+Membros permanentes
---+Status of these joint guidelines
---+Reporting requirements

Membros permanentes

5.1 A autoridade de supervisão principal deve convidar sempre as seguintes autoridades para participar no colégio ABC/CFT na qualidade de membros permanentes:

  • (a) Todas as autoridades competentes responsáveis pela supervisão no domínio do ABC/CFT de todos os estabelecimentos transfronteiriços da empresa que exerce atividades transfronteiriças;
  • (b) As autoridades competentes responsáveis pela supervisão no domínio do ABC/CFT de todos os estabelecimentos na UE;
  • (c) A ESA adequada (EBA, ESMA ou EIOPA).

5.2 A autoridade de supervisão principal deve ser responsável pela identificação dos membros permanentes referidos na Orientação 5.1 e pelo registo dos seus nomes e dados de contacto na lista de contactos do colégio ABC/CFT pertinente, em consonância com o disposto na Orientação 6. Para identificar as autoridades competentes, a autoridade de supervisão principal pode consultar o registo de autoridades competentes publicado pela Comissão Europeia, em consonância com o disposto no artigo 48.º, n.º 1-A, da Diretiva (UE) 2015/849.

5.3 Aquando da receção do convite para participar no colégio ABC/CFT, os membros permanentes devem confirmar a sua participação por escrito à autoridade de supervisão principal no prazo de dez dias úteis.

1. Visão geral

,
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 Referências

1.2 Requisitos identificados

1.3 Normas relacionadas

2. Requisitos identificados

Requisitos

3. Normas relacionadas

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