangements set out in the policy are …
------------+56. In relation to back-to-back arrangements, competent authorities should verify that the policy …
------------+57. Competent authorities should verify that the policy has been approved by the governing body of …
---+Part III Procedural elements
------+1. Process
---------+58. Upon receipt of an application for authorisation to establish a TCB, competent authorities …
---------+59. Competent authorities should satisfy themselves that the notification is complete with all …
---------+60. Upon an application being assessed as complete, following the receipt of the last piece of …
---------+61. In case of changes in the information submitted with the application, the applicant head …
---------+62. The competent authority should inform the applicant head undertaking of the relevant milestones …
---------+63. Competent authorities should finalise the assessment within 6 months from the start of the …
---------+64. Competent authorities should consult and exchange information with the third-country competent …
---------+65. Where the statement of non-opposition by the third-country competent authority(ies) set out in …
---------+66. The consultation between competent authorities and AML/CFT competent authority of the Member …
---------+67. Considering the complexity of the application due to the different applicable laws, applicant …
---------+branch in [ name of the Member State ]
 English - European Union - Financial Industry -

Guidelines on authorisation of third-country branches (EBA/GL/2026/08)

Guidelines on authorisation of third-country branches (EBA/GL/2026/08)

https://www.eba.europa.eu/activities/single-rulebook/regulatory-activities/market-access/guidelines-authorisation-third-country-branches – PDF

1. Übersicht

,
1. Compliance and reporting obligations

1. Compliance and reporting obligations
Subject matter, scope and definitions

Subject matter, scope and definitions
5. Implementation

5. Implementation
Part I: List of information for authorisation of third-country branches under CRD

Part I: List of information for authorisation of third-country branches under CRD
Part II: Assessment methodology

Part II: Assessment methodology
Part III Procedural elements

Part III Procedural elements

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Standards

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Standards

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