Artikelen bij COM(2023)593 - Wijziging van de Verordeningen (EU) nr. 1092/2010, (EU) nr. 1093/2010, (EU) nr. 1094/2010, (EU) nr. 1095/2010 en (EU) 2021/523 wat betreft bepaalde verslaggevingsverplichtingen op het gebied van financiële diensten en investeringsondersteuning - Hoofdinhoud
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| dossier | COM(2023)593 - Wijziging van de Verordeningen (EU) nr. 1092/2010, (EU) nr. 1093/2010, (EU) nr. 1094/2010, (EU) nr. 1095/2010 en (EU) ... |
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| document | COM(2023)593  |
| datum | 17 oktober 2023 |
Inhoudsopgave
Article 1 - Amendments to Regulation (EU) No 1092/2010
1.in Article 8, paragraph 3 is replaced by the following:
‘3. Without prejudice to Articles 15 and 16 and the application of criminal law, no confidential information received by the persons referred to in paragraph 1 whilst performing their duties shall be divulged to any person or authority whatsoever, except in summary or aggregate form, such that individual financial institutions cannot be identified.’;
2.in Article 15, the following paragraphs are added:
‘8. The ESRB shall share, on a case-by-case or regular basis, information it obtained from another authority referred to in paragraph 2 or another member authority of the ESFS in carrying out its duties, when requested by another of those authorities, or another competent authority as defined in Article 4, point (2), of Regulation (EU) No 1093/2010, in Article 4, point (2), of Regulation (EU) No 1094/2010, or in Article 4, point (3) of Regulation (EU) No 1095/2010, or the authorities defined in Article 2, point (1), of Directive (EU) …/… of the European Parliament and of the Council 17 , provided that the requesting authority has the power to obtain that same information from financial institutions or other competent authorities pursuant to Union law.
9. The request for exchange of information pursuant to paragraph 8 shall duly indicate the legal basis under Union law allowing the requesting authority to obtain the information from financial institutions or another authority referred to in that paragraph. The requesting authority and the ESRB shall be subject to the obligations of professional secrecy and data protection provisions laid down in Article 8 and in sectoral legislation applicable to the sharing of data between the financial institution or another authority referred to in paragraph 8 and the requesting authority, as well as to the sharing of data between another authority referred to in that paragraph and the ESRB. The ESRB shall inform each relevant authority about such exchange of information without undue delay.
10. Paragraphs 8 and 9 shall also apply to information that the ESRB has received from another authority referred to in paragraph 8 and upon which the ESRB has subsequently performed quality checks or which the ESRB has otherwise processed.
11. For sharing information as referred to in paragraphs 8, 9 and 10, the authorities referred to in paragraph 8 may enter into memoranda of understanding to specify the modalities of the exchange of information. They may also specify arrangements for the sharing of resources for the collection and processing of such shared data.
12. Paragraphs 8, 9 and 10 shall be without prejudice to the protection of intellectual property rights and shall not prevent or restrict the exchange of information between the authorities referred to in paragraph 8 in accordance with provisions in other Union legislation. Where paragraph 8, 9 or 10 conflicts with provisions in other Union legislation that regulate the exchange of information between the authorities referred to in paragraph 8, the provisions in such other Union legislation shall prevail.
13. Without prejudice to other obligations laid down in Union law for sharing information, the ESRB shall, upon justified request and on a case-by-case basis, share with the Commission or one of the authorities referred to in paragraph 8 information that other authorities have reported to it pursuant to their obligations under Union law. The ESRB shall transmit that information in a form that does not allow the identification of individual entities and does not contain personal data.
14. The ESRB may grant access to information obtained when carrying out its duties for re-use by financial institutions, researchers and other entities with a legitimate interest in such information for research and innovation purposes, provided that the ESRB has ensured that all of the following has been complied with:
(a) the information has been anonymised, in such a manner that the data subject or the financial institution is not or no longer identifiable;
(b) the information has been modified, aggregated or treated by any other method of disclosure control to protect confidential information, including trade secrets or content covered by intellectual property rights.
Information received from another authority shall only be shared with the agreement of the authority that initially obtained the information.’
