+EIROPAS CENTRĀLĀS BANKAS REGULA (ES) Nr. 468/2014 (2014. gada 16. aprīlis), ar ko izveido vienotā uzraudzības mehānisma pamatstruktūru Eiropas Centrālās bankas sadarbībai ar nacionālajām kompetentajām un norīkotajām iestādēm (VUM pamatregula) (ECB/2014/17)
---+Preamble: 1
---+PART I GENERAL PROVISIONS
------+Article 1 Subject matter and purpose
---------+Article 1 1
---------+Article 1 2
---------+Article 1 3
------+Article 2 Definitions
---------+Article 2 (1)
---------+Article 2 (2)
---------+Article 2 (3)
---------+Article 2 (4)
---------+Article 2 (5)
---------+Article 2 (6)
---------+Article 2 (7)
---------+Article 2 (8)
---------+Article 2 (9)
---------+Article 2 (10)
---------+Article 2 (11)
---------+Article 2 (12)
---------+Article 2 (13)
---------+Article 2 (14)
---------+Article 2 (15)
---------+Article 2 (16)
---------+Article 2 (17)
---------+Article 2 (18)
---------+Article 2 (19)
---------+Article 2 (20)
---------+Article 2 (21)
---------+Article 2 (22)
---------+Article 2 (23)
---------+Article 2 (24)
---------+Article 2 (25)
---------+Article 2 (26)
---------+Article 2 (27)
---------+Article 2 (28)
---+PART II ORGANISATION OF THE SSM
------+TITLE 1 STRUCTURES FOR THE SUPERVISION OF SIGNIFICANT AND LESS SIGNIFICANT SUPERVISED ENTITIES
---------+CHAPTER 1 Supervision of significant supervised entities
------------+Article 3 Joint supervisory teams
---------------+Article 3 1
---------------+Article 3 2
------------+Article 4 Establishment and composition of joint supervisory teams
---------------+Article 4 1
---------------+Article 4 2
---------------+Article 4 3
---------------+Article 4 4
---------------+Article 4 5
------------+Article 5 Involvement of staff members from NCBs of participating Member States
---------------+Article 5 1
---------------+Article 5 2
---------------+Article 5 3
------------+Article 6 JST coordinator and sub-coordinators
---------------+Article 6 1
---------------+Article 6 2
---------+CHAPTER 2 Supervision of less significant supervised entities
------------+Article 7 Involvement of staff members from other NCAs in an NCA’s supervisory team
------+TITLE 2 SUPERVISION ON A CONSOLIDATED BASIS AND PARTICIPATION OF THE ECB AND NCAS IN COLLEGES OF SUPERVISORS
---------+Article 8 Supervision on a consolidated basis
------------+Article 8 1
------------+Article 8 2
---------+Article 9 The ECB as chair of a college of supervisors
------------+Article 9 1
------------+Article 9 2
---------+Article 10 The ECB and NCAs as members of a college of supervisors
------------+Article 10 (a)
------------+Article 10 (b)
------------+Article 10 (c)
------+TITLE 3 PROCEDURES FOR THE RIGHT OF ESTABLISHMENT AND FREEDOM TO PROVIDE SERVICES
---------+CHAPTER 1 Procedures for the right of establishment and freedom to provide services within the SSM
------------+Article 11 Right of establishment of credit institutions within the SSM
---------------+Article 11 1
---------------+Article 11 2
---------------+Article 11 3
---------------+Article 11 4
---------------+Article 11 5
------------+Article 12 Exercise of the freedom to provide services by credit institutions within the SSM
---------------+Article 12 1
---------------+Article 12 2
---------+CHAPTER 2 Procedures for the right of establishment and freedom of credit institutions established in non-participating Member States to provide services within the SSM
------------+Article 13 Notification of the exercise of the right of establishment within the SSM by credit institutions established in non-participating Member States
---------------+Article 13 1
---------------+Article 13 2
---------------+Article 13 3
---------------+Article 13 4
------------+Article 14 Competent authority of the host Member State for branches
---------------+Article 14 1
---------------+Article 14 2
------------+Article 15 Notification of the exercise of the freedom to provide services within the SSM by credit institutions established in non-participating Member States
------------+Article 16 Competent authority of the host Member State for freedom to provide services
---------------+Article 16 1
---------------+Article 16 2
---------+CHAPTER 3 Procedures for the right of establishment and freedom to provide services in relation to non-participating Member States
------------+Article 17 Right of establishment and exercise of the freedom to provide services in relation to non-participating Member States
---------------+Article 17 1
---------------+Article 17 2
------+TITLE 4 SUPPLEMENTARY SUPERVISION OF FINANCIAL CONGLOMERATES
---------+Article 18 Coordinator
------------+Article 18 1
------------+Article 18 2
---+PART III GENERAL PROVISIONS APPLYING TO THE OPERATION OF THE SSM
------+TITLE 1 PRINCIPLES AND OBLIGATIONS
---------+Article 19 Overview
---------+Article 20 Duty to cooperate in good faith
---------+Article 21 General obligation to exchange information
------------+Article 21 1
------------+Article 21 2
------------+Article 21 3
---------+Article 22 Right of the ECB to instruct NCAs or NDAs to make use of their powers and to take action if the ECB has a supervisory task but no related power
------------+Article 22 1
------------+Article 22 2
---------+Article 23 Language regime between the ECB and NCAs
---------+Article 24 Language regime between the ECB and legal or natural persons, including supervised entities
------------+Article 24 1
------------+Article 24 2
------+TITLE 2 GENERAL PROVISIONS RELATING TO DUE PROCESS FOR ADOPTING ECB SUPERVISORY DECISIONS
---------+CHAPTER 1 ECB supervisory procedures
------------+Article 25 General principles
---------------+Article 25 1
---------------+Article 25 2
------------+Article 26 Parties
---------------+Article 26 1
---------------+Article 26 2
------------+Article 27 Representation of a party
---------------+Article 27 1
---------------+Article 27 2
---------------+Article 27 3
------------+Article 28 General obligations of the ECB and parties to an ECB supervisory procedure
