37

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Use of financial data for preventing and combatting serious crime

19-07-2019

On 17 April 2018, the European Commission adopted a proposal for a directive intended to facilitate law enforcement authorities' access to and use of financial information held in other jurisdictions within the EU for investigations related to terrorism and other serious crime. The proposed directive would grant competent authorities direct access to bank account information contained in centralised registries set up in each Member State, according to the Fifth Anti-Money-Laundering Directive. The ...

On 17 April 2018, the European Commission adopted a proposal for a directive intended to facilitate law enforcement authorities' access to and use of financial information held in other jurisdictions within the EU for investigations related to terrorism and other serious crime. The proposed directive would grant competent authorities direct access to bank account information contained in centralised registries set up in each Member State, according to the Fifth Anti-Money-Laundering Directive. The proposal also aims to strengthen domestic and cross-border exchange of information between EU Member States' competent authorities, including law enforcement authorities and financial intelligence units, as well as with Europol. The provisional agreement reached in February 2019 in interinstitutional negotiations was adopted by the European Parliament on 17 April 2019, followed by the Council on 14 June. On 20 June 2019, the directive was signed into law and then published in the Official Journal on 11 July. Member States have until 1 August 2021 to transpose its provisions into national law.

Guarantee Fund for External Actions

13-12-2018

The Guarantee Fund for External Actions (GFEA) backs loans and loan guarantees granted to non-EU countries, or to finance projects in non-EU countries. Its objectives are to help protect the EU budget against the risks associated with such loans. The main objective of the actions backed by the GFEA is to support the increase of growth and jobs, and to improve the business environment in developing countries by strengthening the involvement of the private sector. The GFEA also contributes to the European ...

The Guarantee Fund for External Actions (GFEA) backs loans and loan guarantees granted to non-EU countries, or to finance projects in non-EU countries. Its objectives are to help protect the EU budget against the risks associated with such loans. The main objective of the actions backed by the GFEA is to support the increase of growth and jobs, and to improve the business environment in developing countries by strengthening the involvement of the private sector. The GFEA also contributes to the European External Investment Plan, which addresses the root causes of migration, the ongoing refugee crisis and security-related issues.

The supervisory approach to anti-money laundering: an analysis of the Joint Working Group’s reflection paper

14-11-2018

On August 31 2018, a Joint Working Group consisting of representatives of the European Central Bank, the European Commission and the European Supervisory Agencies published a document entitled ‘Reflection paper on possible elements of a Roadmap for seamless cooperation between Anti Money Laundering and Prudential Supervisors in the European Union’. The reflection paper straightforwardly calls for additional resources to be made available to the European Banking Authority to counter money laundering ...

On August 31 2018, a Joint Working Group consisting of representatives of the European Central Bank, the European Commission and the European Supervisory Agencies published a document entitled ‘Reflection paper on possible elements of a Roadmap for seamless cooperation between Anti Money Laundering and Prudential Supervisors in the European Union’. The reflection paper straightforwardly calls for additional resources to be made available to the European Banking Authority to counter money laundering. Suggestions for better cooperation and information sharing among anti-money laundering and prudential supervisors, however, risk being ineffective, as long as the underlying incentives to engage in international regulatory competition towards low enforcement of anti-money laundering standards are not addressed. To eliminate the potential for regulatory competition, anti-money laundering supervision needs to be raised to a European level.

Autor externo

H.Huizinga

The Implementation of Enhanced Cooperation in the EU

01-10-2018

This study, commissioned by the European Parliament’s Policy Department for Citizens’ Rights and Constitutional Affairs at the request of the Committee on Constitutional Affairs, examines – against a historical backdrop – the legal provisions governing Enhanced Cooperation as well as the so far very limited number of implemented Enhanced Cooperation initiatives. Based on these insights, concrete ideas are formulated on how to optimise this ‘standardised and generalised framework’ of differentiated ...

This study, commissioned by the European Parliament’s Policy Department for Citizens’ Rights and Constitutional Affairs at the request of the Committee on Constitutional Affairs, examines – against a historical backdrop – the legal provisions governing Enhanced Cooperation as well as the so far very limited number of implemented Enhanced Cooperation initiatives. Based on these insights, concrete ideas are formulated on how to optimise this ‘standardised and generalised framework’ of differentiated integration, touching upon questions of efficacy, efficiency and legitimacy.

