Activities of Ana GOMES related to 2016/0208(COD)
Plenary speeches (1)
Prevention of the use of the financial system for the purposes of money laundering or terrorist financing (debate) PT
Shadow reports (1)
REPORT on the proposal for a directive of the European Parliament and of the Council amending Directive (EU) 2015/849 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing and amending Directive 2009/101/EC PDF (1 MB) DOC (200 KB)
Amendments (73)
Amendment 91 #
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 are not monitored or registered anywhere in the Union, all trusts and similar legal arrangements should be registered where they are created, administered or operated. In order to ensure the effective monitoring and registration of information on the beneficial ownership of trusts, cooperation among Member States is also necessary.
Amendment 108 #
Proposal for a directive
Recital 34
Recital 34
Amendment 115 #
Proposal for a directive
Recital 35
Recital 35
Amendment 126 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 (new)
Article 1 – paragraph 1 – point -1 (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point a
Article 2 – paragraph 1 – point 3 – point a
Amendment 129 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 a (new)
Article 1 – paragraph 1 – point -1 a (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point b – point v a (new)
Article 2 – paragraph 1 – point 3 – point b – point v a (new)
(-1a) in point (b) of Article 2(1)(3), the following point is inserted: (va) tax planning and advice;
Amendment 132 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 b (new)
Article 1 – paragraph 1 – point -1 b (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point c a (new)
Article 2 – paragraph 1 – point 3 – point c a (new)
(-1b) In point (3) of Article 2(1), the following point is inserted: (ca) taxation and accountancy service providers not covered under point (a) or (b);
Amendment 138 #
Proposal for a directive
Article 1 – paragraph 1 – point 1 a (new)
Article 1 – paragraph 1 – point 1 a (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point h a (new)
Article 2 – paragraph 1 – point 3 – point h a (new)
(1a) In point (3) of Article 2(1), the following point is inserted: (ha) natural or legal persons trading in works of art, art gallerists, auction houses and platforms for storing, servicing and trading in works of art and other valuables ("freeports");
Amendment 152 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a
Article 1 – paragraph 1 – point 2 – point a
Directive 2015/849/EU
Article 3 – point 6 – point a – point i
Article 3 – point 6 – point a – point i
Amendment 153 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a
Article 1 – paragraph 1 – point 2 – point a
Directive 2015/849/EU
Article 3 – point 6 – point a – point i
Article 3 – point 6 – point a – point i
(a) in point (6)(a)(i), the followingsecond subparagraph is added: "For the purposes of Article 13(1)(b) and Article 30 of this Directive, thereplaced by the following: A shareholding of 10% plus one share or an ownership interest of more than 10% in the customer held by a natural person shall be an indication of direct ownership or control set out in the second paragraph is reduced to 10% whenever the legal entity is a Passive Non-Financial Entity as def. A shareholding of 10 % plus one share or an ownership interest of more than 10% in the customer held by a corporate entity, which is under the control of a natural person(s), or by multiple corporate entities, which are under the control of the same natural person(s), shall be an indication of indirect ownership. This applies without prejudice to the right of Member States to decide that a lower percentage may be an indication of ownership or control. Control through other means may be determined, in Directive 2011/16/EU.";ter alia, in accordance with the criteria in Article 22(1) to (5) of Directive 2013/34/EU of the European Parliament and of the Council.