---------------+Article 28 1
---------------+Article 28 2
---------------+Article 28 3
------------+Article 29 Evidence in ECB supervisory procedures
---------------+Article 29 1
---------------+Article 29 2
---------------+Article 29 3
------------+Article 30 Witnesses and experts in ECB supervisory procedures
---------------+Article 30 1
---------------+Article 30 2
---------------+Article 30 3
---------------+Article 30 4
------------+Article 31 Right to be heard
---------------+Article 31 1
---------------+Article 31 2
---------------+Article 31 3
---------------+Article 31 4
---------------+Article 31 5
---------------+Article 31 6
------------+Article 32 Access to files in an ECB supervisory procedure
---------------+Article 32 1
---------------+Article 32 2
---------------+Article 32 3
---------------+Article 32 4
---------------+Article 32 5
---------+CHAPTER 2 ECB supervisory decisions
------------+Article 33 Motivation of ECB supervisory decisions
---------------+Article 33 1
---------------+Article 33 2
---------------+Article 33 3
------------+Article 34 Suspensory effect
------------+Article 35 Notification of ECB supervisory decisions
---------------+Article 35 1
---------------+Article 35 2
---------------+Article 35 3
---------------+Article 35 4
---------------+Article 35 5
---------------+Article 35 6
---------------+Article 35 7
---------------+Article 35 8
---------------+Article 35 9
---------------+Article 35 10
------+TITLE 3 REPORTING OF BREACHES
---------+Article 36 Reporting of breaches
---------+Article 37 Appropriate protection for reports of breaches
------------+Article 37 1
------------+Article 37 2
------------+Article 37 3
---------+Article 38 Procedures for the follow-up of reports
------------+Article 38 1
------------+Article 38 2
------------+Article 38 3
------------+Article 38 4
------------+Article 38 5
------------+Article 38 6
------------+Article 38 7
---+PART IV DETERMINING THE STATUS OF A SUPERVISED ENTITY AS SIGNIFICANT OR LESS SIGNIFICANT
------+TITLE 1 GENERAL PROVISIONS RELATING TO THE CLASSIFICATION AS SIGNIFICANT OR LESS SIGNIFICANT
---------+Article 39 Classifying a supervised entity on an individual basis as significant
------------+Article 39 1
------------+Article 39 2
------------+Article 39 3
------------+Article 39 4
------------+Article 39 5
------------+Article 39 6
---------+Article 40 Classifying supervised entities which are part of a group as significant
------------+Article 40 1
------------+Article 40 2
------------+Article 40 3
---------+Article 41 Specific provisions in respect of branches of credit institutions established in non-participating Member States
------------+Article 41 1
------------+Article 41 2
------------+Article 41 3
---------+Article 42 Specific provisions in respect of subsidiaries of credit institutions established in non-participating Member States and third countries
------------+Article 42 1
------------+Article 42 2
------+TITLE 2 PROCEDURE FOR CLASSIFYING SUPERVISED ENTITIES AS SIGNIFICANT SUPERVISED ENTITIES
---------+CHAPTER 1 Classifying a supervised entity as significant
------------+Article 43 Review of the status of a supervised entity
---------------+Article 43 1
---------------+Article 43 2
---------------+Article 43 3
---------------+Article 43 4
---------------+Article 43 5
---------------+Article 43 6
---------------+Article 43 7
------------+Article 44 Procedure to be applied in determining the significance of a supervised entity
---------------+Article 44 1
---------------+Article 44 2
---------------+Article 44 3
---------------+Article 44 4
---------------+Article 44 5
---------------+Article 44 6
---------+CHAPTER 2 Beginning and end of direct supervision by the ECB
------------+Article 45 Beginning of direct supervision by the ECB
---------------+Article 45 1
---------------+Article 45 2
---------------+Article 45 3
---------------+Article 45 4
---------------+Article 45 5
------------+Article 46 End of direct supervision by the ECB
---------------+Article 46 1
---------------+Article 46 2
---------------+Article 46 3
------------+Article 47 Reasons for ending direct supervision by the ECB
---------------+Article 47 1
---------------+Article 47 2
---------------+Article 47 3
---------------+Article 47 4
------------+Article 48 Pending procedures
---------------+Article 48 1
---------------+Article 48 2
---------------+Article 48 3
---------------+Article 48 4
---------------+Article 48 5
---------------+Article 48 6
---------+CHAPTER 3 List of supervised entities
------------+Article 49 Publication
---------------+Article 49 1
---------------+Article 49 2
---------------+Article 49 3
---------------+Article 49 4
------+TITLE 3 DETERMINING SIGNIFICANCE ON THE BASIS OF SIZE
---------+Article 50 Determining significance on the basis of size
------------+Article 50 1
------------+Article 50 2
---------+Article 51 Basis for determining whether or not a supervised entity is significant on the basis of size
------------+Article 51 1
------------+Article 51 2
------------+Article 51 3
------------+Article 51 4
------------+Article 51 5
---------+Article 52 Basis for determining significance on the basis of size in specific or exceptional circumstances
------------+Article 52 1
------------+Article 52 2
------------+Article 52 3
---------+Article 53 Groups of consolidated undertakings
------------+Article 53 1
------------+Article 53 2
---------+Article 54 Method of consolidation
---------+Article 55 Method for calculating total assets
------+TITLE 4 DETERMINING SIGNIFICANCE ON THE BASIS OF IMPORTANCE FOR THE ECONOMY OF THE UNION OR ANY PARTICIPATING MEMBER STATE
---------+Article 56 National economic importance threshold
------------+Article 56 2
------------+Article 56 3
------------+Article 56 4
------------+Article 56 5
---------+Article 57 Criteria for determining significance on the basis of importance for the economy of the Union or any participating Member State
