81. AML/CFT supervisors should request from prudential supervisors information that is relevant …

AML/CFT supervisors should request from prudential supervisors information that is relevant when carrying out the ML/TF risk assessment of the supervised institutions, including but not limited to:

• a. i nformation relevant to assessing institutions’ inherent ML/TF risk or the sectorial ML/TF risk, particularly information on the institution´s products and services, customer base, geographical presence or distribution channels;²⁹
• b. relevant outcomes resulting from the Supervisory Review and Evaluation Process (SREP)³⁰ , where available, in particular in the areas of business model, the assessment of internal governance and institution-wide controls, risks to capital and risks to liquidity and funding;
• c. relevant breaches or material weaknesses identified in the supervised institution that may have an impact on the institution’s AML/CFT framework;
• d. information related to supervisory measures or sanctions pending or imposed on the institution as set out in section 8;
• e. information on branches and subsidiaries necessary to fulfil the mapping of firms according to the Joint Guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849³¹ .

²⁹ In line with the revised Joint Guidelines on risk-based supervision (EBA/GL/2021/16).

³⁰ In accordance with the 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).

³¹ Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions (JC 2019 81).

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.

  DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.