+Membres permanents
---+Status of these joint guidelines
---+Reporting requirements

Membres permanents

5.1 L’autorité de surveillance principale devrait toujours inviter les autorités suivantes à participer au collège LBC/FT en tant que membres permanents :

  • (a) toutes les autorités compétentes responsables de la surveillance LBC/FT de tous les établissements transfrontaliers de l’entreprise exerçant des activités sur base transfrontalière ;
  • (b) les autorités compétentes responsables de la surveillance LBC/FT de tous les établissements UE ;
  • (c) l’AES concernée (l’ABE, l’AMEF ou l’AEAPP).

5.2 L’autorité de surveillance principale devrait être chargée d’identifier les membres permanents visés à l’orientation 5.1 et de consigner leur nom et leurs coordonnées dans la liste de contacts du collège LBC/FT pertinent, conformément à l’orientation 6. Afin d’identifier les autorités compétentes, l’autorité de surveillance principale devrait consulter le registre des autorités compétentes publié par la Commission européenne conformément à l’article 48, paragraphe 1 bis, de la directive (UE) 2015/849.

5.3 Sur réception de l’invitation à participer au collège LBC/FT, les membres permanents devraient confirmer leur participation par écrit auprès de l’autorité de surveillance principale, dans un délai de 10 jours ouvrables.

1. Vue d’ensemble

,
Status of these joint guidelines

This document contains joint guidelines issued pursuant to Articles 16 and 56, subparagraph 1, of Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European supervisory authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC; Regulation (EU) No 1094/2010 establishing a European supervisory authority (European Insurance and Occupational Pensions Authority); and Regulation (EU) No 1095/2010 establishing a European supervisory authority (European Securities and Markets Authority)) – ‘the ESA regulations’. In accordance with Article 16(3) of the ESA regulations, competent authorities and financial institutions must make every effort to comply with the guidelines.

Joint guidelines set out the European supervisory authorities’ (ESAs’) views of appropriate supervisory practices within the European System of Financial Supervision or of how Union law should be applied in a particular area. Competent authorities to which the joint guidelines apply should comply by incorporating them into their supervisory practices as appropriate (e.g. by amending their legal framework or their supervisory processes), including where the joint guidelines are directed primarily at institutions.
Reporting requirements

In accordance with Article 16(3) of the ESA regulations, competent authorities must notify the respective European supervisory authority (ESA) of whether they comply or intend to comply with these joint guidelines, or otherwise, with reasons for non-compliance, by dd.mm.yyyy (2 months after issuance). In the absence of any notification by this deadline, competent authorities will be considered non-compliant by the respective ESA. Notifications should be sent to compliance@eba.europa.eu, compliance@eiopa.europa.eu and compliance@esma.europa.eu with the reference ‘JC 2019 81’. A template for notifications is available on the ESAs’ websites. Notifications should be submitted by persons with appropriate authority to report compliance on behalf of their competent authorities.

Notifications will be published on the ESAs’ websites, in line with Article 16(3).

1.1 Références

1.2 Exigences identifiées

1.3 Normes associées

2. Exigences identifiées

Exigences

3. Normes associées

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