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