Instruction No. 2012-I-01 of April 11, 2012, regarding the procedure for requesting an opinion on the appointment of specific controllers, as amended

PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY

Instruction No. 2012-I-01 dated April 11, 2012, regarding the procedure for requesting an opinion on the appointment of specific controllers, as amended by Instructions No. 2014-I-14 dated September 29, 2014, No. 2016-I-08 dated March 11, 2016, and No. 2024-I-13 dated October 24, 2024.

The Prudential Control and Resolution Authority, Having regard to the Monetary and Financial Code, particularly Articles L. 515-30, L. 515-38, L. 612-24, L. 612-43, L. 612-44, as well as D. 511-8, D. 511-9, and D. 612-53 to D. 612-58; Having regard to Decree No. 2010-1599 of December 20, 2010, publishing the agreement in the form of an exchange of letters between the Government of the French Republic and the Government of the Principality of Monaco of October 20, 2010, regarding banking regulation applicable in the Principality of Monaco; Having regard to the opinion of the Prudential Affairs Consultative Committee dated March 29, 2012.

DECIDES

Article 1
This instruction applies to credit institutions and housing finance companies, respectively referred to in Articles L. 513-2 and L. 513-28 of the Monetary and Financial Code.

Article 2
When a regulated entity intends to submit to the competent authority the appointment of a specific controller, whether titular or alternate, whether for an initial appointment or a renewal of a previous mandate, it shall transmit to the General Secretariat of the Prudential Control and Resolution Authority, under the conditions set forth in Articles R. 513-16 and R. 513-19, a request for an opinion for each proposed specific controller.

The request for an opinion includes a declaratory statement accompanied by three forms, according to the model attached as an appendix, duly completed by each proposed specific controller, whether in the capacity of a natural person or on behalf of a company.

Article 3
In the event of modification of any information collected as part of the request for an opinion, including in the event of a change of the person performing the mission of specific controller on behalf of a company, the regulated entity shall inform the General Secretariat of the Prudential Control and Resolution Authority as soon as possible by letter.

Article 4
The declaratory statement provided for in Article 2 must be signed by one of the executives of the regulated entity as defined in Article L. 511-13 of the Monetary and Financial Code.

Article 5
Requests for an opinion are transmitted in electronic format to the Prudential Control and Resolution Authority by depositing them on the portal accessible at the following address: https://acpr-portail.banque-france.fr.

Article 6 - Instruction No. 2006-02 of the Banking Commission dated March 10, 2006, regarding the appointment of statutory auditors, as well as the standard forms provided for by the Insurance Control Authority in the context of the request for an opinion on the appointment of statutory auditors, are repealed.

Article 7 - This instruction enters into force on September 1, 2012.

Paris, April 11, 2012
The President of the Prudential Control and Resolution Authority, Christian NOYER

Appendix I Declaratory Statement (three distinct models depending on the status of the regulated entity)
Appendix II Form 1
Appendix III Form 1M
Appendix IV Form 2
Appendix V Form 3