+Membri permanenti
---+Status of these joint guidelines
---+Reporting requirements

Membri permanenti

5.1 L’autorità di vigilanza principale dovrebbe sempre invitare a partecipare al collegio AML/CFT in veste di membri permanenti le seguenti autorità:

  • (a) tutte le autorità competenti responsabili della vigilanza AML/CFT di tutte le sedi transfrontaliere dell’impresa operante su base transfrontaliera;
  • (b) le autorità competenti responsabili della vigilanza AML/CFT di tutte le sedi nell’UE;
  • (c) l’AEV competente (l’EBA, l’ESMA o l’EIOPA).

5.2 L’autorità di vigilanza principale dovrebbe essere responsabile dell’individuazione dei membri permanenti di cui all’orientamento 5.1 e della registrazione dei loro nomi e dei loro recapiti nell’elenco dei contatti del relativo collegio AML/CFT in linea con l’orientamento 6. Per individuare le autorità competenti, l’autorità di vigilanza principale può fare riferimento al registro delle autorità competenti pubblicato dalla Commissione europea in linea con l’articolo 48, paragrafo 1 bis, della direttiva (UE) 2015/849.

5.3 Una volta ricevuto l’invito a partecipare al collegio AML/CFT, i membri permanenti dovrebbero confermare la loro partecipazione per iscritto all’autorità di vigilanza principale entro dieci giorni lavorativi.

1. Panoramica

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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 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

Requisiti

3. Standard correlati

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