102. Competent authorities ’ sampling policy should be flexible and allow for adjustments based on …

Competent authorities ’ sampling policy should be flexible and allow for adjustments based on the level of risk or new information, including information obtained as part of their supervisory activities. This means that competent authorities may change the size of the sample, the categories of customers, products, services or transactions included in the sample or the specific checks performed prior to or during the inspection or review. Where sampling suggests a systemic failure to comply with the applicable AML/CFT obligations on behalf of the subject of assessment, competent authorities should investigate the root cause of this failure, which may involve further checks or supervisory activities, including additional sampling or interviews with key personnel.

1. Pregled

1.1 Reference

1.2 Utvrđeni zahtjevi

1.3 Povezani standardi

2. Utvrđeni zahtjevi

3. Povezani standardi

• EBA -

  EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

  DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.