+Opazovalci
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------+8. These guidelines are addressed to competent authorities.
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Opazovalci
5.4 Glavni nadzornik bi moral k sodelovanju v kolegiju PPDFT v vlogi opazovalcev povabiti bonitetne nadzornike finančnih institucij, ki poslujejo čezmejno, bonitetne nadzornike čezmejnih podružnic/hčerinskih družb in bonitetne nadzornike podružnic/hčerinskih družb v EU ter organe za preprečevanje PD/FT iz tretjih držav, v katerih poslujejo čezmejne podružnic e /hčerinsk e družb e . K sodelovanju lahko povabi tudi bonitetne nadzornike tretjih držav, v katerih poslujejo čezmejne podružnice/hčerinske družb e , in Urad za preprečevanje pranja denarja (v nadaljnem besedilu: Urad) države članice glavnega nadzornika . 5.5 Glavni nadzornik bi moral biti odgovoren za opredelitev opazovalcev iz smernice 5.4 ter evidentiranje njihovih kontaktnih podatkov v seznam oseb za posamezni kolegij PPDFT v skladu s smernico 6. Pri opredelitvi ustreznih organov se lahko posvetuje z evropskimi nadzornimi organi. 5.6 Glavni nadzornik bi moral pri odločanju, ali naj k sodelovanju povabi posameznega opazovalca, v skladu s smernico 5.5 pripraviti seznam potencialnih opazovalcev. Pri tem bi moral upoštevati vse predloge, ki mu jih v razumnem roku pošljejo stalni člani, in sicer v pisni obliki vključno z utemeljitvijo razlogov za povabilo posameznega opazovalca k sodelovanju v kolegiju PPDFT. Pred predložitvijo predloga za opazovalca bi moral glavni nadzornik ali stalni član, ki predlaga, izvesti naslednje: - (a) P resojo stopnje zaupnosti, ki se uporablja za organ tretje države za preprečevanje PD/FT ali organ tretje države za bonitetni nadzor, ter enakovrednost ureditve zaupnosti. V okviru te presoje lahko glavni nadzornik ali stalni član uporabi priporočilo
- o enakovrednosti organov tretjih držav za sodelovanje v kolegijih nadzornikov, objavljeno na spletišču organa EBA, ki lahko pomembno prispeva k celoviti presoji enakovrednosti organa tretje države. Kolikor je mogoče, lahko za presojo uporabi tudi sklepe Evropske komisije o enakovrednosti na področju direktive Solventnost II4 in sklepe o ustreznosti na področju varstva podatkov5 ;
- (b) presojo vpliva na delovanje kolegija PPDFT , ki bi ga lahko imela udeležba opazovalca;
- (c) presojo možnosti in pripravljenosti nadzornika tretje države za preprečevanje PD/FT ali bonitetnega nadzornika tretje države, da v skladu s členom 57a(5) direktive o preprečevanju pranja denarja (AMLD) podpiše dvostranske sporazume o sodelovanju z vsemi stalnimi člani.
5.7 Glavni nadzornik bi moral seznam morebitnih opazovalcev skupaj z izidom presoje, izvedene v skladu s smernico 5.6, poslati vsem stalnim članom kolegija PPDFT in obstoječim opazovalc em. 5.8 Stalni člani bi morali v roku, ki ga določi glavni nadzornik, predložiti morebitne pripombe o predlaganih opazovalcih, povabljenih k sodelovanju v kolegiju PPDFT , ali izraziti svoje nasprotovanje. P ripombam in nasprotovanju je treba priložiti pisno utemeljitev, v kateri je navedena podlaga zanje in razlogi, zaradi katerih po mnenju stalnega člana sodelovanje predlaganega opazovalca v kolegiju PPDFT vpliva na postopke kolegija. 5.9 Glavni nadzornik lahko opazovalca k sodelovanju v kolegiju PPDFT povabi samo, kadar temu ne nasprotuje noben stalni član in se morebitni opazovalec strinja, da bo spoštoval pogoje za sodelovanje opazovalcev, ki bi jih moral glavni nadzornik oblikovati posamično in se o njih uskladiti z pristojnimi organi. 5.10 V zvezi z vsemi vprašanji, ki se nanašajo na vabilo ali sodelovanje opazovalcev, se lahko z organom EBA opravi posvetovanje ali pa ta organ ukrepa na lastno pobudo in prevzame vlogo mediatorja ali posrednika.
4 Direktiva 2009/138/ES Evropskega parlamenta in Sveta z dne 25. novembra 2009 o začetku opravljanja in opravljanju dejavnosti zavarovanja in pozavarovanja (Solventnost II). 5 Glej člen 45(3) Uredbe (EU) 2016/679 ali člen 36(3) Direktive (EU) 2016/680.
1. Pregled
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Regulativa |
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Subject matter
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These guidelines: - a) establish a framework for cooperation and information exchange between competent authorities through either bilateral engagements or anti-money laundering/combatting the financing of terrorism (AML/CFT) colleges;
- b) govern the establishment and functioning of AML/CFT colleges.
