Activities of Damian BOESELAGER related to 2021/0240(COD)
Shadow opinions (1)
OPINION on the proposal for a regulation of the European Parliament and of the Council establishing the Authority for Anti-Money Laundering and Countering the Financing of Terrorism and amending Regulations (EU) No 1093/2010, (EU) 1094/2010, (EU) 1095/2010
Amendments (39)
Amendment 57 #
Proposal for a regulation
Recital 29
Recital 29
(29) The Authority should have the opportunity to request a transfer of supervisory tasks andexercise itself all powers relating to a specific obliged entity on its own initiative in case of inaction or failure to follow its instructions within the provided deadline. Since the transfer of tasks and powers over an obliged entity without the specific request of the financial supervisor to the Authority would require a discretionary decision on the part of the Authority, the Authority should address a specific request to that end to the Commission. In order for the Commission to be able to take a decision coherent with the framework of the tasks allocated to the Authority within the AML/CFT framework, the requestThe Authority shall notify the Commission. The notification of the Authority should enclose an appropriate justification, and should indicate a precise duration of the reallocationexercise of tasks and powers towardshrough the Authority. The timeframe for the reallocation of powersexercise of powers through the authority should correspond to the time the Authority requires to deal with the risks at entity level, and should not exceed three years. The Commission should adopt a decision transferring powers and tasks for supervising the entity to the Authority swiftly, and in any case within a month.
Amendment 59 #
Proposal for a regulation
Recital 32
Recital 32
(32) In order to analyse suspicious activity affecting multiple jurisdictions, the relevant FIUs that received linked reports should be able to efficiently conduct joint analyses of cases of common interest. To this end, the Authority should be able to propose, coordinate and support with all appropriate means the joint analyses of cross-border suspicious transactions or activities. The joint analyses should be triggered where there is a need to conduct just such joint analyses pursuant to the relevant provisions in Union law. Upon the explicit consent of the FIUs participating in the joint analyses, tIt shall also be empowered to settle potential disagreements between the participating FIUs. The staff of the Authority supporcoordinating the conduct of joint analyses should be able to receive and process all necessary data and information, including the data and information pertaining to the analysed cases.
Amendment 65 #
Proposal for a regulation
Recital 40
Recital 40
(40) For the purposes of voting and taking decisions, each Member State should have one voting representative. Therefore, the heads of public authorities should appoint a permanent representative as the voting member of the General Board in supervisory composition. Alternatively, depending on the subject-matter of the decision or agenda of a given General board meeting, public authorities of a Member State may decide on an ad-hoc representative. In their appointments to the General Board, the public authorities of Member States shall ensure gender balance, in particular with regard to the composition of the Board as a body. The practical arrangements related to decision- making and voting by the General Board members in supervisory composition should be laid down in the Rules of Procedure of the General Board, to be developed by the Authority.
Amendment 68 #
Proposal for a regulation
Recital 41
Recital 41
(41) The Chair of the Authority should chair the General Board meetings and have a right to vote when decisions are taken by simple majority. The Commission should be a non-voting member on the General Board. A representative of the Civil Society Advisory Body should be entitled to participate as an observer. To establish good cooperation with other relevant institutions, the General Board should also be able to admit other non-voting observers, such as a representative of the Single Supervisory Mechanism and of each of the three European Supervisory Authorities (EBA, EIOPA and ESMA) for the General Board in its Supervisory Composition and Europol, the EPPO and Eurojust for the General Board in its FIU composition, where matters that fall under their respective mandates are discussed or decided upon. To allow a smooth decision making process, decisions of the General Board should be taken by a simple majority, except for decisions concerning draft regulatory and implementing technical standards, guidelines and recommendations which should be taken by a qualified majority of Member State representatives in accordance with voting rules of the TFEU.