Article 2 - Amendments to Regulation (EU) No 1093/2010
1.in Article 29(1), point (d) is replaced by the following:
‘(d) reviewing the application of the relevant regulatory and implementing technical standards adopted by the Commission, and of the guidelines and recommendations issued by the Authority and proposing amendments where appropriate, including to remove redundant or obsolete reporting requirements and minimise costs;’;
2.in Article 30(3), the following point (e) is added:
‘(e) the effectiveness of national reporting requirements and the degree of convergence of such requirements with the ones set out in Union law.’;
3.in Article 35, paragraph 4 is replaced by the following:
‘4. Before requesting information in accordance with this Article and in order to avoid the duplication of reporting obligations, the Authority shall take account of information collected by other authorities referred to in Article 35a(1) and any relevant existing statistics produced and disseminated by the European Statistical System and the European System of Central Banks.’;
4.the following Article 35a is inserted:
‘Article 35a
Information exchange between authorities and with other entities
1. The Authority and the competent authorities shall share with other authorities, on a case-by-case or regular basis, information they obtained from financial institutions or other competent authorities in carrying out their duties, when requested by the other European Supervisory Authorities, the ESRB or competent authorities as defined in Article 4, point (2), of this Regulation, in Article 4, point (2), of Regulation (EU) No 1094/2010 or in Article 4, point (3) of Regulation (EU) No 1095/2010, or the authorities defined in Article 2, point (1), of Directive (EU) …/… of the European Parliament and of the Council 18 , provided that the authority requesting that information is, pursuant to Union law, entitled to obtain that same information from financial institutions or other competent authorities. For the purposes of this Article, ‘financial institution’ means a ‘financial institution’ as defined in Article 2, point (a), of Regulation (EU) No 1092/2010.
2. The request for exchange of information shall duly indicate the legal basis under Union law allowing the requesting authority to obtain the information from financial institutions or other competent authorities. The requesting authority and the sharing authority shall be subject to the obligations of professional secrecy and data protection laid down in Articles 70 and 71 and in sectoral legislation applicable to the sharing of data between the financial institution and the requesting authority as well as to the sharing of data between the financial institution and the sharing authority. The sharing authority shall inform each relevant financial institution or other competent authority about such exchange of information without undue delay.
3. Paragraphs 1 and 2 shall also apply to information that the sharing authority has received from a financial institution or another authority referred to in paragraph 1 and upon which the sharing authority has subsequently performed quality checks or which the sharing authority has otherwise processed.
4. For sharing information as referred to in paragraphs 1, 2 and 3, the authorities referred to in paragraph 1 may enter into memoranda of understanding to specify the modalities of the exchange of information. They may also specify arrangements for the sharing of resources for the collection and processing of such shared data.
5. Paragraphs 1 to 4 shall be without prejudice to the protection of intellectual property rights and shall not prevent or restrict the exchange of information between the authorities referred to in paragraph 1 in accordance with provisions in other Union legislation. Where the provisions in this Article conflict with provisions in other Union legislation that regulate the exchange of information between the authorities referred to in paragraph 1, the provisions in such other Union legislation shall prevail.
6. Without prejudice to other obligations laid down in Union law for sharing information, the Authority and the competent authorities shall, upon justified request, share on a case-by-case basis, with the Commission or one of the authorities referred to in paragraph 1, information that financial institutions have reported to them pursuant to their duties under Union law. The Authority and the competent authorities shall transmit that information in a form that does not allow the identification of individual entities and does not contain personal data.
7. The Authority and the competent authorities may grant access to information obtained when carrying out their duties for re-use by financial institutions, researchers and other entities with a legitimate interest in such information for research and innovation purposes, provided that the Authority has ensured that all of the following has been complied with:
(a) the information has been anonymised, in such a manner that the data subject or the financial institution is not or no longer identifiable;
(b) the information has been modified, aggregated or treated by any other method of disclosure control to protect confidential information, including trade secrets or content covered by intellectual property rights.
Information received from another authority shall only be shared with the agreement of the authority that initially obtained the information.’;
5.in Article 54(2), the following indent is added:
‘ — reporting requirements and the collection of information from financial institutions.’;
6.In Article 70, paragraph 3 is replaced by the following:
‘3. Paragraphs 1 and 2 shall not prevent the Authority from exchanging information with competent authorities, other ESAs, the ESRB and the authorities defined in Article 2, point (1), of Directive (EU) …/… 19 – in accordance with this Regulation and with other Union legislation applicable to financial institutions.’.
