Guidelines on the extent of internal policies, procedures and controls (incl. the compliance function)

Ce qu'il couvre

The elements obliged entities take into account, given the nature, risks, complexity and size of their business, when deciding the extent of their internal policies, procedures and controls, in particular the staff allocated to the compliance function, and the situations in which the compliance manager and compliance officer roles may be simplified. Statutory deadline 10 July 2026; AMLA schedules the consultation for Q1 2027 and the final guidelines for Q2 2027 and set up a task force in July 2026. Until then the EBA Guidelines on the role and responsibilities of the AML/CFT compliance officer (EBA/GL/2022/05) remain in force.

Ce que cela signifie en pratique

Recalibrate AML governance: appointment of a compliance manager at management-body level, mandate of the compliance officer, reporting lines and 3LoD; size the compliance function against the guideline once consulted.

Les titres, résumés et notes de version sont la formulation officielle anglaise du registre et restent en anglais dans chaque version linguistique ; les libellés de statut et les dates sont traduits.

Versions et ce qui a changé

1. Document de consultationpas encore disponible
2. Projet finalpas encore disponible
3. Soumis à la Commissionpas encore disponible
4. Publié au Journal officielpas encore disponible

Sources

• EBA - Guidelines on the role and responsibilities of the AML/CFT compliance officer, EBA/GL/2022/05 (14 Jun 2022)
• AMLA - planning of RTS, ITS and Guidelines: Annex XI to the Single Programming Document 2026-2028 (4 Feb 2026)
• AMLA - public summary of the 9th General Board, supervisory composition (1 Jul 2026)
• AMLA - Authority for Anti-Money Laundering

Blocs du cadre concernés

Cet instrument sur le tableau de bord, avec les autres instruments et le cadre: Ouvrir sur le tableau de bord

Autres instruments

• RTS on the assessment of the inherent and residual risk profile of obliged entities (financial sector)Texte final, en attente de publication
• RTS on the selection of obliged entities for direct AMLA supervisionTexte final, en attente de publication
• RTS on pecuniary sanctions, administrative measures and periodic penalty paymentsTexte final, en attente de publication
• RTS on group-wide minimum requirements and additional measures for subsidiaries and branches in third countriesTexte final, en attente de publication
• RTS on the assessment of the inherent and residual risk profile of obliged entities in the non-financial sectorEn consultation
• RTS on the duties of home and host supervisors and the modalities of their cooperationTexte final, en attente de publication

Chaque RTS, orientation et ITS de l'AMLR