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

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