Guideline 1: Mapping

1.1 Competent authorities should perform mapping of all the following:

• (a) firms operating on a cross-border basis that are established in their Member State and those firms’ cross-border establishments in other Member States or third countries;
• (b) cross-border and EU establishments operating in their Member State; and
• (c) third-country undertakings linked to the EU establishments set out in (b) above.

1.2 To perform the mapping for the purposes of these guidelines, competent authorities should use mapping:

• (a) already available to them in their capacity as prudential supervisors;
• (b) communicated to them by prudential supervisors; or
• (c) carried out by them as part of their risk-based supervision framework, which is set out in the ESAs’ Joint Guidelines on the characteristics of a risk‐based approach to anti‐money laundering and terrorist financing supervision, and the steps to be taken when conducting supervision on a risk‐sensitive basis (JC 2016 72), published on 16 November 2016 (‘the Risk-Based Supervision Guidelines’).

1.3 Competent authorities should ensure that the mapping referred to in Guideline 1.2 above:

• (a) contains sufficient information for competent authorities to ensure their compliance with these guidelines; and
• (b) is supported by a ML/TF risk assessment of firms and sectors within their supervisory remit.

1.4 When performing the mapping for the purposes of these guidelines, competent authorities should gather the necessary information from all available sources including, but not limited to:

• (a) their own supervisory activities, including annual reporting;
• (b) other competent authorities or AML/CFT supervisory authorities in third countries, to the extent possible;
• (c) public registers of authorised/licensed firms, including the registers of the European Banking Authority (EBA); and
• (d) prudential supervisors, namely information that they have about the firm or group structures of firms that are subject to their prudential supervision, including information that is obtained as part of authorisations, passporting notifications and the establishment of colleges of supervisors, where relevant.

1.5 When performing the mapping, competent authorities should use the template provided in Annex I.

1.6 When completing the mapping, competent authorities should include at least:

• (a) names of all Member States, EEA EFTA states or third countries where the firm operating on a cross-border basis has its cross-border establishments;
• (b) names of all Member States and EEA EFTA states where the third-country undertaking has its EU establishments, to the extent that this is known to the competent authority;
• (c) the name of the third country where the third-country undertaking linked to the EU establishments has its head office; and
• (d) the level of ML/TF risk associated with the firm operating on a cross-border basis, the cross-border establishments and the EU establishments, to the extent that this is known to the competent authority, in line with Steps 1 and 2 of the Risk-Based Supervision Guidelines.

1.7 Competent authorities should ensure that the mapping remains up to date. Competent authorities should review and update the mapping regularly, and on an ad hoc basis when made aware of any relevant changes in the ownership structure of the firm operating on a cross-border basis or of the third-country undertaking.

1.8 Competent authorities should submit the mapping and its updates thereafter to the relevant European supervisory authority.

1. Επισκόπηση

1.1 Παραπομπές

1.2 Εντοπισμένες απαιτήσεις

1.3 Σχετικά πρότυπα

2. Εντοπισμένες απαιτήσεις

3. Σχετικά πρότυπα

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