------------+Article 57 1
------------+Article 57 2
---------+Article 58 Determining significance on the basis of importance for the economy of any participating Member State at the request of an NCA
------------+Article 58 1
------------+Article 58 2
------------+Article 58 3
------+TITLE 5 DETERMINING SIGNIFICANCE ON THE BASIS OF THE SIGNIFICANCE OF CROSS-BORDER ACTIVITIES
---------+Article 59 Criteria for determining significance on the basis of the significance of cross-border activities of a supervised group
------------+Article 59 1
------------+Article 59 2
------------+Article 59 3
---------+Article 60 Cross-border assets and liabilities
------------+Article 60 1
------------+Article 60 2
------+TITLE 6 DETERMINING SIGNIFICANCE ON THE BASIS OF A REQUEST FOR OR THE RECEIPT OF PUBLIC FINANCIAL ASSISTANCE FROM THE ESM
---------+Article 61 Request for or receipt of direct public financial assistance from the ESM
------------+Article 61 1
------------+Article 61 2
---------+Article 62 Obligation of NCAs to inform the ECB of a possible request for or receipt of public financial assistance by a less significant supervised entity
------------+Article 62 1
------------+Article 62 2
---------+Article 63 Beginning and end of direct supervision
------------+Article 63 1
------------+Article 63 2
------------+Article 63 3
---------+Article 64 Scope
------+TITLE 7 DETERMINING SIGNIFICANCE ON THE BASIS THAT THE SUPERVISED ENTITY IS ONE OF THE THREE MOST SIGNIFICANT CREDIT INSTITUTIONS IN A PARTICIPATING MEMBER STATE
---------+Article 65 Criteria for determining the three most significant credit institutions in a participating Member State
------------+Article 65 1
------------+Article 65 2
---------+Article 66 Review process
------------+Article 66 1
------------+Article 66 2
------------+Article 66 3
------------+Article 66 4
------------+Article 66 5
------+TITLE 8 ECB DECISION TO DIRECTLY SUPERVISE LESS SIGNIFICANT SUPERVISED ENTITIES PURSUANT TO ARTICLE 6(5)(B) OF THE SSM REGULATION
---------+Article 67 Criteria for an ECB decision pursuant to Article 6(5)(b) of the SSM Regulation
------------+Article 67 1
------------+Article 67 2
---------+Article 68 Procedure for preparing an ECB decision pursuant to Article 6(5)(b) of the SSM Regulation at the request of an NCA
------------+Article 68 1
------------+Article 68 2
------------+Article 68 3
------------+Article 68 4
------------+Article 68 5
---------+Article 69 Procedure for preparing ECB decisions pursuant to Article 6(5)(b) of the SSM Regulation on the ECB’s own initiative
------------+Article 69 1
------------+Article 69 2
------------+Article 69 3
------+TITLE 9 PARTICULAR CIRCUMSTANCES THAT MAY JUSTIFY THE CLASSIFICATION OF A SUPERVISED ENTITY AS LESS SIGNIFICANT ALTHOUGH THE CRITERIA FOR CLASSIFICATION AS SIGNIFICANT ARE FULFILLED
---------+Article 70 Particular circumstances leading to the classification of a significant supervised entity as less significant
------------+Article 70 1
------------+Article 70 2
---------+Article 71 Assessment of the existence of particular circumstances
------------+Article 71 1
------------+Article 71 2
------------+Article 71 3
---------+Article 72 Review
------------+Article 72 1
------------+Article 72 2
------------+Article 72 3
------------+Article 72 4
---+PART V COMMON PROCEDURES
------+TITLE 1 COOPERATION WITH REGARD TO AN APPLICATION FOR AN AUTHORISATION TO TAKE UP THE BUSINESS OF A CREDIT INSTITUTION
---------+Article 73 Notification of the ECB of an application for an authorisation to take up the business of a credit institution
------------+Article 73 1
------------+Article 73 2
------------+Article 73 3
---------+Article 74 NCAs’ assessment of applications
---------+Article 75 NCAs’ decisions rejecting an application
---------+Article 76 NCAs’ draft decisions on the authorisation to take up the business of a credit institution
------------+Article 76 1
------------+Article 76 2
------------+Article 76 3
---------+Article 77 ECB’s assessment of applications and hearing of applicants
------------+Article 77 1
------------+Article 77 2
---------+Article 78 ECB decisions on applications
------------+Article 78 1
------------+Article 78 2
------------+Article 78 3
------------+Article 78 4
------------+Article 78 5
---------+Article 79 Procedure for the lapsing of the authorisation
------+TITLE 2 COOPERATION WITH REGARD TO THE WITHDRAWAL OF AN AUTHORISATION
---------+Article 80 NCAs’ proposal to withdraw an authorisation
------------+Article 80 1
------------+Article 80 2
---------+Article 81 ECB’s assessment of a draft withdrawal decision
------------+Article 81 1
------------+Article 81 2
---------+Article 82 Assessment on the ECB's own initiative and consultation of NCAs
------------+Article 82 1
------------+Article 82 2
------------+Article 82 3
------------+Article 82 4
---------+Article 83 ECB decision on the withdrawal of an authorisation
------------+Article 83 1
------------+Article 83 2
------------+Article 83 3
---------+Article 84 Procedure in case of potential resolution measures to be taken by national authorities
------------+Article 84 1
------------+Article 84 2
------------+Article 84 3
------+TITLE 3 COOPERATION WITH REGARD TO THE ACQUISITION OF QUALIFYING HOLDINGS
---------+Article 85 Notification to NCAs of the acquisition of a qualifying holding
------------+Article 85 1
------------+Article 85 2
------------+Article 85 3
---------+Article 86 Assessment of potential acquisitions
------------+Article 86 1
------------+Article 86 2
---------+Article 87 ECB decision on acquisition
------+TITLE 4 NOTIFICATION OF DECISIONS ON COMMON PROCEDURES
---------+Article 88 Procedures for notification of decisions
------------+Article 88 1
------------+Article 88 2
------------+Article 88 3
------------+Article 88 4
------------+Article 88 5
---+PART VI PROCEDURES FOR THE SUPERVISION OF SIGNIFICANT SUPERVISED ENTITIES
