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. Ħarsa ġenerali

1.1 Referenzi

1.2 Rekwiżiti identifikati

1.3 Standards relatati

2. Rekwiżiti identifikati

3. Standards relatati

• 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.