62 Amendments of Marisa MATIAS related to 2016/0208(COD)
Amendment 125 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 (new)
Article 1 – paragraph 1 – point -1 (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point a
Article 2 – paragraph 1 – point 3 – point a
(-1) in point (3) of Article 2(1), point (a) is replaced by the following: (a) auditors, and external accountants and tax advisors; ; Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 127 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 a (new)
Article 1 – paragraph 1 – point -1 a (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point b – point iii a (new)
Article 2 – paragraph 1 – point 3 – point b – point iii a (new)
Amendment 131 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 b (new)
Article 1 – paragraph 1 – point -1 b (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point c a (new)
Article 2 – paragraph 1 – point 3 – point c a (new)
Amendment 133 #
Proposal for a directive
Article 1 – paragraph 1 – point -1 c (new)
Article 1 – paragraph 1 – point -1 c (new)
Directive 2015/849/EU
Article 2 – paragraph 1 – point 3 – point d
Article 2 – paragraph 1 – point 3 – point d
(d) estate agents; -1c) in point (3) of Article 2(1), point (d) is replaced by the following: (d) estate agents and persons providing customers, through sale or rental, with the possibility to use freeports or similar arrangements; Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 140 #
Proposal for a directive
Article 1 – paragraph 1 – point 1 a (new)
Article 1 – paragraph 1 – point 1 a (new)
Directive 2015/849/EU
Article 2 – paragraph 4
Article 2 – paragraph 4
(1a) in Article 2, paragraph 4 is replaced by the following: "4. For the purposes of point (a) of paragraph 3, Member States shall require that the total turnover of the financial activity does not exceed a threshold, which must be sufficiently low. That threshold shall be established at national level, depending on the type of financial activity." The threshold shall be reported to the European Commission and assessed in the risk analyses performed by the Commission and each Member States in accordance with Articles 6 and 7 of this Directive." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 142 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point -a (new)
Article 1 – paragraph 1 – point 2 – point -a (new)
Directive 2015/849/EU
Article 3 – point 4 – point f
Article 3 – point 4 – point f
Amendment 145 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point -a a (new)
Article 1 – paragraph 1 – point 2 – point -a a (new)
Directive 2015/849/EU
Article 3 – point 4 – point f a (new)
Article 3 – point 4 – point f a (new)
Amendment 146 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point -a b (new)
Article 1 – paragraph 1 – point 2 – point -a b (new)
Directive 2015/849/EU
Article 3 – point 6 – point a – point i
Article 3 – point 6 – point a – point i
Amendment 162 #
Proposal for a directive
Article 1 – paragraph 1 – point a b (new)
Article 1 – paragraph 1 – point a b (new)
Directive 2015/849/EU
Article 3 – point 6 – point b
Article 3 – point 6 – point b
(ab) in point (6), point (b) is replaced by the following "(b) in the case of trusts: (i) the settlor(s); (ii) the trustee(s); (iii) the protector(s), if any; (iv) the beneficiaries; or where the individuals benefiting from the legal arrangement or entity have yet to be determined, the class of persons in whose main interest the legal arrangement or entity is set up or operates; (v) any other natural person exercising ultimate control over the trust by means of direct or indirect ownership or by other means" . If any of the above categories (i) - (v) involves, instead of or in addition to natural persons, one or several legal entities, the beneficial owners of that entity, as defined in the paragraph above, shall in turn be considered as part of the beneficial owners of the trust." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 165 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a c (new)
Article 1 – paragraph 1 – point 2 – point a c (new)
Directive 2015/849/EU
Article 3 – point 9 – point f
Article 3 – point 9 – point f
(ac) in point (9), point (f) is replaced by the following: "(f) ambassadors, chargés d'affaires and high-ranking officers in the armed forces;" , intelligence and other security services;" Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 168 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 – point a d (new)
Article 1 – paragraph 1 – point 2 – point a d (new)
Directive 2015/849/EU
Article 3 – point 9 – subparagraph 2
Article 3 – point 9 – subparagraph 2
(ad) in point (9), subparagraph 2 is replaced by the following: "No public function referred to in points (a) to (h) shall be understood as covering middle-ranking or more junior officials."" All categories in points (a) to (h) shall however be understood as also covering former holders of the listed public functions." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 174 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 a (new)
Article 1 – paragraph 1 – point 2 a (new)
Directive 2015/849/EU
Article 6 – paragraph 1 – subparagraph 1
Article 6 – paragraph 1 – subparagraph 1
(2a) in Article 6(1), subparagraph 1is replaced by the following: The Commission shall conduct an assessment of the risks of money laundering and terrorist financing affecting the internal market and related to cross- border activities. , including between Member States and third countries. Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 175 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 b (new)
Article 1 – paragraph 1 – point 2 b (new)
