14 Amendments of Christophe HANSEN related to 2021/0240(COD)
Amendment 546 #
Proposal for a regulation
Article 12 – paragraph 3 – point c
Article 12 – paragraph 3 – point c
(c) undertaking for collective investment in transferable securities and alternative investment funds;undertakings
Amendment 566 #
Proposal for a regulation
Article 12 – paragraph 4 – point a
Article 12 – paragraph 4 – point a
(a) with respect to customer-related risk: the share of non-resident customerstotal number of third-country customers that are resident in geographical areas of higher risk, the presence and share of customers identified as Politically Exposed persons (‘PEPs’);
Amendment 568 #
Proposal for a regulation
Article 12 – paragraph 4 – point b – point ii
Article 12 – paragraph 4 – point b – point ii
Amendment 620 #
Proposal for a regulation
Article 13 a (new)
Article 13 a (new)
Article 13a The obliged entities qualifying as selected obliged entities shall comprise at least 1 obliged entity in each Member State.
Amendment 635 #
Proposal for a regulation
Article 15 – paragraph 4 – subparagraph 1 (new)
Article 15 – paragraph 4 – subparagraph 1 (new)
In the composition of joint supervisory teams, the Authority shall ensure adequate representation of staff members of the financial supervisors of the Member State in which the financial institution operates. The supervisory team shall be made up of a majority of staff of financial supervisors of the Member States and compromise at least two staff members of the financial supervisor of the Member State of establishment and one staff member of the financial supervisors of the Member States where the financial institution or the obliged entity operates via subsidiaries, branches or under free provision of services.
Amendment 720 #
1. The Authority shall perform periodic assessments of some or all of the activities of one, several, or all financial supervisors, including the assessment of their tools and resources to ensure high level supervisory standards and practicesconsistency in supervisory practices and effective application of the legislative acts referred to in article 1 (2). To that end, the Authority shall develop methods to allow for an objective assessment and comparison between the competent authorities reviewed. The assessments shall include a review of the application of the AML/CFT supervisory methodology developed pursuant to Article 8 and shall cover all financial supervisors in a single assessment cycle. The length of each assessment cycle shall be determined by the Authority and shall not exceed seven years.
Amendment 727 #
Proposal for a regulation
Article 28 – paragraph 2
Article 28 – paragraph 2
2. The assessments shall be carried out by the staff of the Authority with voluntary involvement of thead hoc committees, which shall be composed of the Authority staff of financial supervisors that are not subject to review, upon agreement on such involvement by the Executive Board. The assessments shall take due account of all the relevant evaluations, assessments or reports drawn up by international organisations and intergovernmental bodies with competence in the field of preventing money laundering and terrorist financing. The committees shall be chaired by a member of the Authority's staff. The Chair, after consulting the Executive Board and following an open call for participation, shall propose the chair and the members of a peer review committee which shall be approved by the General Board in supervisory composition.
Amendment 732 #
Proposal for a regulation
Article 28 – paragraph 3
Article 28 – paragraph 3
3. The Authority shall produce a report setting out the results of each assessment. That report shall be prepared by the staff of the Authority, or by the staff of the Authority jointly with the staff of the financial supervisors where the staff of financial supervisors were involved in the review on an ad-hoc basis. Tcommittee and adopted by the General Board in supervisory composition. When drafting the report, the peer review committee shall consult the Executive Board in order to maintain consistency with other report shall be adopted by the Executive Board, taking into account the observations of the General Board in supervisory composition. The report shall explain and indicate any specific follow-up measures required to be taken by the financial supervisor or financial supervisors subject to the assessments and to ensure a level playing field. The Executive Board shall assess in particular whether the methodology has ´been applied in the same manner. The report shall explain and indicate any specific follow-up measures that are deemed appropriate, proportionate and necessary as a result of the assessment. The follow-up measures may be adopted in the form of guidelines and recommendations pursuant to Article 43 including recommendations addressed to all or several financial supervisors or to any specific financial supervisor, as appropriate.
Amendment 921 #
Proposal for a regulation
Article 49 – paragraph 5
Article 49 – paragraph 5
5. The General Board in either composition shall be consulted on the draft decisions to be taken by the Executive Board pursuant to Article 53(3), 53(4), points (a), (c), (e) and (m). Where the subsequent decision taken by tThe Executive Board may only deviates from the opinion of the General Board, through a decision adopted by consensus. The Executive Board shall provide the reasons thereof in writing.
Amendment 938 #
Proposal for a regulation
Article 53 – paragraph 2
Article 53 – paragraph 2
2. The Executive Board shall adopt all the decisions addressed to selected obliged entities following the proposal of the selected obliged entity’s Joint Supervisory Team referred to in Article 15, and taking into account the opinion provided by the General Board on that proposed decision. Where tThe Executive Board may only deviates from such an opinion, i through a decision adopted by consensus. It shall provide the reasons thereof in writing.
Amendment 986 #
Proposal for a regulation
Article 65 – paragraph 1
Article 65 – paragraph 1
1. The Authority shall levy an annual supervisory fee on all selected obliged entities referred to in Article 13 and on the non-selected obliged entities that meet the criteria of Article 12(1) and do not meet the criteria in Article 13(1) by one Member State. The fees shall cover expenditure incurred by the Authority in relation to the tasks related to direct supervision and referred to in Sections 3 and 4 of Chapter II. Those fees shall not exceed the expenditure relating to these tasks. Where these criteria are not fully respected in any given year, the necessary adjustments shall be made when calculating the fees for the two following years.
Amendment 992 #
Proposal for a regulation
Article 65 – paragraph 4
Article 65 – paragraph 4
4. The basis for calculating the annual supervisory fee for a given calendar year shall be the expenditure relating to the direct and indirect supervision of the selected and non-selected obliged entities subject to fees in that year. The Authority may require advance payments in respect of the annual supervisory fee, which shall be based on a reasonable estimate. The Authority shall communicate with the relevant financial supervisor before deciding on the final fee level so as to ensure that supervision remains cost- effective and reasonable for all financial sector obliged entities. The Authority shall communicate to respective financial sector obliged entities the basis for the calculation of the annual supervisory fee. Member States shall ensure that the obligation to pay the fees specified in this Article is enforceable under national law, and that due fees are fully paid.
Amendment 996 #
Proposal for a regulation
Article 65 – paragraph 6 – introductory part
Article 65 – paragraph 6 – introductory part
6. The Commission is empowered to adopt a delegated act in accordance with Article 86 to supplement this Regulation by specifying the methodology for calculating the amount of the fee levied on each selected and non-selected obliged entity subject to fees in accordance with paragraph 1, and the procedure for collecting these fees. When developing the methodology for determining the individual amount of fees the Commission shall take into account the following:
Amendment 997 #
Proposal for a regulation
Article 65 – paragraph 6 – point d
Article 65 – paragraph 6 – point d