------+TITLE 1 SUPERVISION OF SIGNIFICANT SUPERVISED ENTITIES AND ASSISTANCE BY NCAS
---------+Article 89 Supervision of significant supervised entities
---------+Article 90 Role of the NCAs in assisting the ECB
------------+Article 90 1
------------+Article 90 2
---------+Article 91 Draft decisions to be prepared by NCAs for the ECB’s consideration
------------+Article 91 1
------------+Article 91 2
---------+Article 92 Exchange of information
------+TITLE 2 COMPLIANCE WITH FIT AND PROPER REQUIREMENTS FOR PERSONS RESPONSIBLE FOR MANAGING CREDIT INSTITUTIONS
---------+Article 93 Assessment of the suitability of members of the management bodies of significant supervised entities
------------+Article 93 1
------------+Article 93 2
---------+Article 94 On-going review of managers’ suitability
------------+Article 94 1
------------+Article 94 2
------+TITLE 3 OTHER PROCEDURES TO BE APPLIED BY SIGNIFICANT SUPERVISED ENTITIES
---------+Article 95 Requests, notifications or applications by significant supervised entities
------------+Article 95 1
------------+Article 95 2
------------+Article 95 3
---+PART VII PROCEDURES FOR THE SUPERVISION OF LESS SIGNIFICANT SUPERVISED ENTITIES
------+TITLE 1 NCAS’ NOTIFICATION TO THE ECB OF MATERIAL NCA SUPERVISORY PROCEDURES AND MATERIAL DRAFT SUPERVISORY DECISIONS
---------+Article 96 Deterioration of the financial situation of a less significant supervised entity
---------+Article 97 NCAs’ notification to the ECB of material NCA supervisory procedures
------------+Article 97 1
------------+Article 97 2
------------+Article 97 3
------------+Article 97 4
------------+Article 97 5
---------+Article 98 Notification by NCAs to the ECB of material draft supervisory decisions
------------+Article 98 1
------------+Article 98 2
------------+Article 98 3
------------+Article 98 4
------+TITLE 2 EX-POST REPORTING BY NCAS TO THE ECB REGARDING LESS SIGNIFICANT SUPERVISED ENTITIES
---------+Article 99 General obligation of NCAs to report to the ECB
------------+Article 99 1
------------+Article 99 2
---------+Article 100 Frequency and scope of reports to be submitted by NCAs to the ECB
---+PART VIII COOPERATION BETWEEN THE ECB, NCAs AND NDAs WITH REGARD TO MACRO-PRUDENTIAL TASKS AND TOOLS
------+TITLE 1 DEFINITION OF MACRO-PRUDENTIAL TOOLS
---------+Article 101 General provisions
------------+Article 101 1
------------+Article 101 2
---------+Article 102 Application of macro-prudential tools by the ECB
------+TITLE 2 PROCEDURAL PROVISIONS FOR THE USE OF MACRO-PRUDENTIAL TOOLS
---------+Article 103 List of NCAs and NDAs responsible for macro-prudential tools
---------+Article 104 Exchange of information and cooperation in respect of the use of macro-prudential tools by an NCA or an NDA
------------+Article 104 1
------------+Article 104 2
------------+Article 104 3
---------+Article 105 Exchange of information and cooperation in respect of the ECB’s use of macro-prudential tools
------------+Article 105 1
------------+Article 105 2
---+PART IX PROCEDURES FOR CLOSE COOPERATION
------+TITLE 1 GENERAL PRINCIPLES AND COMMON PROVISIONS
---------+Article 106 Procedure for the establishment of a close cooperation
---------+Article 107 Principles to be applied when a close cooperation has been established
------------+Article 107 1
------------+Article 107 2
------------+Article 107 3
------------+Article 107 4
---------+Article 108 Legal instruments related to supervision in connection with close cooperation
------------+Article 108 1
------------+Article 108 2
------------+Article 108 3
------------+Article 108 4
------------+Article 108 5
------+TITLE 2 CLOSE COOPERATION IN RELATION TO PARTS III, IV, V, VIII, X AND XI
---------+Article 109 Language regime under the regime of close cooperation
---------+Article 110 Assessment of significance of credit institutions under the regime of close cooperation
------------+Article 110 1
------------+Article 110 2
------------+Article 110 3
---------+Article 111 Common procedures under the regime of close cooperation
------------+Article 111 1
------------+Article 111 2
------------+Article 111 3
------------+Article 111 4
---------+Article 112 Macro-prudential tools under the regime of close cooperation
---------+Article 113 Administrative penalties under the regime of close cooperation
------------+Article 113 1
------------+Article 113 2
------------+Article 113 3
---------+Article 114 Investigatory powers pursuant to Articles 10 to 13 of the SSM Regulation under the regime of close cooperation
------------+Article 114 1
------------+Article 114 2
------------+Article 114 3
------------+Article 114 4
------+TITLE 3 CLOSE COOPERATION IN RESPECT OF SIGNIFICANT SUPERVISED ENTITIES
---------+Article 115 Supervision of significant supervised entities in a participating Member State in close cooperation
------------+Article 115 1
------------+Article 115 2
------------+Article 115 3
------------+Article 115 4
------------+Article 115 5
---------+Article 116 Decisions in respect of significant supervised entities and significant supervised groups
------------+Article 116 1
------------+Article 116 2
------------+Article 116 3
------+TITLE 4 CLOSE COOPERATION IN RESPECT OF LESS SIGNIFICANT SUPERVISED ENTITIES AND LESS SIGNIFICANT SUPERVISED GROUPS
---------+Article 117 Supervision of less significant supervised entities and less significant supervised groups
------------+Article 117 1
------------+Article 117 2
------------+Article 117 3
------+TITLE 5 PROCEDURE IN CASE OF DISAGREEMENT OF A PARTICIPATING MEMBER STATE IN CLOSE COOPERATION
---------+Article 118 Procedure in case of disagreement with the Supervisory Board’s draft decision pursuant to Article 7(8) of the SSM Regulation
------------+Article 118 1
------------+Article 118 2
------------+Article 118 3
------------+Article 118 4
---------+Article 119 Procedure in case of disagreement with an objection of the Governing Council to a Supervisory Board’s draft decision pursuant to Article 7(7) of the SSM Regulation