Amendment 155 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a a (new)
Article 1 – paragraph 1 – point 2 – point a a (new)
Directive 2015/849/EU
Article 3 – point 6 – point a – point i a (new)
Article 3 – point 6 – point a – point i a (new)
(aa) in point (6)(a), the following point is inserted: (ia) senior managers, nominee directors, administrators and other proxies or agents shall never be identified as beneficial owners;
Amendment 156 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a a (new)
Article 1 – paragraph 1 – point 2 – point a a (new)
Directive 2015/849/EU
Article 3 – paragraph 6 – point a – point ii
Article 3 – paragraph 6 – point a – point ii
Amendment 163 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a c (new)
Article 1 – paragraph 1 – point 2 – point a c (new)
Directive 2015/849/EU
Article 3 – paragraph 1 – point 6 – point b
Article 3 – paragraph 1 – point 6 – point b
(ac) in point (6), point (b) is replaced by the following: "(b) in the case of trusts: (i) the settlor (s); (ii) the trustee (s); (iii) the protector (s), if any; (iv) the beneficiaries, or where the individuals benefiting from the legal arrangement or entity have yet to be determined, the class of persons in whose main interest the legal arrangement or entity is set up or operates; (iva) any other person mentioned in the trust deed or related document (regardless of any distribution, right, power or interest) (v) any other natural person exercising ultimate control over the trust by means of direct or indirect ownership or by other means;" Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/?qid=1481024906782&uri=CELEX:32015L0849)
Amendment 166 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a d (new)
Article 1 – paragraph 1 – point 2 – point a d (new)
Directive 2015/849/EU
Article 3 – point 9 – point g
Article 3 – point 9 – point g
(ad) in point (9), point (g) is replaced by the following: (g) members of the administrative, management or supervisory bodies of State-owned enterprisepublic and private enterprises as well as of foundations and any other religious and secular organisations;
Amendment 167 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a f (new)
Article 1 – paragraph 1 – point 2 – point a f (new)
Directive 2015/849/EU
Article 3 – point 9 – point h a (new)
Article 3 – point 9 – point h a (new)
(af) in point (9), the following point is added: "(ha) members of public administration, who are in charge of awarding public procurement contracts exceeding the thresholds referred to in Article 4 of Directive 2014/24/EU."
Amendment 169 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a a (new)
Article 1 – paragraph 1 – point 2 – point a a (new)
Directive 2015/849/EU
Article 3 – point 10 – point c
Article 3 – point 10 – point c
(aa) in point 10, point (c) is replaced by the following: "(c) the parents and siblings of a politically exposed person;" Or. en (http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32015L0849)
Amendment 172 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point c
Article 1 – paragraph 1 – point 2 – point c
Directive 2015/849/EU
Article 3 – point 18
Article 3 – point 18
(18) 'virtual currencies' means a digital representation of value that is neither issued by a central bank or a public authority, nor necessarily attached to a fiat currencattached to a legally established fiat currency, which does not possess the legal status of currency or money, but is accepted by natural or legal persons, as a means of payment andexchange and possibly also for other purposes, and which can be transferred, stored or traded electronically.;
Amendment 173 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 a (new)
Article 1 – paragraph 1 – point 2 a (new)
Directive 2015/849/EU
Article 5 a (new)
Article 5 a (new)
(2a) The following Article 5a is inserted: Article 5a Member States shall ensure that, in addition to obliged entities as laid down in this Directive, national authorities perform customer due diligence measures as described in Article 13, 18a, 19 and 20 with regards to third country nationals who apply for residence rights or citizenship in the Member State under national laws which grant residence rights and/or citizenship to third country nationals in exchange of capital transfers, purchase of property or government bonds, or investment in corporate entities in that Member State.
Amendment 181 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 a (new)
Article 1 – paragraph 1 – point 2 a (new)
Directive 2015/849/EU
Article 7 – paragraph 4 – point e a (new)
Article 7 – paragraph 4 – point e a (new)
Amendment 186 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 b (new)
Article 1 – paragraph 1 – point 2 b (new)
(2b) in Article 9, paragraph (1) is replaced by the following: "1. Third-country jurisdictions which have strategic deficiencies in their national AML/CFT regimes that pose significant threats to the financial system of the Union ("high-risk third countries"), shall be identified for the security of citizens and in order to protect the proper functioning of the internal market." Or. en (http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32015L0849)
Amendment 190 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 c (new)
Article 1 – paragraph 1 – point 2 c (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point a – point iii
Article 9 – paragraph 2 – point a – point iii
