ANNEX

Recipient authority or body Description and legal basis European Commission Article 32 of the SSMR (1) The European Banking Authority (EBA), European Securities and Markets Authority, European Insurance and Occupational Pensions Authority, European Systemic Risk Board Article 53(2) of the CRD (2) in conjunction with Article 35(1) of the EBA Regulation (3) or Article 80 of the CRR (4), Article 15 of the ESRB Regulation (5) Article 9a of the EBA Regulation National prudential supervisory authorities in the European Union and European Economic Area (EEA) regarding qualifying holding and licensing procedures or other procedures referred to in the relevant legislation Article 56 and Articles 16(3), 24(2), 50(4) of the CRD and equivalent provisions in Union law, in particular Articles 26 and 60 in Solvency II (6) and Articles 11 and 84 of MiFID (7) National competent and resolution authorities that participate in a prudential college under the CRD, or in arrangements under FICOD or crisis management groups This category covers the exchange of information within prudential colleges under the CRD and the FICOD and crisis management groups as well as the non-discretionary annual updates and termination of written coordination and cooperation arrangements, coordination arrangements under FICOD and cooperation arrangements for crisis management groups Article 116 of the CRD for written coordination and cooperation arrangements; Article 11 of FICOD (8) for financial conglomerate arrangements; Articles 90, 97 and 98 of the BRRD (9) for cooperation arrangements related to crisis management groups; Articles 88 and 90 of the BRRD for resolution college written arrangements. Authorities that are part of an AML/Countering the Financing of Terrorism (CFT) college Article 117(5) of the CRD (for AML/CFT supervisory authorities and financial intelligence units and terms of participation concluded for the specific AML/CFT college). For exchange of information with other types of authorities participating in the college, the legal basis may differ (note: the AML/CFT colleges are regulated by joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 of the European Parliament and of the Council (10) between competent authorities supervising credit and financial institutions and other parties; those guidelines are not addressed to the ECB). AML/CFT supervisory authorities that signed the Multilateral Agreement on the practical modalities for exchange of information pursuant to Article 57a(2) of Directive (EU) 2015/849 (hereinafter the ‘AML Agreement’) Article 117(5) of the CRD, Article 3(4) and (5) of the AML Agreement AML/CFT supervisory authorities and financial intelligence units of Member States Article 117(5) of the CRD and EBA Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU (EBA/GL/2021/15) (11) National market authorities in the Union and EEA Article 56 of the CRD National insurance supervisors in the Union and EEA Article 56 of the CRD Deposit guarantee schemes, contractual or institutional protection schemes, competition authorities Article 56 of the CRD, or national law requiring an opinion from the prudential supervisor National resolution authorities in the Union and EEA Article 56 of the CRD National macroprudential supervisors for tasks outside the scope of Article 5 of the SSMR Article 56 of the CRD Statutory auditors of significant institutions Article 56(f) of the CRD EBA Guidelines on communication between competent authorities supervising credit institutions and the statutory auditor(s) and the audit firm(s) carrying out the statutory audit of credit institutions (EBA/GL/2016/05) (12) National authorities responsible for the supervision of financial markets if designated under Article 24(1) in connection with Article 24(4)(h) of Directive 2004/109/EC of the European Parliament and of the Council (13) (accounting enforcers) Article 56 of the CRD National authorities responsible for oversight of persons charged with carrying out statutory audits of the accounts of institutions, insurance undertakings and financial institutions (audit enforcers) Article 57 of the CRD National authorities responsible for oversight of the bodies involved in the liquidation and bankruptcy of institutions and in other similar procedures Article 57 of the CRD National authorities responsible for oversight of contractual or institutional protection schemes as referred to in Article 113(7) of the CRR Article 57 of the CRD National authorities or bodies legally responsible for the detection and investigation of breaches of company law Article 57 of the CRD National authorities responsible for overseeing payment systems Article 58 of the CRD International bodies (the International Monetary Fund, the World Bank, the Bank of International Settlements, the Financial Stability Board) Article 58a of the CRD, with the exception of data sharing (e.g. Implementing Technical Standards modules) for stress tests Prudential supervisory authorities in third countries Article 55 of the CRD Exchange of information in accordance with arrangements (memoranda of understanding (MoUs), written coordination and cooperation arrangements (WCCAs), institution-specific cross-border cooperation agreements (CoAgs) developed by crisis management groups (CMGs), resolution written arrangements (WAs) etc.) or ad hoc agreements National market, insurance, or similar authorities in third countries Article 55 of the CRD and applicable arrangements (MoUs, WCCAs, CoAgs, resolution WAs etc.) or ad hoc agreements AML/CFT supervisory authorities and financial intelligence units in third countries Article 55 of the CRD and, where relevant, MoUs or other cooperation arrangements Resolution authorities in third countries Article 55 of the CRD, Articles 97 and 98 of the BRRD, in connection with applicable arrangements

(1) Council Regulation (EU) No 1024/2013 of 15 October 2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions (OJ L 287, 29.10.2013, p. 63).

(2) Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338) in conjunction with EU implementing regulations.

(3) Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC (OJ L 331, 15.12.2010, p. 12).

(4) Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1).

(5) Regulation (EU) No 1092/2010 of the European Parliament and of the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (OJ L 331, 15.12.2010, p. 1).

(6) Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1).

(7) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).

(8) Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council (OJ L 35, 11.2.2003, p. 1).

(9) Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council (OJ L 173, 12.6.2014, p. 190).

(10) Directive (EU) 2015/849 of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing, amending Regulation (EU) No 648/2012 of the European Parliament and of the Council, and repealing Directive 2005/60/EC of the European Parliament and of the Council and Commission Directive 2006/70/EC (OJ L 141, 5.6.2015, p. 73).

(11) Available on the EBA’s website at www.eba.europa.eu.

(12) Available on the EBA’s website.

(13) Directive 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC (OJ L 390, 31.12.2004, p. 38).