Directive 2015/849/EU
Article 6 – paragraph 2 – point b
Article 6 – paragraph 2 – point b
(b) the risks associated with each relevant sector; 2b) in Article 6(2), point b is replaced by the following: (b) the risks associated with each relevant sector, including estimates of the monetary volumes of money-laundering for each of those sectors; Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 176 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 c (new)
Article 1 – paragraph 1 – point 2 c (new)
Directive 2015/849/EU
Article 6 – paragraph 2 – point c
Article 6 – paragraph 2 – point c
(2c) in Article 6(2), point (c) is replaced by the following: (c) the most widespread means used by criminals to launder illicit proceeds. , including those particularly used in transactions between Member States and third countries, independently of the latter's classification as regards the list drawn up on the basis of Article 9 (2). Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 177 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 d (new)
Article 1 – paragraph 1 – point 2 d (new)
Directive 2015/849/EU
Article 6 – paragraph 3
Article 6 – paragraph 3
(2d) in Article 6, paragraph (3) is replaced by the following: 3. The Commission shall make the report referred to in paragraph 1 available to the Member States and obliged entities in order to assist them to identify, understand, manage and mitigate the risk of money laundering and terrorist financing, and to allow other stakeholders, including national legislators, the European Parliament, the ESAs, and representatives from FIUs to better understand the risks. Reports shall be made public six months after having been made available to Member States. Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 178 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 e (new)
Article 1 – paragraph 1 – point 2 e (new)
Directive 2015/849/EU
Article 6 – paragraph 4
Article 6 – paragraph 4
(2e) in Article 6, paragraph (4) is replaced by the following: 4. The Commission shall make the recommendations to Member States on the measures suitable for addressing the identified risks. In the event that Member States decide not to apply any of the particular recommendations in their national AML/CFT regimes, they shall notify the Commission thereof and provide a justification of such a decision. Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 180 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 f (new)
Article 1 – paragraph 1 – point 2 f (new)
Directive 2015/849/EU
Article 7 – paragraph 4 – point e a (new)
Article 7 – paragraph 4 – point e a (new)
Amendment 182 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 g (new)
Article 1 – paragraph 1 – point 2 g (new)
Directive 2015/849/EU
Article 7 – paragraph 5
Article 7 – paragraph 5
(2g) in Article 7, paragraph 5 is replaced by the following: 5. Member States shall make the results of their risk assessments available to the Commission, the ESAs and the other Member States." , and shall publish them after a period of six months." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 187 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 h (new)
Article 1 – paragraph 1 – point 2 h (new)
Directive 2015/849/EU
Article 9 – paragraph 1
Article 9 – paragraph 1
(2h) in Article 9, paragraph (1) is replaced by the following: 1. Third-country jurisdictions which have strategic deficiencies in their national AML/CFT regimes that pose significant threats to the financial system of the Unionr to public budgets of member states or the Union or have other laws or provisions in place with a similar effect ("high-risk third countries"), shall be identified in order to protect the proper functioning of the internal market. Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 188 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 i (new)
Article 1 – paragraph 1 – point 2 i (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – introductory part
Article 9 – paragraph 2 – introductory part
(2i) in Article 9(2), the introductory part is replaced by the following: 2. The Commission shall be empowered to adopt delegated acts in accordance with Article 64 in order to identify high-risk third countries, taking into account strategic deficiencies, in particular in relation to: deficiencies both in law and actual administrative and commercial practice, in particular in relation to: Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 189 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 j (new)
Article 1 – paragraph 1 – point 2 j (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point a – point i a (new)
Article 9 – paragraph 2 – point a – point i a (new)
Amendment 193 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 k (new)
Article 1 – paragraph 1 – point 2 k (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point b
Article 9 – paragraph 2 – point b
(2k) in Article 9(2), point b is replaced by the following: (b) the powers and procedures of the third country's competent authorities for the purposes of combating money laundering and terrorist financing; , including appropriately dissuasive and effective penalties and sanctions, as well as its practices in cooperation with competent authorities in member states or the Union; Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 195 #
Proposal for a directive
Article 1 – paragraph 1 – point 2 l (new)
Article 1 – paragraph 1 – point 2 l (new)
Directive 2015/849/EU
Article 9 – paragraph 2 – point b a (new)
Article 9 – paragraph 2 – point b a (new)
Amendment 222 #
Proposal for a directive
Article 1 – paragraph 1 – point 5 a (new)
Article 1 – paragraph 1 – point 5 a (new)
