+4. Guidelines
---+4.1 Appointment of members of a competent authority’s govern-ance body
------+13. Where competent authorities are responsible for or take part in the appointment of the members …
---+4.2 Tenure period
------+14. In relation to a member of a competent authority’s governance body who is appointed after 11 …
---+4.3 Arrangements to prevent conflicts of interest
------+Concept of conflict of interest
---------+15. Competent authorities should ensure that their rules and practices consider that situations …
---------+16. For this purpose: a) a personal interest should include any benefit or potential benefit, of a …
------+Establishment of mechanisms, rules and practices to prevent conflicts of interest
---------+17. Competent authorities should have in place appropriate mechanisms, rules and practices to …
---------+18. Competent authorities should have in place appropriate channels for internal reporting …
------+Pre-employment declarations of interest
---------+19. The pre-employment declaration of interest referred to in Article 4a(7) of Directive 2013/36/EU …
------+Other pre-employment disclosures
---------+20. Competent authorities may require prospective members of staff and members of their governance …
------+Annual declarations of interest
---------+21. The annual declarations of interest referred to in Article 4a(7) of Directive 2013/36/EU to be …
---------+22. Competent authorities may also require the submission of information referred to in paragraph …
------+Ad-hoc declarations of interest
---------+23. Competent authorities should ensure that members of staff and members of a competent …
---------+24. Competent authorities may also require that their members of staff and the members of their …
------+Assessment of declarations
---------+25. Competent authorities should assess declarations by considering whether the specific interests …
---------+26. Where the staff member or member of the governance body performs tasks for another public …
---------+27. For the purposes of the application of Article 4a(8) of Directive 2013/36/EU, financial …
---------+28. Holding financial instruments can be considered as not giving rise to conflicts of interest or …
---------+29. Competent authorities should ensure that the sale or disposal of financial instruments referred …
---------+30. Where a competent authority requires a member of staff or a member of its governance body who …
---+4.4 Breaches of conflicts of interest rules, corrective measures, in-cluding disciplinary measures
------+31. Competent authorities should ensure that potential cases of non-compliance with conflicts of …
------+32. Measures taken by competent authorities should be effective, proportionate and dissuasive. …
---+4.5 Other measures taken to address conflicts of interest
------+33. Competent authorities may take other measures to address conflicts of interest, including the …
---+4.6 Forbidden conducts
------+34. Competent authorities should ensure that members of staff and members of their governance body …
------+Scope of financial instruments covered
---------+35. For the purposes of Article 4a(3), point (a) and (b)(i) of Directive 2013/36/EU: a) ‘ …
---------+36. For the purposes of the first subparagraph of Article 4a(3), point (a)(i), of Directive …
---------+37. For the purposes of the second subparagraph of Article 4a(3) of Directive 2013/36/EU, when …
------+cooling-off periods
---------+38. For the purposes of Article 4a(3), point (b)(i) of Directive 2013/36/EU competent authorities …
---------+39. For the purposes of Article 4a(3), point (b)(ii) of Directive 2013/36/EU, competent authorities …
---------+40. For the purposes of Article 4a(3), point (b)(iii) of Directive 2013/36/EU‘ lobbying and …
------+Notification procedures
---------+41. Competent authorities should put in place procedures requiring members of staff and members of …
---------+1. As defined in the EBA Outsourcing Guidelines (EBA/GL/2019/02). b) entities providing services to …
------+Assessment process
------+Length of the cooling-off periods

4. Guidelines

4. Guidelines

1. Overview

,
4.1 Appointment of members of a competent authority’s govern-ance body

4.1 Appointment of members of a competent authority’s govern-ance body
4.2 Tenure period

4.2 Tenure period
4.3 Arrangements to prevent conflicts of interest

4.3 Arrangements to prevent conflicts of interest
4.4 Breaches of conflicts of interest rules, corrective measures, in-cluding disciplinary measures

4.4 Breaches of conflicts of interest rules, corrective measures, in-cluding disciplinary measures
4.5 Other measures taken to address conflicts of interest

4.5 Other measures taken to address conflicts of interest
4.6 Forbidden conducts

4.6.1 Prohibition of trading in financial instruments

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

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