Amendment 69 #
Proposal for a regulation
Recital 42
Recital 42
(42) The governing body of the Authority should be the Executive Board composed of the Chair and the Vice-Chair of the Authority and of five full time members, appointed by the General Board based on the gender-balanced shortlist by the Commission, after having received the approval of the European Parliament. With the aim of ensuring a speedy and efficient decision making process, the Executive Board should be in charge of planning and execution of all the tasks of the Authority except where specific decisions are explicitly allocated to the General Board. In order to ensure objectivity and appropriate rapidity of the decision-making process in the area of direct supervision of the selected obliged entities, the Executive Board should take all binding decisions addressed to selected obliged entities. In addition, together with a representative of the Commission the Executive Board should be collectively responsible for the administrative and budgetary decisions of the Authority. The consent of the Commission should be required when the Executive Board is taking decisions related to the budget administration, procurement, recruitment, and audit of the Authority, given that a portion of funding of the Authority will be provided from Union budget.
Amendment 71 #
Proposal for a regulation
Recital 43
Recital 43
(43) To allow for swift decisions, all decisions of the Executive Board, including the decision where the Commission has a right to vote, should be taken by simple majority, with the Chair holding a casting vote in case of a tied vote. To ensure sound financial management of the Authority, the Commission’s consent should be required for decisions related to budget, administration and recruitment. The voting members of the Executive Board other than the Chair or the Vice-Chair should be selected by the General Board, based on a short-list established by the Commission, after having received approval of the European Parliament. Should the Parliament consider that the selected candidates do not meet the relevant qualification criteria, the selection procedure should recommence.
Amendment 72 #
Proposal for a regulation
Recital 44
Recital 44
(44) To ensure the independent functioning of the Authority the five Members of the Executive Board and the Chair and the Vice-Chair of the Authority should act independently and in the interest of the Union as a whole. They should behave, both during and after their term of office, with integrity and discretion as regards the acceptance of certain appointments or benefits. To avoid giving any impression that a Member of the Executive Board might use its position as a Member of the Executive Board of the Authority to get a high-ranking appointment in the private sector after his term of office and to prevent any post- public employment conflicts of interests, a cooling-off period for the five Members of the Executive Board, including the Chair and the Vice-Chair of the Authority, should be introduced.
Amendment 74 #
(45) The Chair of the Authority should be appointed based on objective criteria by the Council after approval by the European Parliament. He or she should represent the Authority externally and should report on the execution of Authority’s tasks. The Chair and the Vice-Chair of the Authority should be appointed on the basis of a gender-balanced shortlist of candidates proposed by the Commission based on objective criteria by the Council after approval by the European Parliament. The shortlisted candidates should be heard by the competent committees prior to their approval by the Parliament. The Chair and, when he or she is prevented from attending to his duties, the Vice- Chair should represent the Authority externally and should report on the execution of Authority’s tasks.
Amendment 76 #
Proposal for a regulation
Recital 46
Recital 46
(46) The Executive Director of the Authority should be appointed by the Executive Board based on a gender- balanced shortlist from the Commission after approval by the European Parliament. The Executive Director of the Authority should be a senior administrative official of the Authority, in charge of the day-to-day management of the Authority, and responsible for budget administration, procurement, and recruitment and staffing.
Amendment 77 #
Proposal for a regulation
Recital 46 a (new)
Recital 46 a (new)
(46a) To ensure close involvement of the representatives of the civil society, given the nature and extent of the powers exercised by the Authority, it should set up a Civil Society Advisory Body, with the support of the Commission. Its composition should be determined by the General Board after consultation of the European Parliament. The appointment of the chair of the Advisory body shall be approved by the European Parliament. Such advisory body should be consulted regularly, and in any case whenever the Authority is required by the regulation to conduct public consultation with regard to the adoption of regulatory technical standards, implementing technical standards or when issuing guidelines and recommendations. Such consultation should be conducted unless justified on the grounds of urgency or proportionality. The Body's members should offer guarantees of acting in independent and objective manner and be provided with sufficient resources and expertise commensurate with its tasks.