Directive 2015/849/EU
Article 15
Article 15
Amendment 223 #
Proposal for a directive
Article 1 – paragraph 1 – point 5 b (new)
Article 1 – paragraph 1 – point 5 b (new)
Directive 2015/849/EU
Article 16
Article 16
Amendment 225 #
Proposal for a directive
Article 1 – paragraph 1 – point 6 a (new)
Article 1 – paragraph 1 – point 6 a (new)
Directive 2015/849/EU
Article 18 – paragraph 2
Article 18 – paragraph 2
(6a) in Article 18, paragraph 2 is replaced by the following: "2. Member States shall require obliged entities to examine, as far as reasonably possible, the background and purpose of all complex, unusually large transactions, and alltransactions that fulfil one of the following conditions: (i) they are complex transactions; (ii) they are unusually large transactions; (iii) the are conducted in an unusual patterns of transactions, which have no apparent economic or; (iv) they do not seem to have an entirely lawful purpose. In particular, obliged entities shall increase the degree and nature of monitoring of the business relationship, in order to determine whether those transactions or activities appear suspicious." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 234 #
Proposal for a directive
Article 1 – paragraph 1 – point 7
Article 1 – paragraph 1 – point 7
Directive 2015/849/EU
Article 18 a – paragraph 1 – subparagraph 2 (new)
Article 18 a – paragraph 1 – subparagraph 2 (new)
In addition to these enhanced CDD measures, obliged entities shall, for all their customers, report to the responsible FIU and competent authorities, including tax authorities, any transactions originating from or destined to high risk third countries.
Amendment 247 #
Proposal for a directive
Article 1 – paragraph 1 – point 7 a (new)
Article 1 – paragraph 1 – point 7 a (new)
Directive 2015/849/EU
Article 20 – point b – point ii
Article 20 – point b – point ii
(7a) in article 20(b), point (ii) is replaced by the following: "(ii) take adequate measures to establish the source of wealth and source of funds that are involved in the business relationship or transaction with such persons;" persons and spontaneously provide this information to the competent authorities of the person's countries of origin and residence. If there are grounds to believe that the person in question is or was involved in the illicit transfer of funds or the obliged entity is not capable of identifying the source of wealth or source of funds relating to the person, it shall automatically repeat the provision of information to the competent authorities of the person's countries of origin and residence in regular intervals of not more than five years;" Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 250 #
Proposal for a directive
Article 1 – paragraph 1 – point 7 b (new)
Article 1 – paragraph 1 – point 7 b (new)
Directive 2015/849/EU
Article 22
Article 22
(7b) Article 22 is replaced by the following: "Where a politically exposed person is no longer entrusted with a prominent function by a Member State or a third country or with a prominent function by an international organisation, obliged entities shall for at least 1236 months, be required to take into account the continuing risk posed by that person and to apply appropriate and risk-sensitive measures until such time as that person is deemed to pose no further risk specific to politically exposed persons." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 271 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point a a (new)
Article 1 – paragraph 1 – point 9 – point a a (new)
Directive 2015/849/EU
Article 30 – paragraph 5 – subparagraph 3
Article 30 – paragraph 5 – subparagraph 3
Amendment 278 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point b a (new)
Article 1 – paragraph 1 – point 9 – point b a (new)
Directive 2015/849/EU
Article 30 – paragraph 8
Article 30 – paragraph 8
(ba) paragraph 8 is replaced by the following: "8. Member States shall require that obliged entities do not rely exclusively on the central register referred to in paragraph 3 to fulfil their customer due diligence requirements in accordance with Chapter II. Those requirements shall be fulfilled by using a risk-based approach." When carrying out customer due diligence requirements, obliged entities shall however be required to report any discrepancy between central registers and information obtained directly through clients or other sources to competent authorities with a view to ensuring that central registers contain the most accurate, up-to-date and complete information possible." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 283 #
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point c
Article 1 – paragraph 1 – point 9 – point c
Directive 2015/849/EU
Article 30 – paragraph 9 – subparagraph 1
Article 30 – paragraph 9 – subparagraph 1
In exceptional circumstances to beand other specific terms laid down in national law, where the access referred to in point (b) of paragraph 5 would expose the beneficial owner to the risk of fraud, kidnapping, blackmail, violence or intimidation, or where the beneficial owner is a minor or otherwise incapable, Member States may provide for an exemption from such access to all or part of the information on the beneficial ownership on a case-by-case basis. Member States shall ensure that these exemptions are granted upon a detailed evaluation of the exceptional nature of the circumstances. Exemptions shall be reassessed at regular intervals to avoid abuse. When an exemption is granted, this has to be clearly indicated in the register. It shall further be possible to challenge exemptions before the national authority that granted the exemption.