(2c) in Article 9(2)(a), point (iii) is replaced by the following: (iii) requirements relationg to record- keeping; and
Amendment 191 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 d (new)
Article 1 – paragraph 1 – point 2 d (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point a – point iv
Article 9 – paragraph 2 – point a – point iv
(2d) in Article9(2)(a), point (iv) is replaced by the following: (iv) requirements to report suspicious transactions; and
Amendment 192 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 e (new)
Article 1 – paragraph 1 – point 2 e (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point a – point iva (new)
Article 9 – paragraph 2 – point a – point iva (new)
(2e) in Article 9(2)(a), the following point is added: (iva) requirements to ensure beneficial ownership transparency;
Amendment 194 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 f (new)
Article 1 – paragraph 1 – point 2 f (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point b
Article 9 – paragraph 2 – point b
(b) the powers and procedures2f) in Article 9(2), point (b) is replaced by the following: (b) the powers, procedures and political independence of the third country's competent authorities for the purposes of combating money laundering and terrorist financing;
Amendment 196 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 g (new)
Article 1 – paragraph 1 – point 2 g (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point c
Article 9 – paragraph 2 – point c
(2g) in Article 9(2), point (c) is replaced by the following: (c) the effectiveness of the AML/CFT system in addressing money laundering or terrorist financing risks of the third country., including an analysis of governance indicators, such as control of corruption, government effectiveness, political stability and absence of violence/terrorism, regulatory quality, the rule of law and accountability;
Amendment 197 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 h (new)
Article 1 – paragraph 1 – point 2 h (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point c a (new)
Article 9 – paragraph 2 – point c a (new)
(2h) in Article 9(2), the following point is inserted: (ca) the existence of proper sanction regime in case of breach of law;
Amendment 200 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 i (new)
Article 1 – paragraph 1 – point 2 i (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point c b (new)
Article 9 – paragraph 2 – point c b (new)
(2i) in Article 9(2), the following point is added: (cb) measures in place to protect whistleblowers who uncover information related to money laundering activities.
Amendment 201 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 a (new)
Article 1 – paragraph 1 – point 2 a (new)
Directive 2015/849/EU
Article 9 – paragraph 2 a (new)
Article 9 – paragraph 2 a (new)
(2a) in Article 9, the following paragraph is inserted: 2a. Paragraph 2 (a), (b) and (c) of Article 9 shall be taken into account during the negotiation of any trade, association and partnership agreements by the Commission or any Member State with a third country. The final agreement shall provide provisions for minimum standards and good governance clauses as provided in Annex II of the Communication from the Commission to the European Parliament and the Council on an External Strategy for Effective Taxation in the field of AML/CFT, improved cooperation and effective retaliatory measures if the third country fails to enforce these provisions.;
Amendment 204 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 j (new)
Article 1 – paragraph 1 – point 2 j (new)
Directive 2015/849/EU
Article 10 – paragraph 1
Article 10 – paragraph 1
(2j) In Article 10, paragraph 1 is replaced by the following: "1. Member States shall prohibit their credit institutions and financial institutions from keeping anonymous accounts or anonymous passbooks. Member States shall, in any event, require that the owners and beneficiaries of existing anonymous accounts or anonymous passbooks be subject to customer due diligence measures as soon as possible and in any event before such accounts or passbooks are used in any way." (http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32015L0849)no later than six months after the entry into force of this Directive." Or. en
Amendment 210 #
Proposal for a directive
Article 1 – paragraph 1 – point 3 – point a – point i a (new)
Article 1 – paragraph 1 – point 3 – point a – point i a (new)
Directive 2015/849/EU
Article 12 – paragraph 1 – point e
Article 12 – paragraph 1 – point e
(i a) in the first subparagraph, point (e) is replaced by the following: '(e) the issuer carries out sufficient monitoring and ensures the traceability of the transactions or business relationship to enable the detection of unusual or suspicious transactions.'
Amendment 217 #
Proposal for a directive
Article 1 – paragraph 1 – point 4 a (new)
Article 1 – paragraph 1 – point 4 a (new)
Directive 2015/849/EU
Article 13 – paragraph 6 a (new)
Article 13 – paragraph 6 a (new)
(4a) In Article 13, the following paragraph is added: 6a. Member States shall ensure that when customer due diligence measures, as described in this Article, do not allow the identification of the beneficial owner, or where there are reasonable doubts that the person(s) identified are the beneficial owner(s), the business relationship is refused or terminated, and that no transactions are executed.
