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  1. Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU (EBA/GL/2021/15) (applicable from 1 June 2022)
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Published date: 16 December 2021

Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU (EBA/GL/2021/15) (applicable from 1 June 2022)

Comparing proposed amendment...
1. Executive summary
2. Background and rationale
3. Guidelines
1. Compliance and reporting obligations (paras. 1-4)
2. Subject matter, scope and definitions (paras. 5-9)
3. Implementation (para. 10)
4. General provisions (paras. 11-13)
5. Mechanisms for cooperation, information exchange and confidentiality treatment (paras. 14-40)
5.1 Practical modalities for cooperation and information exchange (paras. 14-37)
5.2 Confidentiality restrictions and permissible uses of information (paras. 38-40)
6. Cooperation and information exchange in the context of the processes for authorisation, proposed acquisitions of qualifying holdings, suitability assessments, and withdrawal of authorisation (paras. 41-65)
6.1 Applications for authorisation of institutions (paras. 41-47)
6.2 Assessment of proposed acquisitions or increases of qualifying holdings (paras. 48-54)
6.3 Suitability assessment of members of the management body and key function holders (paras. 55-59)
6.4 Withdrawal of authorisation of institutions (paras. 60-65)
7. Cooperation and information exchange in ongoing supervision (paras. 66-91)
7.1 Assessment of notifications to exercise the freedom of establishment and the exercise of freedom to provide services (paras. 66-69)
7.2 Assessment of mergers (paras. 70-73)
7.3 Assessment of outsourcing arrangements (paras. 74-75)
7.4 On and off-site supervision and risk assessments (paras. 76-88)
7.5 Coordinated supervisory activities (paras. 89-91)
8. Cooperation and information exchange regarding supervisory measures and sanctions (paras. 92-93)
4. Accompanying documents
4.1 Draft cost-benefit analysis/impact assessment
4.2 Feedback on the public consultation
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