EBA欧洲银行-Compliance-GL-2012_06_4页_221kb

报告摘要

Compliance Table Summary

Core Content

This document provides a summary of the compliance status of competent authorities across various European Union (EU) member states and EEA-EFTA states with the EBA Guidelines EBA/GL/2012/06, which were published on 22 November 2012 and updated on 27 April 2015. The table outlines whether each competent authority complies with or intends to comply with the guidelines, along with any relevant comments.

Main Viewpoints

The EBA Guidelines EBA/GL/2012/06 are a set of regulatory guidelines aimed at assessing the suitability of members of the management body and key function holders in financial institutions.
Compliance with these guidelines is reported by competent authorities, either as "Yes" or "Partial," depending on their implementation status.
Some competent authorities have indicated that they plan to implement the guidelines together with other regulatory frameworks, such as CRD IV (Capital Requirements Directive IV).
For EEA-EFTA states, the competent authorities are not currently required to confirm compliance with EBA guidelines, and the information in the table is based on voluntary notifications.

Key Information

EU Member States Compliance

Member State	Competent Authority	Compliance Status	Comments
Belgium	National Bank of Belgium	Yes
Bulgaria	Bulgarian National Bank	Yes
Czech Republic	Česká Národní Banka	Yes
Denmark	Finanstilsynet	Yes
Germany	BaFin	Yes
Estonia	Finantsinsektsoon	Yes
Ireland	Central Bank of Ireland	Yes
Greece	Bank of Greece	Yes
Spain	Banco de Espana	Yes
France	Autorité de Contrôle Prudentiel	Yes
Cyprus	Central Bank of Cyprus	Yes
Latvia	Finansu un Kapitala tirgus Komisija	Yes
Lithuania	Lietuvos Bankas	Yes
Luxembourg	Commission de Surveillance du Secteur Financier	Yes
Hungary	Penzugyi Szervezetek Allami Felugyelete	Yes
Malta	Malta Financial Services Authority	Yes
Netherlands	De Nederlandsche Bank	Yes
Austria	Finanzmarktaufsicht	Yes
Poland	Komisja Nadzoru Finanswego	Yes
Portugal	Banco de Portugal	Yes
Romania	National Bank of Romania	Yes
Slovenia	Banka Slovenije	Yes
Slovakia	Národná Banka Slovenska	Partial	Implementation planned together with CRD IV
Finland	Finanssivalvonta	Yes
Sweden	Finansinspektionen	Yes	27/04/2015 – Updated response – Yes. Initial notification response – Partial - Implementation planned together with CRD IV

EEA-EFTA States

Member State	Competent Authority	Compliance Status	Comments
Iceland	Fjármálaeftirlitið	No voluntary notification received
Liechtenstein	Finanzmarktaufsicht	Yes

Norway

Member State	Competent Authority	Compliance Status	Comments
Norway	Finanstilsynet	Yes

Additional Notes

Article 16(3) of the EBA Regulation mandates that national competent authorities report whether they comply or intend to comply with EBA guidelines.
If a competent authority does not comply or does not intend to comply, it must provide the reasons for non-compliance.
The EBA does not take responsibility for the accuracy of the information provided by the competent authorities.
For more detailed information on a specific competent authority's compliance status, direct contact with that authority is recommended.

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