------------+Article 119 1
------------+Article 119 2
------------+Article 119 3
------------+Article 119 4
---+PART X ADMINISTRATIVE PENALTIES
------+TITLE 1 DEFINITIONS AND RELATIONSHIP TO COUNCIL REGULATION (EC) NO 2532/98 ( 17 )
---------+Article 120 Definition of administrative penalties
------------+Article 120 (a)
------------+Article 120 (b)
---------+Article 121 Relationship to Regulation (EC) No 2532/98
------------+Article 121 1
------------+Article 121 2
---------+Article 122 ECB powers to impose administrative penalties under Article 18(7) of the SSM Regulation
------------+Article 122 (a)
------------+Article 122 (b)
------+TITLE 2 PROCEDURAL RULES FOR THE IMPOSITION OF ADMINISTRATIVE PENALTIES, OTHER THAN PERIODIC PENALTY PAYMENTS, ON SUPERVISED ENTITIES IN EURO AREA MEMBER STATES
---------+Article 123 Establishment of an independent investigating unit
------------+Article 123 1
------------+Article 123 2
------------+Article 123 3
---------+Article 124 Referral of alleged breaches to the investigating unit
------------+Article 124 (a)
------------+Article 124 (b)
------------+Article 124 2
---------+Article 125 Powers of the investigating unit
------------+Article 125 1
------------+Article 125 2
------------+Article 125 3
---------+Article 126 Procedural rights
------------+Article 126 1
------------+Article 126 2
------------+Article 126 3
------------+Article 126 4
---------+Article 127 Examination of the file by the Supervisory Board
------------+Article 127 1
------------+Article 127 2
------------+Article 127 3
------------+Article 127 4
------------+Article 127 5
------------+Article 127 6
------------+Article 127 7
------------+Article 127 8
------------+Article 127 9
---------+Article 128 Definition of total annual turnover for the purpose of determining the upper limit for administrative pecuniary penalties
------+TITLE 3 PERIODIC PENALTY PAYMENTS
---------+Article 129 Procedural rules applicable to periodic penalty payments
------------+Article 129 1
------------+Article 129 2
------------+Article 129 3
------------+Article 129 4
------+TITLE 4 TIME LIMITS
---------+Article 130 Limitation periods for imposing administrative penalties
------------+Article 130 1
------------+Article 130 2
------------+Article 130 3
------------+Article 130 4
------------+Article 130 5
---------+Article 131 Limitation periods for the enforcement of administrative penalties
------------+Article 131 1
------------+Article 131 2
------------+Article 131 3
------------+Article 131 4
------+TITLE 5 PUBLICATION OF DECISIONS AND EXCHANGE OF INFORMATION
---------+Article 132 Publication of decisions regarding administrative penalties
------------+Article 132 1
------------+Article 132 2
------------+Article 132 3
---------+Article 133 Informing the EBA
------+TITLE 6 COOPERATION BETWEEN THE ECB AND NCAs IN EURO AREA MEMBER STATES UNDER ARTICLE 18(5) OF THE SSM REGULATION
---------+Article 134 Significant supervised entities
------------+Article 134 1
------------+Article 134 2
------------+Article 134 3
---------+Article 135 Reporting in respect of less significant supervised entities
------+TITLE 7 CRIMINAL OFFENCES
---------+Article 136 Evidence of facts potentially giving rise to a criminal offence
------+TITLE 8 PROCEEDS FROM PENALTIES
---------+Article 137 Proceeds from penalties
---+PART XI ACCESS TO INFORMATION, REPORTING, INVESTIGATIONS AND ON-SITE INSPECTIONS
------+TITLE 1 GENERAL PRINCIPLES
---------+Article 138 Cooperation between the ECB and NCAs as regards the powers referred to in Articles 10 to 13 of the SSM Regulation
------+TITLE 2 COOPERATION IN RESPECT OF REQUESTS FOR INFORMATION
---------+Article 139 Ad-hoc requests for information under Article 10 of the SSM Regulation
------------+Article 139 1
------------+Article 139 2
------------+Article 139 3
------+TITLE 3 REPORTING
---------+Article 140 Tasks related to supervisory reporting to competent authorities
------------+Article 140 1
------------+Article 140 2
------------+Article 140 3
------------+Article 140 4
---------+Article 141 Requests for information at recurring intervals under Article 10 of the SSM Regulation
------------+Article 141 1
------------+Article 141 2
------+TITLE 4 COOPERATION WITH REGARD TO GENERAL INVESTIGATIONS
---------+Article 142 Launch of a general investigation under Article 11 of the SSM Regulation
------------+Article 142 (a)
------------+Article 142 (b)
------------+Article 142 (c)
------+TITLE 5 ON-SITE INSPECTIONS
---------+Article 143 ECB decision to conduct an on-site inspection under Article 12 of the SSM Regulation
------------+Article 143 1
------------+Article 143 2
------------+Article 143 3
---------+Article 144 Establishment and composition of on-site inspection teams
------------+Article 144 1
------------+Article 144 2
------------+Article 144 3
---------+Article 145 Procedure and notification of an on-site inspection
------------+Article 145 1
------------+Article 145 2
---------+Article 146 Conduct of the on-site inspections
------------+Article 146 1
------------+Article 146 2
---+PART XII TRANSITIONAL AND FINAL PROVISIONS
------+Article 147 Start of direct supervision by the ECB when the ECB assumes its tasks for the first time
---------+Article 147 1
---------+Article 147 2
---------+Article 147 3
------+Article 148 Defining the format of the report on supervisory history and risk profile to be provided by NCAs to the ECB
---------+Article 148 1
---------+Article 148 2
------+Article 149 Continuity of existing procedures
---------+Article 149 1
---------+Article 149 2
------+Article 150 Supervisory decisions taken by NCAs
------+Article 151 Member States whose currency becomes the euro
---------+Article 151 1
---------+Article 151 2
------+Article 152 Continuity of existing arrangements
------+Article 153 Final provisions
 English - European Union - Financial Industry - Banking -

