Instruction No. 2014-I-01 of February 10, 2014, on Information Regarding the Anti-Money Laundering and Counter-Terrorist Financing Framework

Prudential Control and Resolution Authority Instruction No. 2014-I-01 of February 10, 2014, on Information Regarding the Anti-Money Laundering and Counter-Terrorist Financing Framework

The Prudential Control and Resolution Authority, Having regard to the Monetary and Financial Code, in particular Chapters I and II of Title VI of Book V as well as Article L. 612-24; Having regard to Instruction No. 2012-I-04 of June 28, 2012, on information regarding the anti-money laundering and counter-terrorist financing framework; Having regard to Instruction No. 2009-01 of June 19, 2009, as amended, on the implementation of the unified financial reporting system; Having regard to Instruction No. 2007-01 of January 18, 2007, as amended, on the electronic signature of certain documents transmitted electronically to the Banking Commission; Having regard to Opinion No. 2014-01 of the Advisory Committee on Combating Money Laundering dated January 29, 2014; Decides:

Article 1 Instruction No. 2012-I-04 is hereby amended as follows:

1°) After the words: "Prudential Control Authority", the words: "and Resolution" are inserted; the acronym: "ACP" is replaced by the acronym: "ACPR".

2°) Article 1 is hereby amended as follows: a) In 1), the references: "L. 612-2, I, A, 1°, 2° and 3" are replaced by the references: "L. 612-2, I, A, 1°, 2°, 3°, 8° and 9°"; b) In 6), after the words: "R. 931-2-1 of the Social Security Code", the words: "and of the establishments mentioned in Article L. 561-3, VI of the Monetary and Financial Code which do not have a branch" are added;

3°) 1°) of Article 3 is hereby amended as follows: a) In the second paragraph, after the words: "in Article L. 518-11", the words: ", in 4° of Article L. 526-9" are inserted; b) The last sentence of the fourth paragraph is replaced by the following sentence: "For the persons mentioned in Articles L. 522-1 and L. 526-1 of the Monetary and Financial Code, only the managers of the establishment concerned within the meaning of II of Article L. 522-6 or 4° of Article L. 526-9 of the Monetary and Financial Code, according to the procedures defined by Instruction No. 2007-01, are authorized to sign." c) The last paragraph is replaced by the following paragraph: "In addition, in the event of the designation of one or more declarants or Tracfin correspondents during the year, the updated data regarding the identity of the declarants and Tracfin correspondents included in Table B1 mentioned in Article 1 are sent without delay, on paper, to the department responsible for permanent supervision of the establishment subject to supervision within the General Secretariat of the Prudential Control and Resolution Authority. Table B1 is signed by the authorized persons mentioned in the preceding paragraphs."

4°) The first paragraph of 3°) of Article 3 is replaced by the following paragraph: "For the persons subject to supervision mentioned in 6) of Article 1:"

5°) The following notice is added to Table B1 annexed to Instruction No. 2012-I-04: "The data collected are subject to automated processing necessary for the management of information received by the General Secretariat of the Prudential Control and Resolution Authority (SGACPR) concerning the anti-money laundering and counter-terrorist financing framework implemented by establishments subject to Instruction No. 2012-I-04. The recipients of the data are the agents of SGACPR, TRACFIN, the Delegation for on-site supervision of credit institutions and investment firms of the Bank of France, the Issuing Institutes for overseas territories for establishments established overseas, and internal control services. In accordance with the provisions of Law No. 78-17 of January 6, 1978, as amended, relating to data processing, computer files and civil liberties, the physical persons concerned have a right of access (Article 39) and rectification (Article 40) of the personal data concerning them. This right of access is exercised by postal mail accompanied by a photocopy of an identity document bearing the signature of the person with the Anti-Money Laundering and Internal Control Service of SGACPR (61 rue Taitbout 75436 PARIS Cedex 09)."

Article 2

1°) Article 4 of the Banking Commission Instruction No. 2009-01, as amended, is hereby drafted as follows: "Branches of investment firms having their registered office in another Member State of the European Union or party to the Agreement on the European Economic Area submit information regarding their anti-money laundering and counter-terrorist financing framework according to the procedures defined in Article 5 of Instruction No. 2012-I-04."

2°) The third paragraph of Article 8 of the Banking Commission Instruction No. 2009-01, as amended, is hereby drafted as follows: "The BLANCHIMT tables annexed to Instruction No. 2012-I-04 constitute Annex 8 of this Instruction."

Article 3 The last paragraph of Article 2 of the Banking Commission Instruction No. 2007-01, as amended, is hereby drafted as follows: "The transmission of the BLANCHIMT tables is governed by Instruction No. 2012-I-04."

Article 4 This Instruction shall be published in the Official Register of the Prudential Control and Resolution Authority. Paris, February 10, 2014 The President of the Prudential Control and Resolution Authority, [Robert OPHÈLE]