Article 3 - Amendments to Regulation (EU) No 1094/2010
1.in Article 29(1), point (d) is replaced by the following:
‘(d) reviewing the application of the relevant regulatory and implementing technical standards adopted by the Commission, and of the guidelines and recommendations issued by the Authority and proposing amendments where appropriate, including to remove redundant or obsolete reporting requirements and minimise costs;’;
2.in Article 30(3), the following point (e) is added:
‘(e) the effectiveness of national reporting requirements and the degree of convergence of such requirements with the ones set out in Union law.’;
3.in Article 35, paragraph 4 is replaced by the following:
‘4. Before requesting information in accordance with this Article and in order to avoid the duplication of reporting obligations, the Authority shall take account of information collected by other authorities referred to in Article 35a(1) and any relevant existing statistics produced and disseminated by the European Statistical System and the European System of Central Banks.’;
4.the following Article 35a is inserted:
‘Article 35a
Information exchange between authorities and with other entities
1. The Authority and the competent authorities shall share with other authorities, on a case-by-case or regular basis, information they obtained from financial institutions or other competent authorities in carrying out their duties, when requested by the other European Supervisory Authorities, the ESRB or competent authorities as defined in Article 4, point (2) of this Regulation, in Article 4, point (2), of Regulation (EU) No 1093/2010 or in Article 4, point (3), of Regulation (EU) No 1095/2010, or the authorities defined in Article 2, point (1), of Directive (EU) …/… of the European Parliament and of the Council 20 , provided that the authority requesting the information is, pursuant to Union law, entitled to obtain that same information from financial institutions or other competent authorities. For the purposes of this Article, ‘financial institution’ means a ‘financial institution’ as defined in Article 2, point (a), of Regulation (EU) No 1092/2010.
2. The request for exchange of information shall duly indicate the legal basis under Union law allowing the requesting authority to obtain the information from financial institutions or other competent authorities. The requesting authority and the sharing authority shall be subject to the obligations of professional secrecy and data protection laid down in Articles 70 and 71 and in sectoral legislation applicable to the sharing of data between the financial institution and the requesting authority as well as to the sharing of data between the financial institution and the sharing authority. The sharing authority shall inform each relevant financial institution or other competent authority about such exchange of information without undue delay.
3. Paragraphs 1 and 2 shall also apply to information that the sharing authority has received from a financial institution or another authority referred to in paragraph 1 and upon which the sharing authority has subsequently performed quality checks or which the sharing authority has otherwise processed.
4. For sharing information as referred to paragraphs 1, 2 and 3, the authorities referred to in paragraph 1 may enter into memoranda of understanding to specify the modalities of the exchange of information. They may also specify arrangements for the sharing of resources for the collection and processing of such shared data.
5. Paragraphs 1 to 4 shall be without prejudice to the protection of intellectual property rights and shall not prevent or restrict the exchange of information between the authorities referred to in paragraph 1 in accordance with provisions in other Union legislation. Where the provisions in this Article conflict with provisions in other Union legislation that regulate the exchange of information between the authorities referred to in paragraph 1, the provisions in such other Union legislation shall prevail.
6. Without prejudice to other obligations laid down in Union law for sharing information, the Authority and the competent authorities shall, upon justified request, share on a case-by-case basis with the Commission or one of the authorities referred to in paragraph 1, information that financial institutions have reported to them pursuant to their duties under Union law. The Authority and the competent authorities shall transmit that information in a form that does not allow the identification of individual entities and does not contain personal data.
7. The Authority and the competent authorities may grant access to information obtained when carrying out their duties for re-use by financial institutions, researchers and other entities with a legitimate interest in such information for research and innovation purposes, provided that the Authority has ensured that all of the following has been complied with:
(a) the information has been anonymised, in such a manner that the data subject or the financial institution is not or no longer identifiable;
(b) the information has been modified, aggregated or treated by any other method of disclosure control to protect confidential information, including trade secrets or content covered by intellectual property rights.
Information received from another authority shall only be shared with the agreement of the authority that initially obtained the information. ’;
5.in Article 54(2), the following indent is added:
‘ — reporting requirements and the collection of information from financial institutions.’;
6.in Article 70, paragraph 3 is replaced by the following:
‘3. Paragraphs 1 and 2 shall not prevent the Authority from exchanging information with competent authorities, other ESAs, the ESRB and the authorities defined in Article 2, point (1), of Directive (EU) …/… 21 in accordance with this Regulation and with other Union legislation applicable to financial institutions.’.