Amendment 299 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point a
Article 1 – paragraph 1 – point 10 – point a
Directive 2015/849/EU
Article 31 – paragraph 1 – subparagraph 2
Article 31 – paragraph 1 – subparagraph 2
Each Member State shall require that trustees of any express trusttrust created, administered or operated in that Member State under the law of a Member State or of a third country obtain and hold adequate, accurate and up-to-date information on beneficial ownership regarding the trust. That information shall include the identity of: (a) the settlor(s); (b) the trustee(s); (c) the protector(s) (if any); (d) the beneficiaries or class of beneficiaries;, (e) any other natural person exercising effective control over the trust or being mentioned in the trust deed or related documents.
Amendment 302 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point a a (new)
Article 1 – paragraph 1 – point 10 – point a a (new)
Directive 2015/849/EU
Article 31 – paragraph 2
Article 31 – paragraph 2
Amendment 305 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point a b (new)
Article 1 – paragraph 1 – point 10 – point a b (new)
Directive 2015/849/EU
Article 31 – paragraph 3
Article 31 – paragraph 3
Amendment 306 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point b
Article 1 – paragraph 1 – point 10 – point b
Directive 2015/849/EU
Article 31 – paragraph 3 a
Article 31 – paragraph 3 a
Amendment 315 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point d
Article 1 – paragraph 1 – point 10 – point d
Directive 2015/849/EU
Article 31 – paragraph 4 a – subparagraph 1
Article 31 – paragraph 4 a – subparagraph 1
The following parts of the information held in the register referred to in paragraph 31a of this Article with respect to any other trusts than those referred to in Article 7b (b) of Directive (EC) 2009/101 shall be accessible to any person or shall be publicly accessible: the name, the date of birth, the nationality, the country of residence and the nature and extent of the beneficial interest of the beneficial owner(s) as defined in Article 3(6)(b). For the purpose of this paragraph, access to the information on beneficial ownership shall be in accorgdanisation that can demonstrate a legitimate interestce with data protection rules and made possible in machine-readable and open format as defined in Directive 2013/37/EU.
Amendment 328 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point d a (new)
Article 1 – paragraph 1 – point 10 – point d a (new)
Directive 2015/849/EU
Article 31 – paragraph 5
Article 31 – paragraph 5
(da) paragraph 5 is replaced by the following: "5. Member States shall require that the information held in the central register referred to in paragraph 41a is adequate, accurate and up-to-date." To the extent that there is doubt as to whether the information held in the central register is adequate, accurate and up-to-date and the person(s) identified are the actual beneficial owner(s) and the trust or trustee do not cooperate to clarify the information, or where the trust or trustee do not provide identity information of all natural persons meeting the criteria under paragraph 1 above, trusts should not be allowed to register in the central register." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 331 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point d a (new)
Article 1 – paragraph 1 – point 10 – point d a (new)
Directive 2015/849/EU
Article 31 – paragraph 5 a (new)
Article 31 – paragraph 5 a (new)
(da) the following paragraph 5a is inserted: "5a. Trusts that are not registered in the central register should not be allowed to operate (i.e. hold bank accounts, engage in business transactions, hold or purchase assets, be enforceable under domestic laws and courts, etc.) within the territory of the Union. Existing registered trusts that do not update information, should be "inactivated": while their available information will be kept, they will be unable to operate within the territory of the Union as if they were unregistered trusts."
