207. Competent authorities should consider the following when assessing the relevance and …

Competent authorities should consider the following when assessing the relevance and significance of the institution’s exposures to legal risk:

a. mis-selling of products or services;
b. conflicts of interest in conducting business;
c. manipulation of benchmark interest rates, foreign exchange rates or any other financial instruments or indices;
d. barriers to switching financial products during their lifetime and/or to switching financial service providers;
e. automatic renewals of products or exit penalties; and/or
f. customer complaints processing;
g. violation of national and international rules and regulations (tax rules, internal fraud or internal theft, anti-money laundering rules, anti-terrorism rules and economic sanctions);
h. ESG-related, in particular environment-related and greenwashing-related, litigation exposures.

1. Overzicht

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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.