9 Amendments of Pirkko RUOHONEN-LERNER related to 2016/0208(COD)
Amendment 69 #
Proposal for a directive
Recital 10 a (new)
Recital 10 a (new)
(10a) It is also possible to launder money in the trade of listed securities. Even though listed securities mostly fall outside the scope of this directive, it should be noted that the efficiency of fighting money laundering depends also on the tools that authorities have to find out the beneficial owners of listed securities. This should be taken into account especially when Member States reform the ownership registries of listed securities. The high level of transparency in the centralised, open registries of listed securities owners can be particularly useful in anti-money laundering efforts. These registries can be based either on a national, centralized registry system or a model where each listed company maintains a list of its owners, which stakeholders can access by request. Particular attention should be paid to know-your-customer policies in situations where the ownership of listed securities is mediated through one or more securities broker companies.
Amendment 87 #
Proposal for a directive
Recital 21
Recital 21
(21) The specific factor determining the Member State responsible for the monitoring and registration of beneficial ownership information of trusts and similar legal arrangements should be clarified. In order to avoid that, due to differences in the legal systems of Member States, certain trusts and similar legal arrangements are not monitored or registered anywhere in the Union, a. All trusts and similar legal arrangements should be registered where they are administeredincluding inter alia Treuhand, Stiftung, Privatstiftung, Usufruct Fiducia, or Fideicomiso, which operate in the Union should be registered in an EU Member State and be obliged to disclose beneficial ownership information to competent and law enforcement authorities in all other Member States. In order to ensure the effective monitoring and registration of information on the beneficial ownership of trusts and similar legal arrangements, cooperation among Member States is also necessary.
Amendment 118 #
Proposal for a directive
Recital 36
Recital 36
(36) With a view to ensure a coherent and efficient registration and information exchange, Member States should ensure that their authority in charge of the register set up for the beneficial ownership information of trusts and other legal arrangements similar to trusts cooperates with its counterparts in other Member States, sharing information concerning trusts governed by the law of the first Member State and administered in another Member Stateand other similar legal arrangements to trusts.
Amendment 292 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point a
Article 1 – paragraph 1 – point 10 – point a
Directive 2015/849/EU
Article 31 – paragraph 1 –subparagraph 1
Article 31 – paragraph 1 –subparagraph 1
Member States shall ensure that this Article applies to trusts and other types of legal arrangements having a structure or functions similar to trusts, such as, inter alia, fTreuhand, Stiftung, Privatstiftung, Usufruct Fiduciea, Treuhand or fideicomisoor Fideicomiso, and all other similar in terms of structure or function, existing or future legal arrangements.
Amendment 339 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point e
Article 1 – paragraph 1 – point 10 – point e
Directive 2015/849/EU
Article 31 – paragraph 7 a – subparagraph 1
Article 31 – paragraph 7 a – subparagraph 1
In exceptional circumstances laid down in national law, where the access referred to in paragraphs 4 and 4aoint b of paragraph 5 would expose the beneficial owner to the risk of fraud, kidnapping, blackmail, violence or intimidation, or where the beneficial owner is a minor or otherwise incapable, Member States may provide for an exemption from such accessa competent authority may grant a temporary exemption to all or part of the information on the beneficial ownership on a case-by-case basis. When an exemption is granted this has to be clearly indicated in the register.
Amendment 363 #
Proposal for a directive
Article 1 – paragraph 1 – point 12
Article 1 – paragraph 1 – point 12
Directive 2015/849/EU
Article 32 a – paragraph 3 a (new)
Article 32 a – paragraph 3 a (new)
3a. Those Member States which have not already done so shall establish national property registers and exchange the national data with competent authorities of other Member States. In order to facilitate the exchange of information the Commission shall develop, with FIUs, a standardised template for national competent authorities to use to submit the data.
Amendment 386 #
Proposal for a directive
Article 1 – paragraph 1 – point 15 a (new)
Article 1 – paragraph 1 – point 15 a (new)
Directive 2015/849/EU
Article 46 a (new)
Article 46 a (new)
(15a) the following Article 46a is inserted: Article 46a Member States should ensure that the ownership registries of listed securities also support the anti-money laundering efforts. In situations where Member States reform the ways they administer these ownership registries, they should investigate possibilities to introduce a model of direct, centralised and public ownership registry for listed securities either through national registry or a system where the list of owners would be available in the headquarters of each listed enterprise. In addition, particular attention should be paid to getting reliable information on ultimate beneficiaries in situations where listed securities are traded in chains involving one or more than one stock brokers.
Amendment 461 #
Proposal for a directive
Article 2 a (new)
Article 2 a (new)
Directive 2013/36/EU
Article 56 – paragraph 1 – point f a (new)
Article 56 – paragraph 1 – point f a (new)
Amendment 463 #
Proposal for a directive
Article 2 b (new)
Article 2 b (new)
Directive 2009/138/EC
Article 68 – paragraph 1 – point b – point iii a (new)
Article 68 – paragraph 1 – point b – point iii a (new)