Activities of Jadwiga WIŚNIEWSKA related to 2021/0239(COD)
Shadow reports (1)
REPORT on the proposal for a regulation of the European Parliament and of the Council on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing
Amendments (9)
Amendment 128 #
Proposal for a regulation
Recital 2 a (new)
Recital 2 a (new)
(2a) whereas, in the current unstable situation of increased security threats, the EU legal framework for combating money laundering and terrorist financing should be strengthened and harmonised so as to close existing gaps and tighten up current regulations in order to hinder criminal activity in this area;
Amendment 136 #
Proposal for a regulation
Recital 9
Recital 9
(9) Independent legal professionals, as defined by the Member States, should be subject to this Regulation when participating in financial or corporate transactions, including when providing tax advice, where there is the risk of the services provided by those legal professionals being misused for the purpose of laundering the proceeds of criminal activity or for the purpose of terrorist financing. There should, however, be exemptions from any obligation to report information obtained before, during or after judicial proceedings, or in the course of ascertaining the legal position of a client, which should be covered by the legal privilege. Therefore, legal advice should remain subject to the obligation of professional secrecy, except where the legal professional is taking part in money laundering or terrorist financing, the legal advice is provided for the purposes of money laundering or terrorist financing, or where the legal professional knows that the client is seeking legal advice for the purposes of money laundering or terrorist financing.
Amendment 212 #
Proposal for a regulation
Recital 62
Recital 62
(62) Obliged entities may outsource tasks relating to the performance of customer due diligence to an agent or external service provider, unless they are established in third countries that are designated as high-risk, as having compliance weaknesses or as posing a threat to the Union’s financial system. In the case of agency or outsourcing relationships on a contractual basis between obliged entities and external service providers not covered by AML/CFT requirements, any AML/CFT obligations upon those agents or outsourcing service providers could arise only from the contract between the parties and not from this Regulation. Therefore, the responsibility for complying with AML/CFT requirements should remain entirely with the obliged entity itself. The obliged entity should in particular ensure that, where an outsourced service provider is involved for the purposes of remote customer identification, the risk-based approach is respected, as well as the utmost care in ensuring the customer's confidence in the obliged entity’s identity.
Amendment 215 #
Proposal for a regulation
Recital 63
Recital 63
(63) In order for third party reliance and outsourcing relationships to function efficiently, including the performance of customer due diligence, further clarity is needed around the conditions according to which reliance takes place. AMLA should have the task of developing guidelines on the conditions under which third-party reliance and outsourcing can take place, as well as the roles and responsibilities of the respective parties. To ensure that consistent oversight of reliance and outsourcing practices is ensured throughout the Union, the guidelines should also provide clarity on how supervisors should take into account such practices and verify compliance with AML/CFT requirements when obliged entities resort to those practices.
Amendment 255 #
Proposal for a regulation
Article 1 – paragraph 1 – point c
Article 1 – paragraph 1 – point c
(c) measures to limitstop the misuse of bearer instruments.
Amendment 266 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7 – introductory part
Article 2 – paragraph 1 – point 7 – introductory part
(7) ‘trust or company service provider’ means any person or arrangement which has a similar structure or function to an express trust that, by way of its business, provides any of the following services to third parties:
Amendment 268 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7 – point b
Article 2 – paragraph 1 – point 7 – point b
(b) acting as, or arranging for another person to act as, a director or secretary of a company, a partner of a partnership, a president of a management board or a similar position in relation to other legal persons;
Amendment 330 #
Proposal for a regulation
Article 3 – paragraph 1 – point 3 – point b – introductory part
Article 3 – paragraph 1 – point 3 – point b – introductory part
(b) notaries and other independent legal professionals, recognised as such in accordance with the practice of the Member States, where they participate, whether by acting on behalf of and for their client in any financial or real estate transaction, or by assisting in the planning or carrying out of transactions for their client concerning any of the following:
Amendment 399 #
Proposal for a regulation
Article 7 – paragraph 1 – subparagraph 1 a (new)
Article 7 – paragraph 1 – subparagraph 1 a (new)
Those internal policies, controls and procedures shall take into account the national risk assessments and the guidelines of FIUs and supervisors, including the results of controls by the competent authorities.