Autor externo

Prof. Dr. Wolfgang WESSELS, Centre for Turkey and European Union Studies (CETEUS), University of Cologne; Carsten GERARDS, Department of EU International Relations and Diplomacy Studies, College of Europe (Bruges)

Access to financial data by law enforcement authorities

25-06-2018

Groups committing serious crimes, including terrorists, often operate cross-border and their funds are usually located across the EU Member States or outside of the EU. The Commission proposal aims to improve the sharing financial information among national law enforcement authorities and financial intelligence units to prevent and fight crime and terrorism. The impact assessment accompanying the proposal examined comprehensively the problems encountered by law enforcement authorities and financial ...

Groups committing serious crimes, including terrorists, often operate cross-border and their funds are usually located across the EU Member States or outside of the EU. The Commission proposal aims to improve the sharing financial information among national law enforcement authorities and financial intelligence units to prevent and fight crime and terrorism. The impact assessment accompanying the proposal examined comprehensively the problems encountered by law enforcement authorities and financial intelligence units, and made a real attempt to analyse the impacts of the proposed measures. A more thorough analysis of the safeguards on fundamental rights would have been useful. The Commission admits that the calculations of costs and benefits were limited due to a lack of data. Finally, the overall preferred option remains unclear.

Regulation of OTC derivatives: Amending the European Market Infrastructure Regulation (EMIR)

08-06-2018

The European Market Infrastructure Regulation (EMIR – Regulation (EU) No 648/2012), adopted in 2012, forms part of the European regulatory response to the financial crisis, and specifically addresses the problems observed in the functioning of the ‘over-the-counter’ (OTC) derivatives market during the 2007-2008 financial crisis. In the last three years, the Commission, with the help of reports from the European Systemic Risk Board (ESRB), the European Central Bank (ECB) and the European Securities ...

The European Market Infrastructure Regulation (EMIR – Regulation (EU) No 648/2012), adopted in 2012, forms part of the European regulatory response to the financial crisis, and specifically addresses the problems observed in the functioning of the ‘over-the-counter’ (OTC) derivatives market during the 2007-2008 financial crisis. In the last three years, the Commission, with the help of reports from the European Systemic Risk Board (ESRB), the European Central Bank (ECB) and the European Securities Markets Authority (ESMA), carried out an extensive assessment of EMIR. In May 2017, it proposed a regulation amending and simplifying Regulation (EU) No 648/2012 in the context of its Regulatory Fitness and Performance (REFIT) programme, to address disproportionate compliance costs, transparency issues and insufficient access to clearing for certain counterparties. The Council published its mandate for negotiations with the EP on 11 December 2017. On 16 May 2018, the ECON committee of the EP adopted its report which is due to be debated during the June plenary. Second edition. The ‘EU Legislation in Progress’ briefings are updated at key stages throughout the legislative procedure.

Recovery and resolution of central counterparties (CCPs)

25-04-2018

In recent years, the role and systemic importance of central counterparties (CCPs) has expanded with the gradual implementation of the obligation to centrally clear liquid and standardised over-the-counter (OTC) derivatives. The relevant EU regulatory framework lays down prudential requirements for CCPs, as well as requirements regarding their operation, oversight and risk management. No harmonised EU rules, however, exist for the unlikely situations in which these standards prove insufficient to ...

In recent years, the role and systemic importance of central counterparties (CCPs) has expanded with the gradual implementation of the obligation to centrally clear liquid and standardised over-the-counter (OTC) derivatives. The relevant EU regulatory framework lays down prudential requirements for CCPs, as well as requirements regarding their operation, oversight and risk management. No harmonised EU rules, however, exist for the unlikely situations in which these standards prove insufficient to address major financial or operational difficulties that CCPs may incur or their outright failure. The international standard-setting organisations have developed standards for the recovery and resolution of financial market infrastructures, including CCPs. In a 2013 own-initiative resolution, the Parliament called on the Commission to prioritise the recovery and resolution of CCPs and reiterated this request in a 2015 resolution on building a capital markets union. In November 2016 the European Commission adopted a proposal for a regulation requiring CCPs to prepare recovery measures and providing resolution authorities with early intervention and resolution powers. Parliament’s Committee on Economic and Monetary Affairs (ECON) adopted its report on the proposal on 24 January 2018. Second edition. The ‘EU Legislation in Progress’ briefings are updated at key stages throughout the legislative procedure.