Amendment 80 #
Proposal for a regulation
Recital 56
Recital 56
(56) Without prejudice to the confidentiality obligations that apply to the Authority’s staff and representatives in accordance with the relevant provisions in Union law, the Authority should be subject to Regulation (EC) No 1049/2001 of the European Parliament and of the Council and apply its principles in the light of the relevant jurisprudence of the Court of Justice.39 In line with the confidentiality and professional secrecy restrictions related to supervisory and FIU support and coordination tasks of the Authority, such access should not be extended to confidential information handled by the staff of the Authority. In particular, any operational data or information related to such operational data of the Authority and of the EU FIUs that is in the possession of the Authority due to carrying out the tasks and activities related to support and coordination of FIUs should be deemed as confidential. With regard to supervisory tasks, access to information or data of the Authority, the financial supervisors, or the obliged entities obtained in the process of carrying out the tasks and activities related to direct supervision should in principle also be treated as confidential and not subject to any disclosure. However, confidential information listed that relates to a supervisory procedure can be fully or partially disclosed to the obliged entities which are parties to such supervisory procedure, subject to the legitimate interest of legal and natural persons other than the relevant party, in the protection of their business secrets. In order to allow for the public and other institutions to scrutinize the handling of the implementation of the Regulation (EC) No 1049/2001, the Authority should issue an annual report on its implementation with regard to the access to documents held by it. _________________ 39 Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43).
Amendment 119 #
Proposal for a regulation
Article 30 – title
Article 30 – title
Amendment 120 #
Proposal for a regulation
Article 30 – paragraph 4
Article 30 – paragraph 4
4. Where the financial supervisor concerned does not comply with the request referred to in paragraph 2 andor does not inform the Authority of the steps it has taken or intends to take to comply with the request within ten days from the day of the notification of the request, the Authority may request the Commission to grant permission to transfer theexercise directly itself all relevant tasks and powers referred to in Article 5(2) and Article 6(1) related to direct supervision of the non-selected obliged entity from the financial supervisor concerned to the Authority.
Amendment 121 #
Proposal for a regulation
Article 30 – paragraph 5 – introductory part
Article 30 – paragraph 5 – introductory part
5. The request from the AuthorityAuthority shall notify the Commission. The notification shall contain:
Amendment 122 #
Proposal for a regulation
Article 30 – paragraph 5 – point c
Article 30 – paragraph 5 – point c
(c) a time limit, which shall not exceed three years, for the requested transfer of the relevant tasks and powers;
Amendment 123 #
Proposal for a regulation
Article 30 – paragraph 6
Article 30 – paragraph 6
Amendment 124 #
Proposal for a regulation
Article 30 – paragraph 7
Article 30 – paragraph 7
Amendment 131 #
Proposal for a regulation
Article 33 – paragraph 1
Article 33 – paragraph 1
1. Where, pursuant to Article 25 of [OP please insert the next number to the AMLD, COM(2021)423], a FIU of a Member State identifies a potential need to conduct a joint analysis with one or several FIUs in other Member States, it shall notify the Authority thereof. Within 10 working days, the Authority shall assess the merits of such joint-analysis, in light of the priorities identified in the supervisory plan and of the available resources. The Authority shall inform the FIUs in all the relevant Member States and invite them to take part in the joint analysis within five days of the initial notificationassessment. To this end, the Authority shall use secured channels of communication. The FIUs in all the relevant Member States shall consider taking part in the joint analysis. The Authority shall ensure that the joint analysis is launched within 20 days of the initial notificationassessment.
Amendment 133 #
Proposal for a regulation
Article 33 – paragraph 1 a (new)
Article 33 – paragraph 1 a (new)
1a. The Authority shall be responsible for the establishment and the composition of joint analysis team, for the coordination of the conduct of joint analysis and shall be empowered to settle potential disagreements between participating FIUs. Where the Authority identifies the need for a joint-analysis, it shall, on its own initiative, request FIUs to participate in the conduct of the joint analysis. Where appropriate, Europol should be invited to participate to the joint analyses.
Amendment 138 #
Proposal for a regulation
Article 33 – paragraph 3
Article 33 – paragraph 3
3. Upon explicit consent of the FIUs participating in the joint analysis, tThe staff of the Authority supportingparticipating in the joint analysis shall be granted access to all the data pertaining to the subject-matter of the joint analysis and shall be able to process those data.
Amendment 145 #
Proposal for a regulation
Article 43 – paragraph 3 – subparagraph 2
Article 43 – paragraph 3 – subparagraph 2
The Authority shall publish the fact that a supervisory authority does not comply or does not intend to comply with that guideline or recommendation. The Authority may also decide, on a case-by- case basis, to publish and the reasons provided by the supervisory authority for not complying with that guideline or recommendation. The supervisory authority shall receive advanced notice of such publication.
