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EBA Guidelines Compliance Table Summary

Core Content

The document outlines the compliance status of national competent authorities and other relevant bodies with the EBA's Guidelines on Connected Clients under Article 4(1)(39) of Regulation (EU) No 575/2013, which is also referred to as the CRD IV Regulation. These guidelines aim to ensure that financial institutions properly identify and manage connected clients, which are individuals or entities that have a close relationship with a client, potentially affecting the institution's risk exposure.

The date of application for these guidelines is 1 February 2019, meaning that all competent authorities were expected to comply with the guidelines by that date or earlier, depending on their national implementation timelines.

Compliance Status Overview

The following table summarizes the compliance status of competent authorities across EU Member States, EEA States, and other relevant entities:

EEA-EFTA States

European Territories under Article 355(3) TFEU

Notes

• The EEA States other than EU Member States are not required to notify compliance with the EBA's guidelines, but they have done so voluntarily.
• If a competent authority continues to intend to comply after the application date, it is considered non-compliant unless:
  • (A) the guidelines apply to an institution or instrument that does not exist in the jurisdiction; or
  • (B) legislative or regulatory proceedings have been initiated to align national measures with the guidelines.
• The EBA does not take responsibility for the accuracy of the information provided by the competent authorities.
• For detailed information, it is recommended to contact the relevant competent authority directly.

Key Information

• Guidelines Title: Guidelines on Connected Clients under Article 4(1)(39) of Regulation (EU) No 575/2013
• Date of Application: 1 February 2019
• Compliance Deadline: Most competent authorities were expected to comply by 1 January 2019, with some having earlier notification dates.
• Compliance Status: A mix of "Yes" and "Intends to comply" entries, indicating that most authorities were on track to meet the deadline, with a few having already notified compliance.