EIROPAS CENTRĀLĀS BANKAS REGULA (ES) Nr. 468/2014 (2014. gada 16. aprīlis), ar ko izveido vienotā uzraudzības mehānisma pamatstruktūru Eiropas Centrālās bankas sadarbībai ar nacionālajām kompetentajām un norīkotajām iestādēm (VUM pamatregula) (ECB/2014/17)

EIROPAS CENTRĀLĀS BANKAS REGULA (ES) Nr. 468/2014

(2014. gada 16. aprīlis),

ar ko izveido vienotā uzraudzības mehānisma pamatstruktūru Eiropas Centrālās bankas sadarbībai ar nacionālajām kompetentajām un norīkotajām iestādēm (VUM pamatregula)

(ECB/2014/17)

1. Pārskats

,
Preamble: 1

EIROPAS CENTRĀLĀS BANKAS PADOME,

ņemot vērā Līgumu par Eiropas Savienības darbību un jo īpaši tā 127. panta 6. punktu un 132. pantu,

ņemot vērā Eiropas Centrālo banku sistēmas un Eiropas Centrālās bankas Statūtus un jo īpaši to 34. pantu,

ņemot vērā Padomes 2013. gada 15. oktobra Regulu (ES) Nr. 1024/2013, ar ko Eiropas Centrālajai bankai uztic īpašus uzdevumus saistībā ar politikas nostādnēm, kas attiecas uz kredītiestāžu prudenciālo uzraudzību (1), un jo īpaši tās 4. panta 3. punktu, 6. pantu un 33. panta 2. punktu,

ņemot vērā Iestāžu nolīgumu starp Eiropas Parlamentu un Eiropas Centrālo banku par praktisko kārtību, kā īsteno demokrātisko pārskatatbildību un pārrauga uzdevumus, kas Eiropas Centrālajai bankai uzticēti saistībā ar vienoto uzraudzības mehānismu (2),

ņemot vērā saskaņā ar Regulas (ES) Nr. 1024/2013 4. panta 3. punktu veikto sabiedrisko apspriešanu un izvērtējumu,

ņemot vērā Uzraudzības valdes priekšlikumu un apspriešanos ar nacionālajām kompetentajām iestādēm,

tā kā:

(1)

Ar Regulu (ES) Nr. 1024/2013 (tālāk tekstā – “VUM regula”) ir izveidots vienotais uzraudzības mehānisms (VUM), kas aptver Eiropas Centrālo banku (ECB) un ikvienu nacionālo kompetento iestādi (NKI) iesaistītajās dalībvalstīs.

(2)

VUM regulas 6. panta kontekstā vienīgi ECB ir kompetenta attiecībā uz kredītiestādēm, kas reģistrētas (veic uzņēmējdarbību) iesaistītajās dalībvalstīs, īstenot 4. pantā uzticētos mikroprudenciālās uzraudzības uzdevumus. Pamatojoties uz VUM regulas 6. pantā minēto atbildību un procedūrām, ECB ir atbildīga par iedarbīgu un konsekventu VUM darbību, kā arī par sistēmas darbības pārraudzību.

(3)

Ja tas ir lietderīgi un ciktāl netiek ierobežota ECB atbildība un pārskatatbildība par VUM regulā tai uzticētajiem uzdevumiem, ikviena NKI, ievērojot VUM regulā un šajā regulā minētos nosacījumus, ir atbildīga par ECB atbalstīšanu tādu tiesību aktu izstrādes un īstenošanas jomā, kuri attiecas uz VUM regulas 4. pantā minētajiem uzdevumiem attiecībā uz visām kredītiestādēm, t. sk. par atbalstu pārbaudes darbību veikšanā. Šajā nolūkā NKI, veicot VUM regulas 4. pantā minētos uzdevumus, ir jāievēro ECB norādījumi.