Amendment 147 #
Proposal for a regulation
Article 43 – paragraph 3 a (new)
Article 43 – paragraph 3 a (new)
3a. In the report on its activities referred to in Article 72(2), the Authority shall inform the European Parliament, the Council and the Commission of the guidelines and recommendations that it has issued, stating which national authority has not complied with them and outlining how the Authority intends to ensure that its recommendations and guidelines will be followed in the future.
Amendment 150 #
Proposal for a regulation
Article 45 – paragraph 1 – point 4 a (new)
Article 45 – paragraph 1 – point 4 a (new)
(4a) a Civil Society Advisory Body, which shall exercise the tasks set out in Article -60
Amendment 151 #
Proposal for a regulation
Article 46 – paragraph 2 – point c a (new)
Article 46 – paragraph 2 – point c a (new)
(ca) one representative of the Civil Society Advisory Body, without the right to vote;
Amendment 152 #
Proposal for a regulation
Article 46 – paragraph 2 – subparagraph 1
Article 46 – paragraph 2 – subparagraph 1
The heads of the supervisory authorities referred to in the first subparagraph, point (b) in each Member State shall share a single vote and shall agree on a single common representative for each meeting and voting procedure. That common representative shall be the ad-hoc voting member for the purposes of that meeting or voting procedure. The public authorities in a Member State may also agree on a single permanent common representative who shall be a permanent voting member. Where items to be discussed by the General Board in supervisory composition concern the competence of several public authorities, the ad-hoc or permanent voting member may be accompanied by a representative from up to two other public authorities, who shall be non-voting. In their appointments to the General Board, the public authorities of Member States shall ensure gender balance, in particular with regard to the composition of the Board as a body.
Amendment 162 #
Proposal for a regulation
Article 52 – paragraph 7 – introductory part
Article 52 – paragraph 7 – introductory part
7. During a period of onetwo years after ceasing to hold office, the former members of the Executive Board, including the Chair and the Vice-Chair of the Authority, are prohibited from engaging in a gainful occupational activity with
Amendment 164 #
Proposal for a regulation
Article 53 – paragraph 5
Article 53 – paragraph 5
Amendment 165 #
Proposal for a regulation
Article 56 – title
Article 56 – title
Appointment of the Chair and of the Vice- Chair of the Authority
Amendment 166 #
Proposal for a regulation
Article 56 – paragraph 1
Article 56 – paragraph 1
1. The Chair and the Vice-Chair of the Authority shall be selected on the basis of merit, skills, knowledge, recognised standing and experience in the area of anti- money laundering and countering the financing of terrorism and other relevant qualification, following an open selection procedure, which shall respect the principle of gender balance and shall be published in the Official Journal of the European Union. The Commission shall draw up a gender-balanced shortlist of twofour qualified candidates for the position of the Chair and Vice-Chair of the Authority. The Council, after approval by the European Parliament, shall adopt an implementing decision to appoint the Chair of the AuthorityBefore the approval, the candidate(s) shall be heard by the competent committee(s) of the European Parliament. After conducting hearings, the European Parliament shall select one of those candidates for each position. The Council, after approval by the European Parliament, shall adopt an implementing decision to appoint the Chair and the Vice- Chair of the Authority. Where the European Parliament is of the opinion that none of the shortlisted candidates sufficiently fulfils the qualifications set out in the first subparagraph, the open selection procedure will recommence.
Amendment 168 #
Proposal for a regulation
Article 56 – paragraph 1 a (new)
Article 56 – paragraph 1 a (new)
1a. The Vice-Chair shall automatically replace the Chair, if the latter is prevented from attending to his/her duties.
Amendment 169 #
Proposal for a regulation
Article 56 – paragraph 2
Article 56 – paragraph 2
2. If the Chair or the Vice-Chair of the Authority no longer fulfils the conditions required for the performance of his or her duties or has been guilty of serious misconduct, the Council may, following a proposal by the General Board in either composition, and after approval of the European Parliament, adopt an implementing decision to remove the Chair or the Vice-Chair of the Authority from office. The Chair and Vice-Chair shall be accountable to Parliament and Council. Parliament and Council may also decide to deprive the Chair or the Vice-Chair of his or her right to a pension or other benefits in case he or she is found guilty of serious misconduct. The Council shall act by qualified majority.