Amendment 220 #
Proposal for a directive
Article 1 – paragraph 1 – point 5
Article 1 – paragraph 1 – point 5
Directive 2015/849/EU
Article 14 – paragraph 5
Article 14 – paragraph 5
5. Member States shall require that obliged entities apply the customer due diligence measures not only to all new customers but also at appropriate times to existing customers on a risk-sensitive basis, or when the relevant circumstances of a customer change, or when the obliged entity has a duty in the course of the relevant calendar year, to contact the customer for the purpose of reviewing any information related to the beneficial owner(s), in particular under Directive 2011/16/EU.; Member States shall require that obliged entities contact the customer for the purpose of reviewing any information related to the beneficial owner(s) not later than ... [one year after the date of the entry into force of this amending Directive].
Amendment 248 #
Proposal for a directive
Article 1 – paragraph 1 – point 7 a (new)
Article 1 – paragraph 1 – point 7 a (new)
Directive 2015/849/EU
Article 20 – point b – point ii
Article 20 – point b – point ii
(7a) in Article 20(b), point (ii) is replaced by the following: "(ii) take adequate measures to establish the source of wealth and source of funds that are involved in business relationships or transactions with such persons; (http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32015L0849), including the corporate structure used for business relations or transactions;" Or. en
Amendment 249 #
Proposal for a directive
Article 1 – paragraph 1 – point 7 b (new)
Article 1 – paragraph 1 – point 7 b (new)
Directive 2015/849/EU
Article 20 a (new)
Article 20 a (new)
Amendment 257 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point -a (new)
Article 1 – paragraph 1 – point 9 – point -a (new)
Directive 2015/849/EU
Article 30 – paragraph 1 – subparagraph 2 a (new)
Article 30 – paragraph 1 – subparagraph 2 a (new)
(-a) in paragraph 1 the following subparagraph is inserted: Member States shall ensure that owners of shares or voting rights or ownership interest in corporate and other legal entities, including through bearer shareholdings, or through control via other means, disclose to those entities whether they are holding the interest in their own name and on their own account or on behalf of another person. Member States shall ensure that the natural person(s) who hold the position of senior managing official(s) in corporate and other legal entities, disclose to those entities whether they are holding the position in their own name or on behalf of another person.
Amendment 259 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point -a a (new)
Article 1 – paragraph 1 – point 9 – point -a a (new)
Directive 2015/849/EU
Article 30 – paragraph 1 – subparagraph 2 b (new)
Article 30 – paragraph 1 – subparagraph 2 b (new)
(-aa) in paragraph 1 the following subparagraph is added: Member States shall ensure that, when acting on behalf of another person, the nominee owner(s) or director(s) in corporate and other legal entities are required to maintain information identifying their nominator.
Amendment 260 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point -a (new)
Article 1 – paragraph 1 – point 9 – point -a (new)
Directive 2015/849/EU
Article 30 – paragraph 3
Article 30 – paragraph 3
(-a) paragraph 3 is replaced by the following: 3. Member States shall ensure that the information referred to in paragraph 1 is held in a central register in each Member State, for example a commercial register, companies register as referred to in Article 3 of Directive 2009/101/EC of the European Parliament and of the Council (1), or a public register. Member States shall notify to the Commission the characteristics of those national mechanisms. The information on beneficial ownership contained in that database may be collected in accordance with national systems." (eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)Member states shall ensure that the register administering entity will not take advantage of a possible preferential market position to charge fees with an exceptional high mark-up. The information on beneficial ownership contained in that database may be collected in accordance with national systems. In the case of a register administered by public administration, the member state shall continuously look for possibilities to lower the administrative costs so access to the register is not discouraged by high costs and related fees." Or. en
Amendment 261 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point -a a (new)
Article 1 – paragraph 1 – point 9 – point -a a (new)
Directive 2015/849/EU
Article 30 – paragraph 4
Article 30 – paragraph 4
(-aa) paragraph 4 is replaced by the following: 4. Member States shall require that the information held in the central register referred to in paragraph 3 is adequate, accurate and current. Obliged entities, FIUs and competent authorities shall report any discrepancy they find between the beneficial ownership information held in the central registers and the beneficial ownership information collected as part of their customer due diligence procedures or investigations.
