18 Amendments of Robert GOEBBELS related to 2012/0242(CNS)
Amendment 407 #
Proposal for a regulation
Article 1 – paragraph 1
Article 1 – paragraph 1
This Regulation confers on the ECB specific tasks concerning policies relating to the prudential supervision of credit institutions, with a view to promoting the safety and soundness of credit institutions and the stability of the financial system within the EU and each Member State, with due regard for the unity and integrity of the internal market.
Amendment 462 #
Proposal for a regulation
Article 4 – paragraph 1 – point a
Article 4 – paragraph 1 – point a
Amendment 471 #
Proposal for a regulation
Article 4 – paragraph 1 – point e
Article 4 – paragraph 1 – point e
Amendment 494 #
Proposal for a regulation
Article 4 – paragraph 1 – point k
Article 4 – paragraph 1 – point k
(k) To carry out supervisory tasks in relation to early intervention where a credit institution does not meet or is likely to breach the applicable prudential requirements, including recovery plans and intra group financial support arrangements, in coordination with the relevant resolution authorities;
Amendment 506 #
Proposal for a regulation
Article 4 – paragraph 1 – point l
Article 4 – paragraph 1 – point l
(l) To coordinate and express a commonto the extent possible the positions of representatives from competent authorities of the participating Member States when participating in the Board of Supervisors and the Management Board of the European Banking Authority, for issues relating to the tasks conferred on the ECB by this Regulation.
Amendment 702 #
Proposal for a regulation
Article 11 – paragraph 2
Article 11 – paragraph 2
2. The officials of and other persons authorised by the ECB to conduct an on- site inspection may enter any business premises and land of the legal persons subject to an investigation decision adopted by the ECB and shall have all the powers stipulated in Article 10 (1). They shall also have the power to seal any business premises and books or records for the period of, and to the extent necessary for, the inspection.
Amendment 705 #
Proposal for a regulation
Article 11 – paragraph 3
Article 11 – paragraph 3
3. The legal persons referred to in Article 9(1) (a) to (g) shall submit to on-site inspections ordered by decision of the ECB.
Amendment 708 #
Proposal for a regulation
Article 11 – paragraph 4
Article 11 – paragraph 4
4. Officials of, as well as those authorised or appointed by, the national competent authority of the Member State where the inspection is to be conducted shall, upon the request of the ECB, actively assist the officials of and other persons authorised by the ECB. To that end, they shall enjoy the powers set out in paragraph 2. Officials of the competent authority of the participating Member State concerned mayshall also attendparticipate in the on-site inspections upon request.
Amendment 713 #
Proposal for a regulation
Article 12 – paragraph 2
Article 12 – paragraph 2
2. Where authorisation as referred to in paragraph 1 is applied for, the national judicial authority shall control that the decision of the ECB is authentic and that the coercive measures envisaged are neither arbitrary nor excessive having regard to the subject matter of the inspection. In its control of the proportionality of the coercive measures, the national judicial authority may ask the ECB for detailed explanations, in particular relating to the grounds the ECB has for suspecting that an infringement of the relevant acts of Union law has taken place and the seriousness of the suspected infringement and the nature of the involvement of the person subject to the coercive measures. However, the national judicial authority shall not review the necessity for the inspection or demand to be provided with the information on the ECB's file. The lawfulness of the ECB's decision shall be subject to review only by the Court of Justice of the European Union.
Amendment 719 #
Proposal for a regulation
Article 13 – paragraph 1 – subparagraph 2
Article 13 – paragraph 1 – subparagraph 2
If the credit institution complies with all conditions of authorisation set out in national law of that Member State, the national competent authority shall take a draft decision to propose to the ECB to grant the authorisation. The draft decision shall be notified to the ECB and to the credit institution concernedwhich shall check within 2 months whether it agrees with the assessment of the national competent authority on those issues for which it is responsible under Article 4.
Amendment 723 #
Proposal for a regulation
Article 13 – paragraph 1 – subparagraph 3
Article 13 – paragraph 1 – subparagraph 3
Whenre the ECB receives the proposal from the national competent authority referred to in the second subparagraph, it shall grant the authorisation where the conditions set out in Union law are met. The decision shall be notified to the credit institution concernedagrees with the national competent authority's assessment, the national competent authority shall take its decision. Where the ECB disagrees with the national competent authority's assessment on one of those issues for which the ECB is responsible under Article 4, the national competent authority shall amend its decision accordingly. The decision shall be notified to the credit institution concerned. In case of disagreement between the national competent authority and the ECB on the assessment of one of those issues for which the ECB is responsible under Article 4, the EBA may, at the request of one of the concerned parties, act in accordance with its powers under Article 19 of Regulation (EU) No 1093/2010.
Amendment 726 #
Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 1
Article 13 – paragraph 2 – subparagraph 1
The ECBnational competent authority may withdraw the authorisation in the cases set out in Union acts on its own initiative or on a proposal from the national competent authority of the Member State where the credit institution is established.
Amendment 728 #
Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 2
Article 13 – paragraph 2 – subparagraph 2
Amendment 733 #
Proposal for a regulation
Article 14 – paragraph 2
Article 14 – paragraph 2
2. The provisions set out in Union acts in relation to the cooperation between competent authorities from different Member States for conducting supervision on a consolidated basis shall not apply to the extent that the ECB is the only competent authoritiesy involved are competent authorities of participating Member States. . Where the ECB does not exercise directly itself the tasks conferred upon it by Article 4 for a given banking group, or part of it, the provisions set out in Union acts in relation to the cooperation between competent authorities from different Member States for conducting supervision on a consolidated basis shall apply.
Amendment 736 #
Proposal for a regulation
Article 14 – paragraph 2 a (new)
Article 14 – paragraph 2 a (new)
2a. Where the ECB does not exercise directly itself the tasks conferred upon it by Article 4 for a given credit institution, such tasks may only be exercised by the competent authority responsible for the supervision of that credit institution on an individual basis as determined by Regulation (EU) No .../2012 of the European Parliament and of the Council of ... on prudential requirements for credit institutions and investment firms.
Amendment 740 #
Proposal for a regulation
Article 15 – paragraph 1
Article 15 – paragraph 1
1. For the purpose of carrying out the tasks conferred upon it by this Regulation, where credit institutions, financial holding companies, or mixed financial holding companies, intentionally or negligibly, breach a requirement under directly applicable Union acts in relation to which administrative pecuniary sanctions shall be available to competent authorities under directly applicable Union law, the ECB may impose administrative pecuniary sanctions in accordance with national administrative procedural law of up to twice the amount of the profits gained or losses avoided because of the breach where those can be determined, or up to 10% of the total annual turnover of a legal person in the preceding business year.
Amendment 748 #
Proposal for a regulation
Article 15 – paragraph 2
Article 15 – paragraph 2
Amendment 751 #
Proposal for a regulation
Article 15 – paragraph 5 – subparagraph 1
Article 15 – paragraph 5 – subparagraph 1
5. In the cases not covered by paragraph 1, where necessary for the purpose of carrying out the tasks conferred upon it by this Regulation, the ECB may require national competent authorities to takeopen proceedings with a view to taking action in order to ensure that appropriate sanctions are imposed. The sanctions applied by national competent authorities will be effective, proportionate and dissuasive.