Amendment 332 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point d c (new)
Article 1 – paragraph 1 – point 10 – point d c (new)
Directive 2015/849/EU
Article 31 – paragraph 6
Article 31 – paragraph 6
(dc) paragraph 6 is replaced by the following: "6. Member States shall ensure that obliged entities do not rely exclusively on the central register referred to in paragraph 4 to fulfil their customer due diligence requirements as laid down in Chapter II. Those requirements shall be fulfilled by using a risk-based approach." When carrying out customer due diligence requirements, obliged entities shall however be required to report any discrepancy between central registers and information obtained directly through clients or other sources to competent authorities with a view to ensuring that central registers contain the most accurate, up-to-date and complete information possible." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 335 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point e
Article 1 – paragraph 1 – point 10 – point e
Directive 2015/849/EU
Article 31 – paragraph 7 a – subparagraph 1
Article 31 – paragraph 7 a – subparagraph 1
In exceptional circumstances and under specific terms laid down in national law, where the access referred to in paragraphs 4 and 4a would expose the beneficial owner to the risk of fraud, kidnapping, blackmail, violence or intimidation, or where the beneficial owner is a minor or otherwise incapable, Member States may provide for an exemption from such access to all or part of the information on the beneficial ownership on a case-by- case basis. case basis. Member States shall ensure that these exemptions are granted upon a detailed evaluation of the exceptional nature of the circumstances. Exemptions shall be reassessed at regular intervals to avoid abuse. When an exemption is granted, this has to be clearly indicated in the register. It shall further be possible to challenge exemptions before the national authority that granted the exemption.
Amendment 344 #
Proposal for a directive
Article 1 – paragraph 1 – point 10 – point h
Article 1 – paragraph 1 – point 10 – point h
Directive 2015/849/EU
Article 31 – paragraph 10
Article 31 – paragraph 10
10. For the purposes of this Article, a trust is considered to be created, administered in each Member State where the trustees are established;or operated in a Member State where one or more of the following conditions are fulfilled: (a) it is created according to or governed by the law of the Member State or has its ultimate court of appeal in the jurisdiction of the Member State; (b) it is connected to the Member State by: (i) having one or more of the persons referred to in paragraph 1 or beneficial owners of the trust, as defined in Article 3(6)(b), resident in that Member State; (ii) holding real estate or other tangible assets in the Member State; (iii) holding shares or voting rights or ownership interest in a legal entity incorporated in that Member State; (iv) holding a bank or payment account in a credit institution situated in that Member State.
Amendment 353 #
Proposal for a directive
Article 1 – paragraph 1 – point 11 – point a a (new)
Article 1 – paragraph 1 – point 11 – point a a (new)
Directive 2015/849/EU
Article 32 – paragraph 7
Article 32 – paragraph 7
(aa) paragraph 7 is replaced by the following: "7. Member States shall ensure that the FIU is empowered to take urgent action, directly or indirectly, where there is a suspicion that a transaction is related to money laundering or terrorist financing, to suspend or withhold consent to a transaction that is proceeding, in order to analyse the transaction, confirm the suspicion and disseminate the results of the analysis automatically to the competent authorities. The FIU shall be empowered to take such action, directly or indirectly, at the request of an FIU from another Member State for the periods and under the conditions specified in the national law of the FIU receiving the request." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 354 #
Proposal for a directive
Article 1 – paragraph 1 – point 12
Article 1 – paragraph 1 – point 12
Directive 2015/849/EU
Article 32 a – paragraph 1
Article 32 a – paragraph 1
1. Member States shall put in place automated centralised mechanisms, such as central registries or central electronic data retrieval systems, which allow the identification, in a timely manner, of any natural or legal persons holding or controlling payment accounts as defined in Directive 2007/64/EC, financial instruments as defined in Directive 2014/65/EU and bank accounts held by a credit institution within their territory. Member States shall notify the Commission of the characteristics of those national mechanisms.
