8 Amendments of Herbert DORFMANN related to 2011/0203(COD)
Amendment 45 #
Proposal for a directive
Recital 12 a (new)
Recital 12 a (new)
(12a) According to the proportionality principle, and taking into account the nature, scale, and complexity of the activities carried out, competent national authorities may authorize small institutions featuring a balance sheet total below EUR 500 000 000 not to establish a separate risk committee and a nomination committee.
Amendment 165 #
Proposal for a directive
Article 68
Article 68
Member States shall ensure that the competent authorities publish any sanction or measure imposed for breach of the provisions of Regulation [inserted by OP] or of the national provisions adopted in the implementation of this Directive without undue delay including information on the type and nature of the breach and the identity of persons responsible for it, unless such publication would seriously jeopardise the stability of financial markets. Where publication would cause a disproportionate damage to the parties involved, including in the regional or local operating area of the institution concerned, competent authorities shall publish the sanctions on an anonymous basis.
Amendment 180 #
Proposal for a directive
Article 73 – paragraph 3 – subparagraph 1
Article 73 – paragraph 3 – subparagraph 1
EBA, in cooperation with the national credit authorities, shall develop draft regulatory technical standards to specify the arrangements, processes and mechanisms referred to in paragraph 1, in accordance with the principles of proportionality, subsidiarity and comprehensiveness set out in paragraph 2.
Amendment 193 #
Proposal for a directive
Article 75 – paragraph 3 – subparagraph 1
Article 75 – paragraph 3 – subparagraph 1
3. Competent authorities of the Member States shall ensure that institutions that are significant in terms of size, internal organisation and nature, scope and complexity of their activities establish a risk committee composed of members of the management body who do not perform any executive function in the institution concerned. Members of the risk committee shall have appropriate knowledge, skills and expertise to fully understand and monitor the risk strategy and the risk appetite of the institution.
Amendment 220 #
Proposal for a directive
Article 75 – paragraph 5 – subparagraph 5 a (new)
Article 75 – paragraph 5 – subparagraph 5 a (new)
Competent authorities may authorise an institution not to establish a separate risk management function, taking account of the nature, scale and complexity of the credit institution's activities.
Amendment 252 #
Proposal for a directive
Article 86 – paragraph 2 – subparagraph 1
Article 86 – paragraph 2 – subparagraph 1
2. Competent authorities of Member States shall ensure that institutions, which are significant in terms of their size, internal organisation and the nature, scope and complexity of their activities establish a nomination committee composed of members of the management body who do not perform any executive function in the institution concerned.
Amendment 287 #
Proposal for a directive
Article 87 – paragraph 1 – point a – point ii
Article 87 – paragraph 1 – point a – point ii
(ii) fourive non-executive directorships.
Amendment 293 #
Proposal for a directive
Article 87 – paragraph 1 – point a – subparagraph 2
Article 87 – paragraph 1 – point a – subparagraph 2
Executive or non-executive directorships held (i) within the same group shall count as one single directorship. or (ii) within institutions which are members of the same institutional protection scheme if the conditions of Article 108(7) of Regulation (EU) No .../2012 of the European Parliament and of the Council of ... [on prudential requirements for credit institutions and investment firms]are fulfilled; (iia)(new) have established links according to Art. 108(6) of Regulation (EU) No .../2012 of the European Parliament and of the Council of ... [on prudential requirements for credit institutions and investment firms] or (iii) within undertakings (including non-financial institutions) where the institutions owns a qualifying holding shall count as one single directorship. For point a(iii) this includes: (i) undertakings and non financial entities a) in which there is a qualified holding according to Article 4(21) of Regulation (EU) No .../2012 of the European Parliament and of the Council of ... [on prudential requirements for credit institutions and investment firms], b) in which there are participations according to Article 4(49) of Regulation (EU) No .../2012 of the European Parliament and of the Council of ... [on prudential requirements for credit institutions and investment firms] or c) which have close ties as according to Article 4(72) of Regulation (EU) No .../2012 of the European Parliament and of the Council of ... [on prudential requirements for credit institutions and investment firms] to certain non-financial institutions. (ii) parent financial holding company according to Article 4(65)(66) and (67) of Regulation(EU) No .../2012 of the European Parliament and of the Council of ... [on prudential requirements for credit institutions and investment firms] controlling a central or regional credit institution adhering to an IPS scheme.