Amendment 272 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point a a (new)
Article 1 – paragraph 1 – point 9 – point a a (new)
Directive 2015/849/EU
Article 30 – paragraph 5 a (new)
Article 30 – paragraph 5 a (new)
(aa) the following paragraph 5a is inserted: 5a. The information held in the register referred to in paragraph 3 of this Article on any corporate and legal entities other than those referred to in Article 1a(a) of Directive (EC) 2009/101 shall be publicly accessible. The information publicly accessible shall consist of at least the name, the date of birth, the nationality, the country of residence, contact details (without disclosure of a home address), the nature and extent of the beneficial interest held of the beneficial owner as defined in Article 3(6)(b). For the purposes of this paragraph, the information on beneficial ownership shall be available in in accordance with data protection rules and in open format, as defined in Directive 2003/98/EC Article 2(7) and subject to online registration. Member States may subject public access to information to online registration and introduce a fee to cover the administrative costs.
Amendment 276 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point a b (new)
Article 1 – paragraph 1 – point 9 – point a b (new)
Directive 2015/849/EU
Article 30 – paragraph 5 a (new)
Article 30 – paragraph 5 a (new)
Amendment 277 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point b
Article 1 – paragraph 1 – point 9 – point b
Directive 2015/849/EU
Article 30 – paragraph 6 – subparagraph 1
Article 30 – paragraph 6 – subparagraph 1
The central register referred to in paragraph 3 shall ensure timelydirect and unrestricted access by competent authorities and FIUs to all information held in the central register without any restriction or payment of a fee and without alerting the entity concerned. It shall also allow timely access byThe same provisions should apply to obliged entities when taking customer due diligence measures in accordance with Chapter II.
Amendment 284 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point c
Article 1 – paragraph 1 – point 9 – point c
Directive 2015/849/EU
Article 30 – paragraph 9 – subparagraph 1
Article 30 – paragraph 9 – subparagraph 1
In exceptional circumstances to be laid down in national law, where the access referred to in point (b) of paragraph 5 and paragraph 5a 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 access to all or part of the information on the beneficial ownership on a case-by-case basis. Exemptions shall be reassessed at regular intervals to avoid abuse. When an exemption is granted, this has to be clearly indicated in the register and legal appeal against the exemption shall always be possible. Member States shall publish annual statistical data on the amount of exemptions granted and reasons stated and report the data to the Commission.
Amendment 290 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point c a (new)
Article 1 – paragraph 1 – point 9 – point c a (new)
Directive 2015/849/EU
Article 30 – paragraph 10 a (new)
Article 30 – paragraph 10 a (new)
Amendment 294 #
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, fiducie, Treuhand, waaf or fideicomiso, and all other similar, in terms of structure or function, existing or future legal arrangements.
Amendment 300 #
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 2
Article 31 – paragraph 1 – subparagraph 2
Each Member State shall require that trustees of any express trust created, administered or operated in that Member State under the law of a Member State or third country obtain and hold adequate, accurate and up-to-date information on beneficial ownership regarding the trust. That information shall include the identity of: (a) the settlor (s); (b) the trustee (s); (c) the protector (s) (if any); (d) the beneficiaries or class of beneficiaries; (e) exercising effective control over the trust.da) any other person mentioned in the trust deed or related document (regardless of any distribution, right, power or interest); any other natural person
Amendment 304 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point a a (new)
Article 1 – paragraph 1 – point 10 – point a a (new)
Directive 2015/849/EU
Article 31 – paragraph 3
Article 31 – paragraph 3
(aa) paragraph 3 is replaced by the following: 3. Member States shall require that the information referred to in paragraph 1 can be directly accessed in a timely manner by competent authorities and FIUs. Obliged entities, FIUs and competent authorities shall report any discrepancy they find between the beneficial ownership information held in the central registers and the beneficial ownership information collected as part of their customer due diligence procedures or investigations.
Amendment 309 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point b
Article 1 – paragraph 1 – point 10 – point b
Directive 2015/849/EU
Article 31 – paragraph 3 a
Article 31 – paragraph 3 a
3a. The information referred to in paragraph 1 shall be held in a central register set up by the Member State where the trust is created, administered or operated;
Amendment 317 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point d
Article 1 – paragraph 1 – point 10 – point d
Directive 2015/849/EU
Article 31 – paragraph 4 a – subparagraph 1
Article 31 – paragraph 4 a – subparagraph 1
The information held in the register referred to in paragraph 3a of this Article with respect to any other trusts than those referred to in Article 7b (b) of Directive (EC) 2009/101 shall be accessible to any person or organisation that can demonstrate a legitimate interestor similar legal entities shall be public.
