100. Where, as a result of checks described in paragraph 99, the competent authority is concerned …

Where, as a result of checks described in paragraph 99, the competent authority is concerned that the AML/CFT compliance officer may not be suitable, the competent authority should notify the relevant prudential supervisor²⁰ of their concerns and should proactively share with prudential supervisors any information that has given rise to these concerns. Furthermore,

• a) where the assessment of the suitability of the AML/CFT compliance officer is not within the competence of a prudential supervisor, competent authorities should apply the necessary measures to remedy the issue without undue delay, such as a request for the AML/CFT compliance officer to undergo additional training or an enhancement of professional qualifications; a request for an enhanced management or the reorganisation of the AML/CFT compliance officer’s role ; or a request for the replacement or an additional AML/CFT compliance officer to be appointed;
• b) where prudential supervisors are competent for assessing the suitability of the AML/CFT compliance officer,²¹ competent authorities should cooperate with prudential supervisors during the initial assessment and also during any reassessments of suitability by prudential supervisors as necessary.²² Competent authorities should share all relevant information, which may have an impact on the suitability assessment or reassessment of the AML/CFT compliance officer, with relevant prudential supervisors, including their proposed recommendations of measures, as described in point a) above, that could be taken from an AML/CFT supervisory perspective to mitigate the issues.

²⁰ In accordance, in particular, with paragraph 19 of the EBA Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU.  O

²¹ Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU, EBA/GL/2021/06.

²² Including as envisaged in Sections 6.1 and 6.3 of the forthcoming EBA Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU

1. Panoramica

1.1 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

3. Standard correlati

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