Instruction No. 2016-I-13 of June 6, 2016 amending Instruction No. 2013-I-08 regarding information to be provided under Article L. 561-3 VI and Article D. 561-3-1 III of the Monetary and Financial Code

AUTORITÉ DE CONTRÔLE PRUDENTIEL ET DE RÉSOLUTION ----- Instruction No. 2016-I-13 amending Instruction No. 2013-I-08 regarding information to be provided under Article L. 561-3 VI and Article D. 561-3-1 III of the Monetary and Financial Code

The Prudential Control and Resolution Authority, Having regard to the Monetary and Financial Code, in particular Articles L. 612-24, L. 561-3 VI and D. 561-3-1; Having regard to the opinion of the Anti-Money Laundering Consultative Committee dated May 18, 2016; Decides:

Article 1
Articles 2 to 6 of Instruction No. 2013-I-08 are replaced as follows:

« Article 2
I - The supervised establishments shall submit, as applicable, to the General Secretariat of the Prudential Control and Resolution Authority, model 1 or 2 appearing in Annex 1 of this instruction regarding the permanent representative designated under the second paragraph of VI of Article L. 561-3 of the Monetary and Financial Code, at the commencement of their activities on French territory.

Model 1 of Annex 1 corresponds to a declaration by the permanent representative when it is a natural person. Supervised establishments that designate a permanent representative who is a natural person shall submit model 1.

Model 2 of Annex 1 corresponds to a declaration by the permanent representative when it is a legal entity. Supervised establishments that designate a permanent representative who is a legal entity shall submit model 2.

II - Model 1 or 2 of Annex 1 shall be submitted no later than March 31 of each year. Model 1 or 2 of Annex 1, as applicable, shall be signed by the manager of the supervised establishment.

In the event of modifications during the year to the information transmitted to the General Secretariat of the Prudential Control and Resolution Authority concerning the permanent representative, supervised establishments shall promptly submit the updated relevant model from Annex 1.

Article 3
Supervised establishments shall transmit to the General Secretariat of the Prudential Control and Resolution Authority, through their permanent representative mentioned in Article 2, the statistical declaration defined in III of Article D. 561-3-1 of the Monetary and Financial Code, the model of which is presented in Annex 2 or 3 of this instruction depending on whether the establishment exercises the activity of payment services or electronic money issuance on French territory.

In the case where supervised electronic money institutions exercise both of the aforementioned activities, they shall submit Annexes 2 and 3.

The statistical declaration shall be submitted to the General Secretariat of the Prudential Control and Resolution Authority no later than March 31 of each year.
The statistical declaration shall be signed by the permanent representative mentioned in Article 2 or their legal representative if it is a legal entity.
The statistical declaration shall be attached to the annual report mentioned in Article 4.

Article 4
Supervised establishments shall transmit to the General Secretariat of the Prudential Control and Resolution Authority no later than March 31 of each year, through the permanent representative mentioned in Article 2, an annual report the model of which appears in Annex 4, describing:

1° When supervised establishments exercise payment services activities, excluding fund transmission services, on French territory: the number of clients, the number and total amount of operations carried out during the last calendar year for each payment service provided, excluding fund transmission services, and the number of agents involved;

2° When supervised establishments exercise the fund transmission service on French territory: the number of clients, the number and total amount of operations carried out during the last calendar year. These data shall be distributed by country concerned and by type of operation (issuance or receipt operations), and the number of agents involved;

3° When supervised establishments circulate electronic money on French territory: the number of clients, the number and total amount of operations carried out during the last calendar year for each type of operation (top-ups, recharges, refunds); the number of persons to whom the establishments resort in order to distribute electronic money on their behalf;

4° Measures taken to implement vigilance obligations, declarative obligations to Tracfin under Sections 3 and 4 of Chapter I of Title VI of Book V of the Monetary and Financial Code, as well as asset freezing obligations provided for in Chapter II of Title VI of Book V of the Monetary and Financial Code and by European regulations imposing restrictive measures;

5° The arrangements under which the permanent representative ensures the application of their obligations regarding anti-money laundering and counter-terrorist financing for the activities of the establishment concerned carried out through agents and persons to whom the establishments resort in order to distribute electronic money on their behalf;

6° The number of declarations addressed to Tracfin under Article L. 561-15 of the Monetary and Financial Code, as well as the number of information items addressed to Tracfin under Article L. 561-15-1 of the Monetary and Financial Code, during the last calendar year;

7° The number of declarations of implementation of freezing measures addressed to the General Directorate of the Treasury under Article R. 562-2 of the Monetary and Financial Code or European regulations imposing restrictive measures, during the last calendar year.

Supervised establishments shall submit Annex 4 for this purpose.

Article 5
Information submitted under this instruction shall be sent on paper to the following address:
General Secretariat of the Prudential Control and Resolution Authority Permanent Control Pole AML-CFT 66-2760 61, rue Taitbout 75436 Paris Cedex 09

In addition to the paper submission, supervised establishments shall also submit this information electronically to the following address: 2760-pole-lcbft-ut@acpr.banque-france.fr

Article 6
Supervised establishments shall keep at the disposal of the General Secretariat of the Prudential Control and Resolution Authority the information collected as well as all documents used to prepare them for a period of five years from their date of submission. »

Article 2
The annexes to Instruction No. 2013-I-08 are replaced by the annexes to this instruction.

Article 3
This instruction shall enter into force upon its publication in the official register of the Prudential Control and Resolution Authority.

Paris, June 6, 2016

The President of the Prudential Control and Resolution Authority, [François VILLEROY de GALHAU]