Page 36 - 期货和衍生品行业监管动态（2023年12月刊）

期货和衍生品行业监管动态

联合指引草案是根据《欧盟监管当局设立条例》（ESAs Founding Regulations）

第 31(a)条制定的，该条授权 ESAs 联合建立一项信息交换机制，以便主管当局根

据《欧盟监管当局设立条例》第 1(2)条提及的法律案，评估金融机构合格持股持

有人（holders of qualifying holdings）、董事和关键职能人员的适当性。

ESAs Launch Second Public Consultation on Joint Guidelines on the System for

the Exchange of Information Relevant to Fit and Proper Assessments (2023/12/7)

The three European Supervisory Authorities (EBA, EIOPA and ESMA – the

ESAs) today launched a second consultation related to the joint Guidelines on the

system for the exchange of information relevant to fit and proper assessments.

The consultation covers amendments extending the scope of the joint Guidelines

to legal persons, thus ensuring the complete coverage of data subjects. These Guidelines

aim to increase the efficiency of the information exchange between sectoral supervisors

by harmonising practices and covering both natural and legal persons. The consultation
runs until 15 January 2024.

Consultation process

ESAs invite comments only on the inclusion of legal persons in the scope of the

Guidelines and the information to be exchanged in relation to them. Other comments

will not be taken into account as they are in the scope of the first consultation that is

now closed.

Comments to this second consultation can be sent by clicking on the "send your

comments" button on the EBA's consultation page.

The deadline for submission of comments is 15 January 2024.

All contributions received will be published following the end of the consultation,

unless requested otherwise.

Legal basis and next steps

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