Revision of the Fourth Anti-Money-Laundering Directive

12-04-2018

Directive (EU) 2015/849, which forms part of the EU regulatory framework to combat financial crime, has shown gaps in the light of terrorist attacks and various tax leaks. In this context, the European Commission proposed to amend the directive, along with Directive 2009/101/EC, to broaden their scope, lower thresholds benefiting from exemptions and provide for the creation of automated centralised mechanisms (e.g. central electronic data retrieval systems). The European Parliament and Council each ...

Directive (EU) 2015/849, which forms part of the EU regulatory framework to combat financial crime, has shown gaps in the light of terrorist attacks and various tax leaks. In this context, the European Commission proposed to amend the directive, along with Directive 2009/101/EC, to broaden their scope, lower thresholds benefiting from exemptions and provide for the creation of automated centralised mechanisms (e.g. central electronic data retrieval systems). The European Parliament and Council each put forward substantial modifications to the Commission proposal, including not amending the aforementioned Directive 2009/101/EC. These include: the obligation for Member States to provide data to the Commission on trusts and legal arrangements; specific professional secrecy obligations for staff working, or having worked for, competent authorities supervising credit and financial institutions; cooperation between competent authorities; or the obligation for Member States to provide Financial Intelligence Units (FIUs) with access to information – including through registries or central electronic data retrieval systems – which allows the identification of any natural or legal person owning real estate. The agreement reached in trilogue negotiations now needs to be approved by the Parliament in plenary, and thereafter by the Council. Second edition. The ‘EU Legislation in Progress’ briefings are updated at key stages throughout the legislative procedure.

Revisión de la Directiva antiblanqueo

11-04-2018

El marco regulador actual de la Unión para los delitos financieros —compuesto por la Directiva (UE) 2015/849 y el Reglamento (UE) 2015/847— se enfrenta al reto de mantener el ritmo de la innovación tecnológica en el ámbito de los servicios financieros, que puede generar nuevas oportunidades para ocultar elementos financieros, así como la posible explotación por delincuentes de lagunas en el sistema. Tras su aprobación en comisión, en enero, el informe debe someterse a votación en la sesión plenaria ...

El marco regulador actual de la Unión para los delitos financieros —compuesto por la Directiva (UE) 2015/849 y el Reglamento (UE) 2015/847— se enfrenta al reto de mantener el ritmo de la innovación tecnológica en el ámbito de los servicios financieros, que puede generar nuevas oportunidades para ocultar elementos financieros, así como la posible explotación por delincuentes de lagunas en el sistema. Tras su aprobación en comisión, en enero, el informe debe someterse a votación en la sesión plenaria de abril.

Libre circulación de capitales

01-02-2018

La libre circulación de capitales es una de las cuatro libertades fundamentales del mercado único de la UE. No es solo la más reciente, sino que, gracias a la peculiaridad de incluir a los terceros países, es también la más amplia. La liberalización de los flujos de capital ha avanzado gradualmente. Desde el Tratado de Maastricht (1994) se han eliminado las restricciones a los movimientos de capitales y sobre los pagos, tanto entre Estados miembros como con terceros países. El principio es directamente ...

La libre circulación de capitales es una de las cuatro libertades fundamentales del mercado único de la UE. No es solo la más reciente, sino que, gracias a la peculiaridad de incluir a los terceros países, es también la más amplia. La liberalización de los flujos de capital ha avanzado gradualmente. Desde el Tratado de Maastricht (1994) se han eliminado las restricciones a los movimientos de capitales y sobre los pagos, tanto entre Estados miembros como con terceros países. El principio es directamente aplicable, es decir, no requiere la adopción de legislación adicional a escala de la Unión ni de los Estados miembros.

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