(4)

ECB, NKI un nacionālajām norīkotajām iestādēm (NNI) ir jāveic VUM regulas 5. pantā minētie makroprudenciālie uzdevumi un jāievēro tajā, šajā regulā un piemērojamos Savienības tiesību aktos paredzētās koordinēšanas procedūras, neskarot Eurosistēmas un Eiropas Sistēmisko risku kolēģijas statusu un nozīmi.

(5)

VUM ietvaros uz ECB un/vai NKI tiek attiecināta uzraudzības atbildība, pamatojoties uz to iestāžu nozīmīgumu, kuras aptver VUM darbības joma. Šajā regulā ir noteikta arī īpaša metodoloģija to nozīmīguma novērtēšanai saskaņā ar VUM regulas 6. panta 7. punktu. ECB ir kompetenta īstenot tiešu to kredītiestāžu, finanšu pārvaldītājsabiedrību un jaukto finanšu pārvaldītājsabiedrību uzraudzību, kuras reģistrētas iesaistītajās dalībvalstīs, kā arī nozīmīgu neiesaistītās dalībvalstīs reģistrētu kredītiestāžu filiālēm, kuras izveidotas iesaistītajās dalībvalstīs, uzraudzību. Ikviena NKI ir atbildīga par mazāk nozīmīgu iestāžu tiešu uzraudzību, neierobežojot ECB pilnvaras konkrētos gadījumos lemt par šādas iestādes tiešu uzraudzību, ja tas nepieciešams, lai konsekventi piemērotu uzraudzības standartus.

(6)

ECB izveidos neatkarīgu izmeklēšanas nodaļu, kuras uzdevums būs patstāvīgi izmeklēt uzraudzības normu un lēmumu pārkāpumus, tādējādi ņemot vērā jaunākās norises Savienības likumdošanā sankciju jomā un Eiropas Cilvēktiesību tiesas judikatūru par principu, ka izmeklēšanas posms ir jānošķir no lēmuma pieņemšanas posma.

(7)

VUM regulas 6. panta 7. punktā noteikts, ka ECB, konsultējoties ar NKI un pamatojoties uz Uzraudzības valdes priekšlikumu, apstiprina un publisko VUM pamatstruktūru ECB un NKI sadarbības praktiskās kārtības organizēšanai.

(8)

VUM regulas 33. panta 2. punktā noteikts, ka ECB regulu un lēmumu formā publisko detalizētu darbības kārtību minētajā regulā tai uzticēto uzdevumu īstenošanai. Šī regula ietver normas, ar kurām minētais 33. panta 2. punkts īstenots attiecībā uz ECB un NKI sadarbību VUM ietvaros.

(9)

Tāpēc ar šo regulu sīkāk izstrādātas un noteiktas VUM regulā noteiktās procedūras, kā VUM ietvaros ECB sadarbojas ar NKI (vai attiecīgos gadījumos ar nacionālajām norīkotajām iestādēm), tādējādi nodrošinot efektīvu un saskaņotu VUM darbību.

(10)

ECB uzskata, ka pirms tās uzdevumu veikšanas ir ļoti svarīgi visaptveroši novērtēt kredītiestādes, īpaši izvērtēt to bilances. Tas attiecas arī uz jebkuru dalībvalsti, kas pievienojas euro zonai un līdz ar to pievienojas VUM (pēc dienas, kad saskaņā ar VUM regulas 33. panta 2. punktu tiek sākta uzraudzība).

(11)

Lai VUM darbība norisētu līdzsvaroti, ir būtiski, ka attiecīgā sadarbība starp ECB un NKI ir pilnīga un ka tās apmainās ar visu informāciju, kas var ietekmēt tām uzticētos uzdevumus, īpaši ar NKI rīcībā esošo informāciju par procedūrām, kas var ietekmēt uzraudzīto iestāžu drošumu un stabilitāti vai kas mijiedarbojas ar uzraudzības procedūrām attiecībā uz šādām iestādēm,

IR PIEŅĒMUSI ŠO REGULU.

Šī regula uzliek saistības kopumā un ir tieši piemērojama dalībvalstīs saskaņā ar Līgumiem.

Frankfurtē pie Mainas, 2014. gada 16. aprīlī

ECB Padomes vārdā –

ECB priekšsēdētājs

Mario DRAGHI

(1)   OV L 287, 29.10.2013., 63. lpp.

(2)   OV L 320, 30.11.2013., 1. lpp.

(3)  Eiropas Centrālās bankas 2004. gada 19. februāra Lēmums ECB/2004/2, ar kuru pieņem Eiropas Centrālās bankas Reglamentu (OV L 80, 18.3.2004., 33. lpp.).

(4)  Pieņemts 2014. gada 31. martā un pieejams ECB interneta lapā www.ecb.europa.eu

(5)   2014. gada 14. aprīļa Lēmums ECB/2014/16 par Administratīvās pārskatīšanas padomes izveidi un tās darbības noteikumiem. Oficiālajā Vēstnesī vēl nav publicēts.

(6)  Eiropas Parlamenta un Padomes 2013. gada 26. jūnija Regula (ES) Nr. 575/2013 par prudenciālajām prasībām attiecībā uz kredītiestādēm un ieguldījumu brokeru sabiedrībām un ar ko groza Regulu (ES) Nr. 648/2012 (OV L 176, 27.6.2013., 1. lpp.).

