Page 224 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

The ESAs Publish the Joint Report on the Withdrawal of Authorisation for
Serious Breaches of AML/CFT Rules (2022/6/1)

The European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs)

published a joint Report, which provides a comprehensive analysis on the

completeness, adequacy and uniformity of the applicable laws and practices on

the withdrawal of license for serious breaches of the rules on anti-money

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.

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