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Definitions
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Unless otherwise specified, terms used and defined in Directive (EU) 2015/849 and Regulation (EU) No 575/2013 have the same meaning in these guidelines. In addition, for the purposes of these guidelines, the following definitions apply: | Competent authority | A competent Regulation Regulation Regulation firms’ (EU) the No 201/2016 State(s)’ include, Regulation, and An | 2015/849. EEA their undertaking | compliance and in competent | authority (EU) (EU) (EU) Joint of ‘competent addition the | defined in point (2)(ii) of Article 4 of No 1093/2010; point (2)(ii) of Article 4 of No 1094/2010; and point (3)(ii) of Article 4 of No 1095/2010 that is competent for ensuring with the requirements of Directive In line with point (b) of Article 1 of Decisions of Committee No 199/2016, No 200/2016 and 30 September 2016, the terms ‘Member authorities’ shall be understood to to their meaning in the abovementioned European Free Trade Association (EFTA) states authorities, respectively. established in a third country, which, were it | | Third-country undertaking | established institution of Article | | 3 | in or financial of Directive | a Member State, would qualify as a credit institution referred to in points (1) and (2) (EU) 2015/849. | | Firm | A credit and | (2) | institution of | Article | or financial institution referred to in points (1) 3 of Directive (EU) 2015/849. | | Firm operating on a cross-border basis | A firm a third referred with in a A branch Article firm | with subsidiaries third 45(2) that | country to country. | branches in point or any and operates | established in another Member State or in or a group of credit and financial institutions (15s) of Article 3 of Directive (EU) 2015/849 and branches established in a Member State or other form of establishment as referred to in Article 48(4) of Directive (EU) 2015/849 of a in a Member State other than the Member | | Cross-border establishment | State country; a Member undertaking The that | where direct has | or been | the the State has or indirect established | head office of the firm is established or in a third subsidiary of a parent undertaking established in other than the Member State where that parent been established or in a third country. subsidiary of a third-country undertaking in a Member State (‘EU subsidiary of a | | EU establishment | third-country of establishment of Directive any For States, | of its cross-border (a) | EU the the consolidating Directive to | undertaking’) (EU) subsidiaries. lead competent in Article | or an EU branch, or any other form as referred to in Article 45(2) and Article 48(4) 2015/849 of that third-country undertaking or establishments set up in at least three Member supervisor means: authority of the Member State where the supervisor referred to in Article 111 of 2013/36/EU7 or the group supervisor referred 212(1)(d) of Directive 2009/138/EC8 is | | Lead supervisor | For the Where European request assistance, A college, and | (b) (c) EU lead (a) (b) (c) observers, | situated; European of would Regulation for undertaking, are: for subsidiary institution points the in establishments supervisor between authority established; among authority the in risk among ML/TF Member the the from | the Member a firm, i. ii. a firm (1) competent points branch accordance assessment highest lead supervisory including consisting | or, where the consolidating supervisor is the Central Bank (ECB), the competent authority State where the consolidating supervisor have been situated prior to the application of (EU) No 1024/2013;9 or other than a credit institution or an insurance with cross-border establishments, which subsidiaries, the competent authority of the home Member State of the parent undertaking; not subsidiaries, the competent authority of the home Member State of that firm; or operating on a cross-border basis, which is a of an undertaking other than a credit or a financial institution referred to in and (2) of Article 3 of Directive (EU) 2015/849, authority of a Member State as defined b(i) and b(ii) above. set up in at least three Member States, means: branches and subsidiaries, the competent of the Member State where the subsidiary is subsidiaries or among branches, the competent of the Member State where the subsidiary or that presents the highest level of ML/TF risk with the relevant competent authority’s is established; or subsidiaries or among branches, with the same risk levels, the competent authority of the State where the subsidiary or the branch with total value of its assets is established. supervisor cannot be identified, the relevant authority may on its own initiative or upon the competent authorities involved provide by means of mediation. of the lead supervisor, permanent members that is set up to provide a permanent structure | | AML/CFT college | for for border | cooperation the | purposes basis. | | and information sharing between these parties of supervising a firm operating on a cross- | | Prudential supervisor | The Regulation Regulation Regulation | competent | | (EU) (EU) (EU) | authority defined in point (2)(i) of Article 4 of No 1093/2010, in point (2)(i) of Article 4 of No 1094/2010 and in point (3)(i) of Article 4 of No 1095/2010. |
7 Directive 2013/36/EU of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC. 8 Directive 2009/138/EC of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II). 9 Council Regulation (EU) 1024/2013 of 15 October 2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions.
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Addressees
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Addressees
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1.1 Sklici
1.2 Ugotovljene zahteve
1.3 Povezani standardi
2. Ugotovljene zahteve
3. Povezani standardi
- EBA - Published by the European Banking Authority at https://www.eba.europa.eu/
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