26 Amendments of Eero HEINÄLUOMA related to 2021/0341(COD)
Amendment 141 #
Proposal for a directive
Article 1 – paragraph 1 – point 1 – point c
Article 1 – paragraph 1 – point 1 – point c
Directive 2013/36/EU
Article 3 – paragraph 1 – point 9a
Article 3 – paragraph 1 – point 9a
(9a) ‘key function holders’ means persons who have significant influence over the direction of the institution but are not members of the management body, including the heads of internal control functions and the chief financial officer, where those heads or that officer are not members of the management body, and the AML Compliance Officer referred to in Article 9(3) of Regulation [please insert reference – proposal for Anti-Money Laundering Regulation - COM/2021/420 final];
Amendment 196 #
Proposal for a directive
Article 1 – paragraph 1 – point 7
Article 1 – paragraph 1 – point 7
Directive 2013/36/EU
Article 27b – paragraph 3 – subparagraph 2
Article 27b – paragraph 3 – subparagraph 2
For the purposes of this paragraph and Article 23(2), and with regard to the criterion laid down in paragraph 1, point (c), an objection in writing by the authorities competent for the supervision of the undertakings under Directive (EU) 2015/849 shall constitute a reasonable ground for opposition.
Amendment 200 #
Proposal for a directive
Article 1 – paragraph 1 – point 7
Article 1 – paragraph 1 – point 7
Directive 2013/36/EU
Article 27b – paragraph 7 – subparagraph 1 – point b
Article 27b – paragraph 7 – subparagraph 1 – point b
Amendment 201 #
Proposal for a directive
Article 1 – paragraph 1 – point 7
Article 1 – paragraph 1 – point 7
Directive 2013/36/EU
Article 27b – paragraph 7a (new)
Article 27b – paragraph 7a (new)
7 a. EBA shall issue guidelines to specify a common assessment criteria set out in this Article, Article 27g and Article 27l. The EBA shall issue those guidelines by [OP please insert the date = 12 months from date of entry into force of this amending Directive].
Amendment 209 #
Proposal for a directive
Article 1 – paragraph 1 – point 7
Article 1 – paragraph 1 – point 7
Directive 2013/36/EU
Article 27g – paragraph 3 – subparagraph 2
Article 27g – paragraph 3 – subparagraph 2
With regard to the criterion laid down in paragraph 1, point (b), an objection in writing by the competent authorities under Directive (EU) 2015/849 shall constitute a reasonable ground for opposition.
Amendment 232 #
Proposal for a directive
Article 1 – paragraph 1 – point 7
Article 1 – paragraph 1 – point 7
Directive 2013/36/EU
Article 27l – paragraph 3 – subparagraph 2
Article 27l – paragraph 3 – subparagraph 2
With regard to the criterion laid down in paragraph 1, point (f), an objection in writing by the authorities competent for the supervision of the undertakings in line with Directive (EU) 2015/849 shall constitute a reasonable ground for negative opinion.
Amendment 312 #
Proposal for a directive
Article 1 – paragraph 1 – point 8
Article 1 – paragraph 1 – point 8
Directive 2013/36/EU
Article 48o – paragraph 6 – subparagraph 1 – point b
Article 48o – paragraph 6 – subparagraph 1 – point b
Amendment 313 #
Proposal for a directive
Article 1 – paragraph 1 – point 8
Article 1 – paragraph 1 – point 8
Directive 2013/36/EU
Article 48oa (new)
Article 48oa (new)
Amendment 391 #
Proposal for a directive
Article 1 – paragraph 1 – point 19
Article 1 – paragraph 1 – point 19
Directive 2013/36/EU
Article 91 – paragraph 1 – subparagraph 1
Article 91 – paragraph 1 – subparagraph 1
1. Institutions and financial holding companies and mixed financial holding companies, as approved pursuant to Article 21a(1),(“the entities”), shall have the primary responsibility for ensuring that members of the management body are at all times of good repute, act with honesty, integrity and independence and possess sufficient knowledge, skills and experience to perform their duties and fulfil the requirements set out in paragraphs 2 to 8 of this Article. The absence of a criminal conviction or of ongoing prosecutions for a criminal offence shall not in itself be sufficient to fulfil the requirement to be of good repute and act with honesty and integrity.
Amendment 396 #
Proposal for a directive
Article 1 – paragraph 1 – point 19
Article 1 – paragraph 1 – point 19
Directive 2013/36/EU
Article 91 – paragraph 12 – subparagraph 1 – point e a (new)
Article 91 – paragraph 12 – subparagraph 1 – point e a (new)
(ea) the criteria to determine where there are reasonable grounds to suspect that money laundering or terrorist financing within the meaning of Article 1 of Directive (EU) 2015/849 is being or has been committed or attempted, or there is increased risk thereof in connection with an institution;
Amendment 397 #
Proposal for a directive
Article 1 – paragraph 1 – point 19
Article 1 – paragraph 1 – point 19
Directive 2013/36/EU
Article 91 – paragraph 12 – subparagraph 1 a (new)
Article 91 – paragraph 12 – subparagraph 1 a (new)
For the purpose of developing the guidelines laid down in paragraph (ea), EBA shall work in close cooperation with the Anti-Money Laundering Authority and the European Securities and Markets Authority.
Amendment 417 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 a – paragraph 2 – subparagraph 2
Article 91 a – paragraph 2 – subparagraph 2
However, where it is strictly necessary to replace a member of the management body immediately, the entities may assess the suitability of such replacement members after they have taken up their positions. The entities shall be able to duly justify the need for such immediate replacement, and carry out a full assessment after the replacement members have taken up their positions.
