EBA欧洲银行-EBA-2011-12-16-28Confirmation-of-Compliance-table-GL44-Internal-Governance29_3页_200kb

Compliance Summary with EBA Guidelines on Internal Governance (GL 44)

Core Content

This document provides a compliance table indicating whether national competent authorities (NCAs) in the European Union (EU) and EFTA states have complied or intend to comply with the EBA's Guidelines on Internal Governance (GL 44), published on 27 September 2011.

Overview of Compliance Status

The table lists the following key information for each country:

• Member State: The name of the country.
• Competent Authority: The regulatory body responsible for financial supervision.
• Complies or intends to comply: Indicates whether the authority is in compliance with GL 44 or plans to be.
• Comments: Additional notes or remarks, if applicable.

Compliance Status by Country

• EU Member States:

  • 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: Authorite de Control Prudentiel – Yes
  • Italy: Banca d'Italia – 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 Szervezetak Allami Felugyelete – Yes
  • Malta: Malta Financial Services Authority – Yes
  • Netherlands: De Nederlandsche Bank – Yes
  • Austria: Finanzmarktaufsicht – Yes
  • Poland: Komisja Nadzoru Finansowego – Yes
  • Portugal: Banco de Portugal – Yes
  • Romania: National Bank of Romania – Not provided
  • Slovenia: Banka Slovenije – Yes
  • Slovakia: Národná Banka Slovenska – Yes
  • Finland: Finanssivalvonta – Yes
  • Sweden: Finansinspektionen – Yes
  • United Kingdom: Financial Services Authority – Yes

• EFTA States:

  • Iceland: Fjármálaeftirlitið – No answer received
  • Liechtenstein: Finanzmarktaufsicht – No answer received
  • Norway: Finanstilsynet – Yes

Main Points and Key Information

• Compliance Requirement: Article 16(3) of the EBA Regulation mandates that NCAs must inform the EBA within two months of the publication of guidelines or recommendations whether they comply or intend to comply with them.
• Responsibility: The EBA relies on the information provided by NCAs and cannot be held responsible for the accuracy or completeness of the data.
• Contact Information: For further details regarding the compliance status of any competent authority, direct contact with the respective authority is recommended. Contact details can be found on the EBA's official website.

Conclusion

The EBA Guidelines on Internal Governance (GL 44) have been widely accepted by most EU and EFTA competent authorities. While the majority of NCAs have confirmed their compliance or intention to comply, some have not provided a response, particularly the National Bank of Romania and the competent authorities of Iceland and Liechtenstein. The EBA encourages all NCAs to provide their responses to ensure transparency and consistency in regulatory practices across the European financial sector.