Amendment 324 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point d
Article 1 – paragraph 1 – point 10 – point d
Directive 2015/849/EU
Article 31 – paragraph 4 a – subparagraph 2
Article 31 – paragraph 4 a – subparagraph 2
The information publicly accessible to persons and organisations that can demonstrate a legitimate interest shall consist of the name, the month and yeardate of birth, the nationality and, the country of residence and the nature and extent of the interest held of the beneficial owner as defined in Article 3(6)(b).
Amendment 337 #
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 4a 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 access to all or part of the information on the beneficial ownership on a case-by- case basis. Exemptions shall be reassessed at regular intervals to avoid abuse. When an exemption is granted, this has to be clearly indicated in the register and legal appeal against the exemption shall always be possible. Member States shall publish annual statistical data on the amount of exemptions granted and reasons stated and report the data to the Commission.
Amendment 345 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point h
Article 1 – paragraph 1 – point 10 – point h
Directive 2015/849/EU
Article 31 – paragraph 10
Article 31 – paragraph 10
10. For the purposes of this Article, a trust is considered to be administered in each Member State where the trustees are established;: (a) it is created according to or governed by the Member State's law or has its ultimate court of appeal in the Member State's jurisdiction; or (b) it is connected to the Member State by: (i) having one or more of the beneficial owners of the trust, as defined in Article 3(6)(b), resident in that Member State; (ii) holding real estate in that Member State; (iii) holding shares or voting rights or ownership interest in a legal entity incorporated in that Member State; or (iv) holding a bank or payment account in a credit institution situated in that Member State.
Amendment 350 #
Proposal for a directive
Article 1 – paragraph 1 – point 11 – point -a a (new)
Article 1 – paragraph 1 – point 11 – point -a a (new)
Directive 2015/849/EU
Article 32 – paragraph 1
Article 32 – paragraph 1
(-aa) paragraph 1 is replaced by the following: 1. Each Members State shall establish an FIU in order to prevent, detect and effectively combat money laundering and terrorist financing. The FIU shall be a police authority or other law enforcement service or entity which, under national law, is responsible for preventing and combating criminal offences.
Amendment 369 #
Proposal for a directive
Article 1 – paragraph 1 – point 12 a (new)
Article 1 – paragraph 1 – point 12 a (new)
Directive 2015/849/EU
Article 32 b (new)
Article 32 b (new)
Amendment 371 #
Proposal for a directive
Article 1 – paragraph 1 – point 12 a (new)
Article 1 – paragraph 1 – point 12 a (new)
Directive 2015/849/EU
Article 33 – paragraph 1 – introductory part
Article 33 – paragraph 1 – introductory part
(13a) in Article 33, paragraph 1 is replaced by the following: "1. Member States shall require obliged entities, and, where applicable, their directors and employees, to cooperate fully by promptly: (eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES), employees and externally hired consultants and professionals to cooperate fully by promptly: Or. en
Amendment 374 #
Proposal for a directive
Article 1 – paragraph 1 – point 13 a (new)
Article 1 – paragraph 1 – point 13 a (new)
Directive 2015/849/EU
Article 34 – paragraph 3 a (new)
Article 34 – paragraph 3 a (new)
(13a) in Article 34, the following paragraph is added: 3a. Self-regulatory bodies designated by Member States under paragraph 1 shall publish an annual report containing information about: (a) measures taken under Articles 58, 59 and 61; (b) number of reports of breaches received; (c) number of reports filed to the FIU; (d) number and description of measures carried out to verify compliance by obliged entities with their obligations under: i. Articles 10 to 24 (customer due diligence); ii. Articles 33, 34 and 35 (suspicious transaction reporting); iii. Article 40 (record-keeping); and iv. Articles 45 and 46 (internal controls).
Amendment 378 #
Proposal for a directive
Article 1 – paragraph 1 – point 13 b (new)
Article 1 – paragraph 1 – point 13 b (new)
Directive 2015/849/EU
Article 38
Article 38
(13b) Article 38 is replaced by the following: Member States shall ensure that individuals, including employees and representatives of the obliged entity, who report suspicions of money laundering or terrorist financing internally or to the FIU, are legally protected from being exposed to threats or hostile action, and in particular from adverse or discriminatory employment actions.
