+Draft Joint Guidelines on the assessment of the suitability of the shareholders or members, whether direct or indirect, with qualifying holdings in issuers of ARTs or of CASPs
---+D. Compliance and reporting obligations
---+Status of these guidelines
------+1. This document contains guidelines issued pursuant to Articles 16 of Regulation (EU) No 1093/2010 …
------+2. Competent authorities as defined in Article 3(1) point (35)(a) of MiCA to whom guidelines apply …
---+Reporting requirements
------+3. Within two months of the date of publication of these guidelines on EBA’s and ESMA’s website s …
------+4. Notifications will be published on the EBA website, in line with Article 16(3) of Regulation …
---+Subject matter, scope and definitions
---+Subject matter
------+5. In accordance with Article 16 of Regulation (EU) No 1093/2010 and of Regulation (EU) No …
------+6. These draft Joint Guidelines lay down the methodology that competent authorities should use for …
------+7. In accordance with Article 16 of Regulation (EU) No 1093/2010 and of Regulation (EU) No …
---+Scope of application
------+8. In accordance with Articles 18(2), point (j) or 62(2)(h) of MiCA, in case of application for …
------+9. In accordance with Articles 42(1) and 84(1) of MiCA, in case of issuer of ART or CASP authorised …
------+10. These guidelines do not apply to issuers of ARTs or CASPs that are authorised as credit …
---+Addressees
------+11. These guidelines are addressed to competent authorities as defined in Article 3(1), point …
---+Definitions
------+12. Unless otherwise specified, terms used and defined in MiCA have the same meaning in these Draft …
---+E. Implementation
---+Date of application
------+13. These guidelines apply from dd.mm.yyyy [“Instruction to editors – Please insert date [2] months …
---+F. Draft Joint Guidelines
---+F.1. Acting in concert, significant influence, indirect shareholders, decision to acquire
------+14. Competent authorities should determine whether the circumstances giving rise to a proposed …
------+15. For these purposes competent authorities should apply the assessment methodology set out in the …
---+F.2. Assessment of suitability of shareholders or members, whether direct or indirect, with qualifying holdings at authorisation
------+16. Pursuant to Article 21(2), point (c) or Article 63(10), point (c) of MiCA, competent …
------+17. For the assessment of the reputation of the proposed acquirer, competent authorities should …
------+18. For the assessment of the absence of reasonable grounds to suspect that ML/TF are being …
------+19. For the purposes of the assessment of the aspects of sufficiently good repute relating to …
---+F.3. Assessment of the suitability of a proposed acquirer of a qualifying holding in accordance with Articles 42(1) or 84(1) of MiCA
------+20. In order to assess whether a natural or legal person have made the decision to acquire …
------+21. Competent authorities have to assess the suitability of proposed acquirers of direct or …
------+22. For the assessment of the criterion set out in Article 42(1), point (a) or in Article 84 (1) …
------+23. For the assessment of the criterion set out in Article 42(1), point (b) or in Article 84(1) …
------+24. For the assessment of the criterion set out in Article 42(1), point (c) or in Article 84(1) …
------+25. For the assessment of the criterion set out in Article 42(1), point (d), relating to the …
------+26. With specific regard to issuers of ARTs, the continuous compliance with the prudential …
------+27. For the assessment of the criterion set out in Article 42(1), point (e), or in Article 84(1) …
------+28. Whenever the funds for the acquisition of the qualifying holdings consist in crypto-assets or …
------+29. Target supervisors should apply the principle of proportionality in their assessment in …
------+30. In case the proposed acquirer intends to acquire a qualifying holding in a target undertaking …

Draft Joint Guidelines on the assessment of the suitability of the shareholders or members, whether direct or indirect, with qualifying holdings in issuers of ARTs or of CASPs

Draft Joint Guidelines on the assessment of the suitability of the shareholders or members, whether direct or indirect, with qualifying holdings in issuers of ARTs or of CASPs

1. Overview

,
D. Compliance and reporting obligations

D. Compliance and reporting obligations
Status of these guidelines

Status of these guidelines
Reporting requirements

Reporting requirements
Subject matter, scope and definitions

Subject matter, scope and definitions
Subject matter

Subject matter
Scope of application

Scope of application
Addressees

Addressees
Definitions

Definitions
E. Implementation

E. Implementation
Date of application

Date of application
F. Draft Joint Guidelines

F. Draft Joint Guidelines
F.1. Acting in concert, significant influence, indirect shareholders, decision to acquire

F.1. Acting in concert, significant influence, indirect shareholders, decision to acquire
F.2. Assessment of suitability of shareholders or members, whether direct or indirect, with qualifying holdings at authorisation

F.2. Assessment of suitability of shareholders or members, whether direct or indirect, with qualifying holdings at authorisation
F.3. Assessment of the suitability of a proposed acquirer of a qualifying holding in accordance with Articles 42(1) or 84(1) of MiCA

F.3. Assessment of the suitability of a proposed acquirer of a qualifying holding in accordance with Articles 42(1) or 84(1) of MiCA

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards
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