Amendment 430 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 3 – subparagraph 1
Article 91 b – paragraph 3 – subparagraph 1
3. Competent authorities shall acknowledge in writing the receipt of the application and the documentation required in accordance with paragraph 2 within two working daysas soon as possible.
Amendment 432 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 3 – subparagraph 1 a (new)
Article 91 b – paragraph 3 – subparagraph 1 a (new)
Competent authorities may consult, in the context of their verifications, and on a risk-sensitive basis, the authorities competent for the supervision of anti- money laundering in line with Directive (EU) 2015/849 and provide them with all the relevant information concerning the members of the management body. Competent authorities may also consult the Central AML/CFT database referred to in Article 11 of Regulation [please insert reference – proposal for establishment of an Anti-Money Laundering Authority - COM/2021/421 final].
Amendment 446 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 4
Article 91 b – paragraph 4
4. Competent authorities that request from the entities additional information or documentation, including from the entities or other authorities or which conduct interviews or hearings, may extend the assessment period for a maximum of 40 working days. However, the assessment period shall not exceed 120 working days. Request for additional information or documentation shall be made in writing and shall be specific. The entities shall acknowledge receipt of request for additional information or documentation within two working days and provide the requested additional information or documentation within 10 working days as of the date of the written acknowledgement of the request from competent authorities. Failure by the entities to provide the requested information within this deadline shall result in the procedure being closed without any further assessment by the competent authority. The closure of the procedure shall be without prejudice to the possibility for the entity to submit a new application.
Amendment 461 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 6
Article 91 b – paragraph 6
6. CWhere the competent authorities shall not reassessy becomes aware that relevant information concerning the suitability of the members of the management body when their mandate is renewed, unless relevant information that is known to competent authorities has changed and such change may affecthas changed and such change may affect the suitability of the member concerned, the competent authority shall reassess the suitability of the member of the management. Competent authorities shall not automatically reassess the suitability of the member concernmembers of the management body when their mandate is renewed.
Amendment 465 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 7 – point b
Article 91 b – paragraph 7 – point b
(b) suspend or remove such members from the management body;
Amendment 477 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 8 – subparagraph 2
Article 91 b – paragraph 8 – subparagraph 2
However, where it is strictly necessary to replace a member of the management body immediately, competent authorities may carry out the suitability assessment of members of the management body after they take up their positions. The entities shall be able to duly justify the need for such immediate replacement.
Amendment 480 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 b – paragraph 10 – subparagraph 1
Article 91 b – paragraph 10 – subparagraph 1
10. EBA shall develop draft implementing technical standards on standard forms, templates and procedures for the provision of the information referred to in paragraph 2. When developing the draft implementing technical standards, EBA shall take into account existing practices and tools.
Amendment 487 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 d – paragraph 3 – subparagraph 1
Article 91 d – paragraph 3 – subparagraph 1
3. Competent authorities shall acknowledge in writing the receipt of the application and the documentation required in accordance with paragraph 2 within two working daysas soon as possible.
Amendment 489 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 d – paragraph 3 – subparagraph 1 a (new)
Article 91 d – paragraph 3 – subparagraph 1 a (new)
Competent authorities may consult, in the context of their verifications, and on a risk-sensitive basis, the authorities competent for the supervision of anti- money laundering in line with Directive (EU) 2015/849 and provide them with all the relevant information concerning the members of the management body. Competent authorities may also consult the Central AML/CFT database referred to in Article 11 of Regulation [please insert reference – proposal for establishment of an Anti-Money Laundering Authority - COM/2021/421 final].
Amendment 492 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 d – paragraph 4
Article 91 d – paragraph 4
4. Competent authorities that request additional information or documentation from the entities referred to in paragraph 1 additional information or documentation, includingor from other authorities or which conduct interviews or hearings, may extend the assessment period for maximum 40 working days. However, the assessment period shall not exceed 120 working days. Request for additional information or documentation shall be made in writing and shall be specific. The entities referred to paragraph 1 shall acknowledge receipt of request for additional information or documentation within two working days and provide the requested additional information or documentation within 10 working days as of the date of the written acknowledgement of the request from competent authorities. Failure by the entities to provide the requested information within this deadline shall result in the procedure being closed without any further assessment by the competent authority. The closure of the procedure shall be without prejudice to the possibility for the entity to submit a new application.
Amendment 497 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 d – paragraph 5
Article 91 d – paragraph 5
5. As soon as any new facts or other issues that may affect the suitability of the member of the management bodyheads of internal control functions and the chief financial officer are known to the entities referred to in paragraph 1 or the relevant member of the management body, the entities referred to in that paragraph shall inform without undue delay the relevant competent authorities thereof. Where the competent authority becomes aware that relevant information concerning the suitability of the heads of internal control functions and the chief financial officer has changed and such change may affect the suitability of the heads or officer concerned, the competent authority shall reassess their suitability.
Amendment 498 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 d – paragraph 6 – point b
Article 91 d – paragraph 6 – point b
(b) suspend or remove such heads or officer;
Amendment 500 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
8. EBA shall develop draft implementing technical standards on standard forms, templates and procedures for the provision of the information referred to in paragraph 2. When developing the draft implementing technical standards, EBA shall take into account existing practices and tools.
Amendment 502 #
Proposal for a directive
Article 1 – paragraph 1 – point 20
Article 1 – paragraph 1 – point 20
Directive 2013/36/EU
Article 91 d – paragraph 8 a (new)
Article 91 d – paragraph 8 a (new)
8a. EBA shall issue guidelines on the fulfilment of the requirements of Article 91 (c). The EBA shall issue those guidelines by [OP please insert the date = 12 months from date of entry into force of this amending Directive].