Amendment 379 #
Proposal for a directive
Article 1 – paragraph 1 – point 13 c (new)
Article 1 – paragraph 1 – point 13 c (new)
Directive 2015/849/EU
Article 38 – paragraph 1 a (new)
Article 38 – paragraph 1 a (new)
(13c) in Article 38, the following paragraph is added: 1a. Member States shall ensure that individuals who are exposed to threats, hostile actions, or adverse or discriminatory employment actions for reporting suspicions of money laundering or terrorist financing internally or to the FIU are able to present a complaint in a safe manner to the respective competent authorities. Member States shall ensure that competent authorities have the legal duty to carry out an investigation and emit a decision. Judicial redress against the decision shall always be possible.
Amendment 384 #
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 43
Article 43
(15 a) Article 43 is replaced by the following: The processing of personal data on the basis of this Directive for the purposes of the prevention of money laundering and terrorist financing as referred to in Article 1 shall be considered to be a matter of public interest under Directive 95/46/ECRegulation (EU) 2016/679.
Amendment 391 #
Proposal for a directive
Article 1 – paragraph 1 – point 16 a (new)
Article 1 – paragraph 1 – point 16 a (new)
Directive 2015/849/EU
Article 48 – paragraph 2
Article 48 – paragraph 2
(16a) in Article 48, paragraph 2 is replaced by the following: 2. Member States shall ensure that the competent authorities have adequate powers, including the power to compel the production of any information that is relevant to monitoring compliance and perform checks, and have adequate financial, human and technical resources to perform their functions. Member States shall ensure that staff of those authorities maintain high professional standards, including standards of confidentiality and data protection, that they are of high integrity and are appropriately skilled. Member States shall ensure that staff of those authorities have sufficient rules and mechanisms in place to prevent and sanction situations of conflict of interest.
Amendment 392 #
Proposal for a directive
Article 1 – paragraph 1 – point 16 b (new)
Article 1 – paragraph 1 – point 16 b (new)
Directive 2015/849/EU
Article 48 – paragraph 9
Article 48 – paragraph 9
(16b) in Article 48, paragraph 9 is replaced by the following: 9. In the case of the obliged entities referred to in point (3)(a), (b), (ca) and (d) of Article 2(1), Member States may allow the functions referred to in paragraph 1 of this Article to be performed by self- regulatory bodies, provided that those self- regulatory bodies comply with paragraph 2 of this Article.
Amendment 402 #
Proposal for a directive
Article 1 – paragraph 1 – point 19 b (new)
Article 1 – paragraph 1 – point 19 b (new)
Directive 2015/849/EU
Article 53 – paragraph 3
Article 53 – paragraph 3
(ba) in Article 53, paragraph 3 is replaced by the following: 3. An FIU may refuse to exchange information only in exceptional circumstances where the exchange could be contrary to fundamental principles of its national law. Those exceptions shall be specified in a way which prevents misuse of, and undue limitations on, the free exchange of information for analytical purposes. When such exceptional circumstances are invoked, the requested FIU shall send a report to the Commission.
Amendment 404 #
Proposal for a directive
Article 1 – paragraph 1 – point 19 – point b a (new)
Article 1 – paragraph 1 – point 19 – point b a (new)
Directive 2015/849/EU
Article 53 – paragraph 3 a (new)
Article 53 – paragraph 3 a (new)
Amendment 405 #
Proposal for a directive
Article 1 – paragraph 1 – point 19 a (new)
Article 1 – paragraph 1 – point 19 a (new)
Directive 2015/849/EU
Article 54 – paragraph 1 a (new)
Article 54 – paragraph 1 a (new)
(19a) in Article 54, the following paragraph is added: 1a. Member States shall ensure that FIUs designate at least one official to be responsible for receiving requests for information or mutual legal assistance from homologous entities in other Member States and ensuring that those requests are treated in a timely manner.