Amendment 368 #
Proposal for a directive
Article 1 – paragraph 1 – point 12 a (new)
Article 1 – paragraph 1 – point 12 a (new)
Directive 2015/849/EU
Article 32 b (new)
Article 32 b (new)
Amendment 372 #
Proposal for a directive
Article 1 – paragraph 1 – point 13 a (new)
Article 1 – paragraph 1 – point 13 a (new)
Directive 2015/849/EU
Article 34 – paragraph 2
Article 34 – paragraph 2
(13a) in Article 34, paragraph 2 is replaced by the following: "2. Member States shall not apply the obligations laid down in Article 33(1) to notaries, other independent legal professionals, auditors, external accountants and tax advisors only to the strict extent that such exemption relates to information they receive from, or obtain on, one of their clients, in the course of ascertaining the legal position of their client or performing their task of defending or representing that client in, or concerning, judicial proceedings, including providing advice on instituting or avoiding such proceedings, whether such information is received or obtained before, during or after such proceedings." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 375 #
Proposal for a directive
Article 1 – paragraph 1 – point 13 b (new)
Article 1 – paragraph 1 – point 13 b (new)
Directive 2015/849/EU
Article 37
Article 37
(13b) Article 37 is replaced by the following: "Disclosure of information in good faith by an obliged entity or by an employee or director of such an obliged entity, FIUs or other relevant public bodies in accordance with Articles 33 and 34 shall not constitute a breach of any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and shall not involve the obliged entity or its directors or employees in liability of any kind even in circumstances where they were not precisely aware of the underlying criminal activity and regardless of whether illegal activity actually occurred." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 377 #
Proposal for a directive
Article 1 – paragraph 1 – point 13 c (new)
Article 1 – paragraph 1 – point 13 c (new)
Directive 2015/849/EU
Article 38
Article 38
(13c) Article 38 is replaced by the following: "Member States shall ensure that individuals, including employees and representatives of the obliged entity, FIUs or other relevant public bodies who report suspicions of money laundering or terrorist financing internally or to the FIU, are protected from being exposed to threats or any hostile action, and in particular from any adverse or discriminatory employment actions." . This protection shall also effectively comprise relatives or any other person with close links to the one that has reported the suspicion. Where there is reasonable ground to suspect that money laundering, associated predicate offences or terrorist financing, or an action with comparable risks for the public interest, have actually occurred and not been adequately dealt with by the obliged entity or the FIU, an individual, including employees and representatives of the obliged entity or employees of the FIU or other relevant bodies shall also be protected if these cases are exposed publicly. In such circumstances, protection shall entail reasonable financial support or compensation in addition to the elements listed in paragraph 1." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 385 #
Proposal for a directive
Article 1 – paragraph 1 – point 15 a (new)
Article 1 – paragraph 1 – point 15 a (new)
Directive 2015/849/EU
Article 44 – paragraph 2 – point d
Article 44 – paragraph 2 – point d
(15a) in Article 44(2), point (d) is replaced by the following: "(d) data regarding the number of cross- border requests for information that were made, received, refused and partially or fully answered by the FIU." , broken down by counterpart country." Or. en (http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=OJ:JOL_2015_141_R_0003&from=ES)
Amendment 396 #
Proposal for a directive
Article 1 – paragraph 1 – point 18
Article 1 – paragraph 1 – point 18
Directive 2015/849/EU
Article 50 a – introductory part
Article 50 a – introductory part
Member States shall not prohibit or place unreasonable or unduly restrictive conditions onensure the exchange of information orand assistance between competent authorities. In particular Member States shall ensure that competent authorities do not refuse a request for assistance on the grounds that:
Amendment 397 #
Proposal for a directive
Article 1 – paragraph 1 – point 18
Article 1 – paragraph 1 – point 18
Directive 2015/849/EU
Article 50 a – subparagraph 1 a (new)
Article 50 a – subparagraph 1 a (new)
The obligation to ensure effective, comprehensive and timely exchange of information with counterpart authorities shall apply to all types of exchanges including automatic, spontaneous and on request.
Amendment 403 #
Proposal for a directive
Article 1 – paragraph 1 – point 19 – point b a (new)
Article 1 – paragraph 1 – point 19 – point b a (new)
Directive 2015/849/EU
Article 53 – paragraph 3 a (new)
Article 53 – paragraph 3 a (new)
(ba) the following paragraph is added: 3a. The FIU of each Member State shall quarterly publish summary statistics on its collaboration and the exchange of information with other FIUs. This should at least include the number of requests sent and received, whether those have been successfully followed-up and concluded, the type of information received or requested, the economic sector and nationality of the entity or individual concerned and the overall as well as average amounts of money included in requests, if applicable.