Article 4 - Amendments to Regulation (EU) No 1095/2010
1.in Article 29(1), point (d) is replaced by the following:
‘(d) reviewing the application of the relevant regulatory and implementing technical standards adopted by the Commission, and of the guidelines and recommendations issued by the Authority and proposing amendments where appropriate, including to remove redundant or obsolete reporting requirements and minimise costs;’;
2.in Article 30(3), the following point (e) is added:
‘(e) the effectiveness of national reporting requirements and the degree of convergence of such requirements with the ones set out in Union law.’;
3.in Article 35, paragraph 4 is replaced by the following:
‘4. Before requesting information in accordance with this Article and in order to avoid the duplication of reporting obligations, the Authority shall take account of information collected by other authorities referred to in Article 35a(1) and any relevant existing statistics produced and disseminated by the European Statistical System and the European System of Central Banks.’;
4.the following Article 35a is inserted:
‘Article 35a
Information exchange between authorities and with other entities
1. The Authority and the competent authorities shall share with other authorities, on a case-by-case or regular basis, information they obtained from financial institutions or other competent authorities in carrying out their duties, when requested by the other European Supervisory Authorities, the ESRB or competent authorities as defined in Article 4, point (3) of this Regulation, in Article 4, point (2), of Regulation (EU) No 1093/2010 or in Article 4, point (2), of Regulation (EU) No 1094/2010, or the authorities defined in Article 2, point (1), of Directive (EU) …/… of the European Parliament and of the Council 22 , provided that the authority requesting that information is, pursuant to Union law, entitled to obtain that same information from financial institutions or other competent authorities. For the purposes of this Article, ‘financial institution’ means a ‘financial institution’ as defined in Article 2, point (a), of Regulation (EU) No 1092/2010.
2. The request for exchange of information shall duly indicate the legal basis under Union law allowing the requesting authority to obtain the information from financial institutions or other competent authorities. The requesting authority and the sharing authority shall be subject to the obligations of professional secrecy and data protection laid down in Articles 70 and 71 and in sectoral legislation applicable to the sharing of data between the financial institution and the requesting authority as well as to the sharing of data between the financial institution and the sharing authority. The sharing authority shall inform each relevant financial institution or other competent authority about such exchange of information without undue delay.
3. Paragraphs 1 and 2 shall also apply to information that the sharing authority has received from a financial institution or another authority referred to in paragraph 1 and upon which the sharing authority has subsequently performed quality checks or which the sharing authority has otherwise processed.
4. For sharing information as referred to in paragraphs 1, 2 and 3, the authorities referred to in paragraph 1 may enter into memoranda of understanding to specify the modalities of the exchange of information. They may also specify arrangements for the sharing of resources for the collection and processing of such shared data.
5. Paragraphs 1 to 4 shall be without prejudice to the protection of intellectual property rights and shall not prevent or restrict the exchange of information between the authorities referred to in paragraph 1 in accordance with provisions in other Union legislation. Where the provisions in this Article conflict with provisions in other Union legislation that regulate the exchange of information between the authorities referred to in paragraph 1, the provisions in such other Union legislation shall prevail.
6. Without prejudice to other obligations laid down in Union law for sharing information, the Authority and the competent authorities shall, upon justified request, share on a case-by-case basis with the Commission or one of the authorities referred to in paragraph 1, information that financial institutions have reported to them pursuant to their duties under Union law. The Authority and the competent authorities shall transmit that information in a form that does not allow the identification of individual entities and does not contain personal data.
7. The Authority and the competent authorities may grant access to information obtained when carrying out their duties for re-use by financial institutions, researchers and other entities with a legitimate interest in such information for research and innovation purposes, provided that the Authority has ensured that all of the following has been complied with:
(a) the information has been anonymised, in such a manner that the data subject or the financial institution is not or no longer identifiable;
(b) the information has been modified, aggregated or treated by any other method of disclosure control to protect confidential information, including trade secrets or content covered by intellectual property rights.
Information received from another authority shall only be shared with the agreement of the authority that initially obtained the information.’;
5.in Article 54(2), the following indent is added:
‘ — reporting requirements and the collection of information from financial market participants.’;
6.in Article 70, paragraph 3 is replaced by the following:
‘3. Paragraphs 1 and 2 shall not prevent the Authority from exchanging information with competent authorities, other ESAs, the ESRB and the authorities defined in Article 2, point (1), of Directive (EU) …/… 23 in accordance with this Regulation and with other Union legislation applicable to financial market participants.’
Article 5 - Amendments to Regulation (EU) 2021/523
‘4. Once a year, each implementing partner shall submit a report to the Commission on the financing and investment operations covered by this Regulation, broken down by EU compartment and Member State compartment, as appropriate. Each implementing partner shall also submit information on the Member State compartment to the Member State whose compartment it implements. The report shall include an assessment of compliance with the requirements on the use of the EU guarantee and with the key performance indicators laid down in Annex III to this Regulation. The report shall also include operational, statistical, financial and accounting data on each financing or investment operation and an estimation of expected cash flows, at the level of compartment, policy window and the InvestEU Fund. The report from the EIB Group and, where appropriate, from other implementing partners, shall also include information on barriers to investment encountered when carrying out financing and investment operations covered by this Regulation. The reports shall contain the information the implementing partners have to provide under point (a) of Article 155(1) of the Financial Regulation.’
Article 6 - Entry into force
This Regulation shall be binding in its entirety and directly applicable in all Member States.