Instruction No. 2013-I-08 of June 24, 2013, on information to be submitted under the VI of Article L. 561-3 and the III of Article D. 561-3-1 of the Monetary and Financial Code

PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY
Instruction No. 2013-I-08 dated June 24, 2013 on information to be submitted in application of the VI of Article L. 561-3 and the III of Article D. 561-3-1 of the Monetary and Financial Code amended by Instruction No. 2016-I-13 dated June 6, 2016

The Prudential Control and Resolution Authority, Having regard to the Monetary and Financial Code, particularly Articles L. 612-24, L. 561-3 VI, and D. 561-3-1; Having regard to the opinion of the Consultative Committee on Combating Money Laundering dated May 29, 2013; Decides:

Article 1

• The establishments mentioned in the first paragraph of the VI of Article L. 561-3 of the Monetary and Financial Code are subject to this instruction, hereinafter referred to as "the regulated establishments."

Article 2
I - The regulated 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 in application of the second paragraph of the VI of Article L. 561-3 of the Monetary and Financial Code, upon 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. Regulated establishments that designate a natural person as permanent representative shall submit Model 1.

Model 2 of Annex 1 corresponds to a declaration by the permanent representative when it is a legal entity. Regulated establishments that designate a legal entity as permanent representative 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 management of the regulated 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, the regulated establishments shall promptly submit the relevant updated model from Annex 1.

Article 3
The regulated 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 the 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 payment service activity or the electronic money circulation activity on French territory.

In the case where electronic money establishments subject to this instruction exercise both 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
The regulated 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, which describes:

1° When the regulated establishments exercise payment service 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 the regulated 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 are distributed by country concerned and by type of operation (issuance or receipt operations), and the number of agents involved;

3° When the regulated 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, reporting 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 manner in which the permanent representative ensures the application of their obligations regarding the fight against money laundering and the financing of terrorism 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 sent to Tracfin in application of Article L. 561-15 of the Monetary and Financial Code, as well as the number of information items sent to Tracfin in application of 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 sent to the General Directorate of the Treasury in application of Article R. 562-2 of the Monetary and Financial Code or European regulations imposing restrictive measures, during the last calendar year.

The regulated establishments shall submit Annex 4 for this purpose.

Article 5
The information submitted in application of this instruction shall be sent on paper support to the following address:
General Secretariat of the Prudential Control and Resolution Authority Permanent Control Pole AML-CFT 66-2760 4, place de Budapest CS 92459 75 436 Paris cedex 09

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

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

Article 7 - This instruction will be published in the Official Register of the Prudential Control and Resolution Authority.

Paris, June 24, 2013
The President of the Prudential Control and Resolution Authority, [Robert OPHÈLE]