26 Amendments of Cătălin Sorin IVAN related to 2016/0208(COD)
Amendment 85 #
Proposal for a directive
Recital 17
Recital 17
(17) Accurate identification and verification of data of natural and legal persons is essential for fighting money laundering or terrorist financing. Latest technical developments in the digitalisation of transactions and payments enable a secure remote or electronic identification. T, those means of identification as set out in Regulation (EU) No 910/2014 of the European Parliament and of the Council27 and any other remote identification means based on new technologies presenting an adequate level of security equivalent to the substantial assurance level of e-IDAS, should be taken into account, in particular with regard to notified electronic identification schemes and means that offer high level secure tools and provide a benchmark against which assessing the identification methods set up at national level may be checked. Therefore, it is essential to recognise secure electronic copies of original documents as well as electronic assertions, attestations or credentials as valid means of identity. __________________ 27 Regulation (EU) No 910/2014 of the European Parliament and the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC (OJ L 257, 28.8.2014, p. 73).
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 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 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 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 252 #
Proposal for a directive
Article 1 – paragraph 1 – point 8
Article 1 – paragraph 1 – point 8
Directive 2015/849/EU
Article 27 – paragraph 2
Article 27 – paragraph 2
2. Member States shall ensure that obliged entities to which the customer is referred take adequate steps to ensure that the third party provides, immediately, upon request, relevant copies of identification and verification data, including, where available, data obtained through electronic identification means as set out in Regulation (EU) No 910/2014, and other relevant documentation on the identity of the customer or the beneficial owner, including, where available, data obtained through electronic identification means or evidence of electronic identification means, at the substantial level, as set out in Regulation (EU) No 910/2014 and any other electronic identification means based on new technologies presenting an adequate level of security equivalent to the substantial assurance level of e-IDAS; and other relevant documentation on the identity of the customer or the beneficial owner.;
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 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 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.