2. The application for authorisation should contain the following information on the head …

The application for authorisation should contain the following information on the head undertaking and its group:

• a) corporate chart of the group of the applicant head undertaking, showing, among others, the intermediary and ultimate parent head undertaking, as per Article 47(3), point (2) CRD and the geographic areas of establishment and of activity of the entities which are part of the TCG;
• b) indication of any ongoing or foreseen corporate material operations within the TCG (eg. mergers or acquisitions, establishment of new subsidiaries and/or other third-country branches) which may significantly impact on the prudential situation and the organisational structure of the applicant head undertaking;
• c) identity of the members of the management body in management function of (i) the applicant head undertaking, including the member(s) who is the ultimate reporting line about the TCB, and (ii) the intermediate and ultimate parent undertaking, where applicable;
• d) chart of the capital structure of the ultimate parent head undertaking with identification of direct controlling shareholders and of the ultimate beneficial owner(s). Where the TCG has one or more subsidiaries or TCBs in the EU which are financial sector entities, information on the Member State where they are authorised and name of the relevant authority or, where the application for authorisation is pending, indication of the competent authority handling such application and the relevant contact persons within that competent authority;
• e) audited financial statements of the last three years of the head undertaking on a solo and where applicable on a consolidated basis, including a summary note describing the operations of the head undertaking or its group;
• f) where the programme of operations envisages the taking of deposits by the TCB, commitment of the applicant head undertaking to make the TCB to become member of the deposit guarantee scheme of the Member State where the application is submitted²⁴ .
• g) statement from the third-country competent authority or authorities of the applicant head undertaking, and where applicable, the intermediary and ultimate parent head undertaking within the meaning of Article 47(2), point (b) CRD, that there are no grounds of opposition to the establishment of the TCB. Such statement(s) should cover the good standing of all the relevant head undertakings in respect of the compliance by such head undertaking(s) on an individual and on a consolidated basis as applicable under third-country law, with the prudential requirements applicable in third-country law and regulation (notably, own funds, own funds requirements, LCR, NSFR, leverage ratio requirement), and the adequacy of the organisational, administrative and accounting structures. The non-opposition statement should also cover the good repute of all the relevant head undertakings and the members of their respective management bodies in management function, as well as the controlling shareholders and the ultimate beneficial owners. The non-opposition statement by the third-country competent authority or authorities should consider any breach of law or regulation that is relevant for the prudential framework of the relevant third country, such as violation of prudential regulations, insolvency, commercial crimes, money laundering and terrorist financing, which occurred in the past ten years or other shorter period as applicable under third-country prudential law,

24 To align with Article 15 Directive 2014/49/EU on Deposit guarantee schemes, as amended by point (16) of Article 1 of Directive 2026/804/EU of 30 March 2026, in OJEU L of 20.4.2026, page 1. . including under pending procedure or investigation. Where relevant, the non-opposition statement should specify information about criminal, financial law, money laundering, insolvency or commercial law convictions which have not been set aside, pending criminal investigations, procedures or similar proceedings or investigations.

• h) Where directly provided to the applicant by the third-country competent authority, such non-opposition statement should be included in the application. Alternatively, the competent authority should consult the third-country competent authority in accordance with Part III of these Guidelines.
• i) A reasoned, third-party legal opinion on the absence of impediments in the third country’s framework applicable to the applicant, intermediate and ultimate parent head undertaking, as applicable, precluding the ability of the TCB to comply with the EU and prudential legislation and regulation.

1. Übersicht

1.1 Referenzen

• Article 15 Branches of credit institutions established in third countries

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/