(7)  Eiropas Parlamenta un Padomes Direktīva 2013/34/ES (2013. gada 26. jūnijs) par noteiktu veidu uzņēmumu gada finanšu pārskatiem, konsolidētajiem finanšu pārskatiem un saistītiem ziņojumiem, ar ko groza Eiropas Parlamenta un Padomes Direktīvu 2006/43/EK un atceļ Padomes Direktīvas 78/660/EEK un 83/349/EEK (OV L 182, 29.6.2013., 19. lpp.).

(8)  Eiropas Parlamenta un Padomes 2013. gada 26. jūnija Direktīva 2013/36/ES par piekļuvi kredītiestāžu darbībai un kredītiestāžu un ieguldījumu brokeru sabiedrību prudenciālo uzraudzību, ar ko groza Direktīvu 2002/87/EK un atceļ Direktīvas 2006/48/EK un 2006/49/EK (OV L 176, 27.6.2013., 338. lpp.).

(9)  Eiropas Parlamenta un Padomes 2012. gada 4. jūlija Regula (ES) Nr. 648/2012 par ārpusbiržas atvasinātajiem instrumentiem, centrālajiem darījumu partneriem un darījumu reģistriem (OV L 201, 27.7.2012., 1. lpp.).

(10)  Eiropas Parlamenta un Padomes 2002. gada 16. decembra Direktīva 2002/87/EK par papildu uzraudzību kredītiestādēm, apdrošināšanas uzņēmumiem un ieguldījumu sabiedrībām finanšu konglomerātos un par grozījumiem Padomes Direktīvās 73/239/EEK, 79/267/EEK, 92/49/EEK, 92/96/EEK, 93/6/EEK un 93/22/EEK, kā arī Eiropas Parlamenta un Padomes Direktīvās 98/78/EK un 2000/12/EK (OV L 35, 11.2.2003., 1. lpp.).

(11)  Publicēts ECB interneta vietnē.

(12)  Eiropas Parlamenta un Padomes 2002. gada 19. jūlija Regula (EK) Nr. 1606/2002 par starptautisko grāmatvedības standartu piemērošanu (OV L 243, 11.9.2002., 1. lpp.).

(13)  Eiropas Centrālās bankas 2008. gada 19. decembra Regula (EK) Nr. 25/2009 par monetāro finanšu iestāžu nozares bilanci (ECB/2008/32) (OV L 15, 20.1.2009., 14. lpp.).

(14)  Eiropas Parlamenta un Padomes 2013. gada 21. maija Regula (ES) Nr. 549/2013 par Eiropas nacionālo un reģionālo kontu sistēmu Eiropas Savienībā (OV L 174, 26.6.2013., 1. lpp.).

(15)  Eiropas Parlamenta un Padomes 1994. gada 30. maija Direktīva 94/19/EK par noguldījumu garantiju sistēmām (OV L 135, 31.5.1994., 5. lpp.).

(16)   2014. gada 31. janvāra Lēmums ECB/2014/5 par ciešu sadarbību ar nacionālajām kompetentajām iestādēm iesaistītajās dalībvalstīs, kuru valūta nav euro (Oficiālajā Vēstnesī vēl nav publicēts).

(17)  Padomes 1998. gada 23. novembra Regula (EK) Nr. 2532/98 par Eiropas Centrālās bankas pilnvarām piemērot sankcijas (OV L 318, 27.11.1998., 4. lpp.).
PART I GENERAL PROVISIONS PART I GENERAL PROVISIONS
PART II ORGANISATION OF THE SSM PART II ORGANISATION OF THE SSM
PART III GENERAL PROVISIONS APPLYING TO THE OPERATION OF THE SSM PART III GENERAL PROVISIONS APPLYING TO THE OPERATION OF THE SSM
PART IV DETERMINING THE STATUS OF A SUPERVISED ENTITY AS SIGNIFICANT OR LESS SIGNIFICANT PART IV DETERMINING THE STATUS OF A SUPERVISED ENTITY AS SIGNIFICANT OR LESS SIGNIFICANT
PART V COMMON PROCEDURES PART V COMMON PROCEDURES
PART VI PROCEDURES FOR THE SUPERVISION OF SIGNIFICANT SUPERVISED ENTITIES PART VI PROCEDURES FOR THE SUPERVISION OF SIGNIFICANT SUPERVISED ENTITIES
PART VII PROCEDURES FOR THE SUPERVISION OF LESS SIGNIFICANT SUPERVISED ENTITIES PART VII PROCEDURES FOR THE SUPERVISION OF LESS SIGNIFICANT SUPERVISED ENTITIES
PART VIII COOPERATION BETWEEN THE ECB, NCAs AND NDAs WITH REGARD TO MACRO-PRUDENTIAL TASKS AND TOOLS PART VIII COOPERATION BETWEEN THE ECB, NCAs AND NDAs WITH REGARD TO MACRO-PRUDENTIAL TASKS AND TOOLS
PART IX PROCEDURES FOR CLOSE COOPERATION PART IX PROCEDURES FOR CLOSE COOPERATION
PART X ADMINISTRATIVE PENALTIES PART X ADMINISTRATIVE PENALTIES
PART XI ACCESS TO INFORMATION, REPORTING, INVESTIGATIONS AND ON-SITE INSPECTIONS PART XI ACCESS TO INFORMATION, REPORTING, INVESTIGATIONS AND ON-SITE INSPECTIONS
PART XII TRANSITIONAL AND FINAL PROVISIONS PART XII TRANSITIONAL AND FINAL PROVISIONS

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

Prasības

3. Saistītie standarti

Standarti