Amendment 406 #
Proposal for a directive
Article 1 – paragraph 1 – point 20 a (new)
Article 1 – paragraph 1 – point 20 a (new)
Directive 2015/849/EU
Article 55 – paragraph 2 a (new)
Article 55 – paragraph 2 a (new)
Amendment 414 #
Proposal for a directive
Article 1 – paragraph 1 – point 21 a (new)
Article 1 – paragraph 1 – point 21 a (new)
Directive 2015/849/EU
Article 58 – paragraph 4 a (new)
Article 58 – paragraph 4 a (new)
(21a) In Article 58, the following paragraph is inserted: 4a. Member States shall ensure that competent authorities and self-regulatory bodies inform the Commission when national laws hamper their supervisory and investigatory powers that are necessary for the exercise of their functions.
Amendment 421 #
Proposal for a directive
Article 1 – paragraph 1 – point 21 b (new)
Article 1 – paragraph 1 – point 21 b (new)
Directive 2015/849/EU
Article 61 – paragraph 1
Article 61 – paragraph 1
(21b) in Article 61, paragraph 1 is replaced by the following: 1. Member States shall ensure that competent authorities and self-regulatory bodies establish effective and reliable mechanisms to encourage the reporting to competent authorities and self-regulatory bodies of potential or actual breaches of the national provisions transposing this Directive.
Amendment 422 #
Proposal for a directive
Article 1 – paragraph 1 – point 21 c (new)
Article 1 – paragraph 1 – point 21 c (new)
Directive 2015/849/EU
Article 61 – paragraph 3 a (new)
Article 61 – paragraph 3 a (new)
Amendment 438 #
Proposal for a directive
Article 2 – paragraph 1 – point 1 a (new)
Article 2 – paragraph 1 – point 1 a (new)
Directive 2009/101/EC
Article 7 – paragraph 1 – point b a (new)
Article 7 – paragraph 1 – point b a (new)
(1a) in Article 7, the following point is added: (ba) failure to disclose beneficial ownership information as required by Article 7b.
Amendment 439 #
Proposal for a directive
Article 2 – paragraph 1 – point 1 b (new)
Article 2 – paragraph 1 – point 1 b (new)
Directive 2009/101/EC
Article 7 – paragraph 1 a (new)
Article 7 – paragraph 1 a (new)
(1b) in Article 7, the following paragraph is added: Member States shall ensure that where obligations apply to legal persons, penalties can be applied to the members of the management body or to any other individuals who under national law are responsible for the breach.
Amendment 441 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 1 – subparagraph 2
Article 7 b – paragraph 1 – subparagraph 2
The information shall consist of at least the name, the month and yeardate of birth, the nationality and, the country of residence and contact details (without disclosure of a home address) of the beneficial owner as well as the nature and extent of the beneficial interest held.
Amendment 449 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 3
Article 7 b – paragraph 3
3. Member States shall ensure that the beneficial ownership information referred to in paragraph 1 of this Article shall also be made publicly available through the system of interconnection of registers referred to in Article 4a(2), in accordance with data protection rules and open data standards, and subject to online registration. Member States may introduce a fee to cover the administrative costs.
Amendment 453 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 4
Article 7 b – paragraph 4
4. In exceptional circumstances laid down in national law, where the access to the information set out in paragraph 1 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 the compulsory disclosure of to all or part of the information on the beneficial ownership on a case-by-case basis. Exemptions shall be reassessed at regular intervals to avoid abuse. When an exemption is granted, this has to be clearly indicated in the register and legal appeal against the exemption shall always be possible. Member States shall publish annual statistical data on the amount of exemptions granted and reasons stated and report the data to the Commission.
Amendment 455 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 4 a (new)
Article 7 b – paragraph 4 a (new)
4a. Any exemption must be duly justified in the register and reviewed on a regular basis in order to keep the information accurate.
Amendment 459 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 5 a (new)
Article 7 b – paragraph 5 a (new)
5a. Member States shall require the competent authorities and self-regulatory bodies to effectively monitor and to take the necessary measures with a view to ensuring compliance with the requirements of this Article. Member States shall ensure that the competent authorities have adequate powers, including the power to compel the production of any information that is relevant to monitoring compliance and perform checks, and have adequate financial, human and technical resources to perform their functions. Member States shall ensure that staff of those authorities and bodies maintain high professional standards, including standards of confidentiality and data protection, are of high integrity and appropriately skilled.