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期货和衍生品行业监管动态

laundering and countering the financing of terrorism (AML/CFT).

The joint Report advocates for the introduction in all relevant EU sectoral laws

of a specific legal ground to revoke licences for serious breaches of AML/CFT rules.

The joint Report also calls for the inclusion of assessments by competent authorities

of the adequacy of the arrangements and processes to ensure AML/CFT compliance

as one condition for granting authorisation or registration. For this purpose,

cooperation and information exchange between prudential supervisors and AML/CFT

supervisors should be ensured.

The joint Report highlights the importance of the appropriate integration of

AML/CFT issues into prudential regulation and supervision, including in the proposal

for the Markets in Crypto-Assets Regulation (MiCA), currently under negotiation.

Furthermore, the joint Report clarifies the nature of the decision to revoke

licenses as a last resort measure, subject to a discretionary and proportionality
assessment. It also lays down uniform criteria for the notion of serious breach of

AML/CFT rules, highlighting that the identification of a serious breach is subject to a

case-by-case assessment by the AML/CFT supervisor.

Finally, the joint Report provides a preliminary analysis of the interaction

between serious breaches of AML/CFT rules and the crisis management and

resolution frameworks as well as a first mapping of operational and legislative

criticalities.

Next steps

The ESAs stand ready to provide additional specific advice to the EU institutions,

as appropriate.

https://www.esma.europa.eu/press-news/esma-news/esas-publish-joint-report-withdra
wal-authorisation-serious-breaches-amlcft

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