Amendment 174 #
Proposal for a regulation
Article 58 – paragraph 4
Article 58 – paragraph 4
4. The Executive Director shall be selected on the grounds of merit and documented high-level administrative, budgetary and management skills, following an open selection procedure, which shall respect the principle of gender balance and which shall be published in the Official Journal of the European Union, and, as appropriate, other press or internet sites. The Commission shall draw up a gender-balanced shortlist of two qualified candidates for the position of the Executive Director. TAfter the approval by the European Parliament, the Executive Board shall appoint the Executive Director. Where the European Parliament is of the opinion that none of the shortlisted candidates sufficiently fulfils the qualifications set out in the first subparagraph, the open selection procedure will recommence.
Amendment 175 #
Proposal for a regulation
Article 58 – paragraph 5 – subparagraph 1
Article 58 – paragraph 5 – subparagraph 1
The Executive Director may be removed from office by the Executive Board on proposal by the European Parliament or by the Commission.
Amendment 177 #
Proposal for a regulation
Article 59 a (new)
Article 59 a (new)
Article 59a Civil Society Advisory Body 1. The Authority shall establish a Civil Society Advisory Body for the purpose of advising it when exercising its powers listed in Article 38, 42 and 43. 2. The General Board shall determine the composition of the Civil Society Advisory Body upon the recommendation of the Commission and after consultation of the European Parliament. The appointment of the chair of the Advisory body shall be approved by the European Parliament. The internal working methods of the Advisory Body shall be established by the body itself. 3. The Civil Society Advisory Body shall be consulted regularly, and in any case whenever the Authority or the Commission is required to conduct public consultations in particular with regard to the adoption of regulatory technical standards under Article 38(1) and (3), implementing technical standards under Article 42(1) and (3) and guidelines and recommendations under Article 43(2), unless such consultation is disproportionate in relation to the particular urgency of the matter. If such consultation is not conducted, the Authority or the Commission respectively shall clearly justify such decision. 4. When carrying out the tasks conferred upon them by this Regulation, the members of the Civil Society Advisory Body shall act independently and objectively in the sole interest of the Union as a whole and shall neither seek nor take instructions from Union institutions, bodies, offices nor agencies from any government or any other public or private body. 5. The Civil Society Advisory body shall be provided with sufficient resources and expertise to assess the exercise of the powers of the Authority under this Regulation. 6. The General Board shall lay down the practical arrangements for the prevention and the management of conflict of interest of the members of the Civil Society Advisory Body.
Amendment 179 #
Proposal for a regulation
Article 72 – paragraph 2
Article 72 – paragraph 2
2. The Authority shall submit on an annual basis to the European Parliament, to the Council, and to the Commission a report on the execution of the tasks conferred on it by this Regulation, including information on the planned evolution of the structure and amount of the supervisory fees referred to in Article 66. as well on guidelines and recommendations it has issued following the procedure foreseen in Article 43.The Chair of the Authority shall present that report in public to the European Parliament.
Amendment 180 #
Proposal for a regulation
Article 72 – paragraph 4
Article 72 – paragraph 4
4. The Authority shall reply orally or in writing to questions put to it by the European Parliament as soon as possible and in any case at the latest within five weeks of their notification to the Authority.
Amendment 182 #
Proposal for a regulation
Article 77 – title
Article 77 – title
Cooperation with European Supervisory Authorities and the European Data Protection BoardSupervisor
Amendment 184 #
Proposal for a regulation
Article 77 – paragraph 2
Article 77 – paragraph 2
2. When drafting guidelines and recommendations in accordance with Article 43, having a significant impact on the protection of personal data, the Authority shall closely cooperate with the European Data Protection BoardSupervisor established by Regulation (EU) 2016/6798/1725 to avoid duplication, inconsistencies and legal uncertainty in the sphere of data protection.
Amendment 194 #
Proposal for a regulation
Article 82 – paragraph 5
Article 82 – paragraph 5
5. The Executive Board shall adopt practical measures for applying Regulation (EC) No 1049/2001 and the rules regarding disclosure of information relating to supervisory procedures. The Authority shall publish an annual report on the implementation of the Regulation for the preceding year.