77. Prudential supervisors should request from AML/CFT supervisors information that is relevant for …

Prudential supervisors should request from AML/CFT supervisors information that is relevant for the Supervisory Review and Evaluation Process (SREP) as set out in the EBA Guidelines on common procedures and methodologies for the SREP²⁷ , including but not limited to:

• a. relevant outcomes of ML/TF risk assessments, including sectoral and individual risk assessments and risk ratings, in particular in cases of increased exposure to significant ML/TF risks;
• b. information related to emerging ML/TF risks that the institution may be exposed to;
• c. information related to material weaknesses²⁸ in the supervised instit ution’s AML/CFT governance, systems and controls framework;
• d. information related to potential or actual breaches, in particular serious breaches of the applicable AML/CFT laws by the supervised institution;
• e. information related to the measures put in place by the institution to mitigate breaches and material weaknesses;
• f. information related to supervisory measures or sanctions pending or imposed on the institution as set out in section 8.

²⁷ EBA Guidelines on the revised common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing (EBA/GL/2014/13).

²⁸ Material weaknesses as defined in the RTS under Article 9a of Regulation (EU) No 1093/2010.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA -

  EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

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