Amendment 415 #
Proposal for a directive
Article 1 – paragraph 1 – point 21 b (new)
Article 1 – paragraph 1 – point 21 b (new)
Directive 2015/849/EU
Article 59 – paragraph 1 – introductory part
Article 59 – paragraph 1 – introductory part
(21b) In Article 59, the introductory part of paragraph 1 is replaced by the following: "1. Member States shall ensure that this Article applies at least to breaches on the part of obliged entities that are serious, repeated, systematic, or a combination thereof, of the requirements laid down in:"
Amendment 417 #
Proposal for a directive
Article 1 – paragraph 1 – point 21 c (new)
Article 1 – paragraph 1 – point 21 c (new)
Directive 2015/849/EU
Article 59 – paragraph 2 – point c
Article 59 – paragraph 2 – point c
Amendment 420 #
Proposal for a directive
Article 1 – paragraph 1 – point 21 d (new)
Article 1 – paragraph 1 – point 21 d (new)
Directive 2015/849/EU
Article 59 – paragraph 3 – point b a (new)
Article 59 – paragraph 3 – point b a (new)
(21d) in Article 59(3), the following point is inserted: '(ba) for cases that are serious, repeated, systematic, or a combination thereof the withdrawal of the authorisation to operate;'
Amendment 429 #
Proposal for a directive
Article 1 – paragraph 1 – point 24 a (new)
Article 1 – paragraph 1 – point 24 a (new)
Directive 2015/849/EU
Annex II
Annex II
Amendment 434 #
Proposal for a directive
Article 2 – paragraph 1 – point 1
Article 2 – paragraph 1 – point 1
Directive 2009/101/EC
Article 1 a – paragraph 1 – point a
Article 1 a – paragraph 1 – point a
(a) corporate and other legal entities referred to in Article 30 of Directive 2015/849 of the European Parliament and of the Council*, including the types of companies referred to in Article 1 of this Directive, save for those which are non profit-making;
Amendment 436 #
Proposal for a directive
Article 2 – paragraph 1 – point 1
Article 2 – paragraph 1 – point 1
Directive 2009/101/EC
Article 1 a – paragraph 1 – point b
Article 1 a – paragraph 1 – point b
(b) trusts which comprise any property held by, or on behalf of, a person carrying on a business which consists of or includes the management of trusts, and acting as trustee of a trust in the course of that business with a view to gain profit, and other types of legal arrangements having a structure or functions similar to such trustsare covered by Article 31 of Directive 2015/849/EU.
Amendment 437 #
Proposal for a directive
Article 2 – paragraph 1 – point 1 a (new)
Article 2 – paragraph 1 – point 1 a (new)
Directive 2009/101/EC
Article 7 – paragraph 1 – point a a (new)
Article 7 – paragraph 1 – point a a (new)
Amendment 442 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
The information shall at least consist of the name, the month and yeardate of birth, the nationality and the country of residence of the beneficial owner as well as the nature and extent of the beneficial interest held.
Amendment 448 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 3
Article 7 b – paragraph 3
3. Member States shall ensure that the beneficial ownership information referred to in paragraph 1 of this Article shall also be made publicly available through the system of interconnection of registers referred to in Article 4a(2). For the purpose of this paragraph, access to the information on beneficial ownership shall be in accordance with data protection rules and made possible in machine- readable and open format as defined in Directive 2013/37/EU.
Amendment 452 #
Proposal for a directive
Article 2 – paragraph 1 – point 2
Article 2 – paragraph 1 – point 2
Directive 2009/101/EC
Article 7 b – paragraph 4
Article 7 b – paragraph 4
4. In exceptional circumstances and other specific terms laid down in national law, where the access to the information set out in paragraph 1 would expose the beneficial owner to the risk of fraud, kidnapping, blackmail, violence or intimidation, or where the beneficial owner is a minor or otherwise incapable, Member States may provide for an exemption from the compulsory disclosure ofsuch access to all or part of the information on the beneficial ownership on a case-by-case basis. Member States shall ensure that these exemptions are granted upon a detailed evaluation of the exceptional nature of the circumstances. Exemptions shall be reassessed at regular intervals to avoid abuse. When an exemption is granted, this has to be clearly indicated in the register. It shall further be possible to challenge exemptions before the national authority that granted the exemption.