Survey replies of 24 national AML supervisors and 28 prudential supervisors in the context of the cum-ex inquiry

The request was successful.

Dear European Banking Authority,
dear Mr. Campa,

Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I am requesting documents which contain the following information:

Survey replies of 24 national AML supervisors and 28 prudential supervisors in the context of the cum-ex inquiry as mentioned in point 9 and point 10 of the report of 12 May 2020.

(https://eba.europa.eu/sites/default/docu...)

In cooperation,
Sven Giegold

EBA -AtD, European Banking Authority

Dear Mr Giegold,

Thank you for your communication, which we acknowledge receipt of. We will be reverting within due course, pursuant to Regulation (EC) 1049/2001.

Kind regards,

Legal Unit

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EBA -AtD, European Banking Authority

Dear Mr Giegold

We refer to your application of 21 July 2020 for access to the "survey replies of 24 national AML supervisors and 28 prudential supervisors in the context of the cum-ex inquiry as mentioned in point 9 and point 10 of the report of 12 May 2020."

In view of the large number of survey replies from the many supervisors involved, we wish to notify you under Article 7(3) of Regulation (EC) No 1049/2001 that the EBA is extending by fifteen working days the current time-limit of 11 August 2020 for responding to your application. Accordingly we will be responding to you by Tuesday 1 September 2020.

Yours sincerely,

EBA Legal Unit

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Cian Carroll, European Banking Authority

Dear Mr Giegold,

We refer to your request of 21 July for access to documents containing the survey replies of 24 national AML supervisors and 28 prudential supervisors in the context of the cum-ex inquiry as mentioned in point 9 and point 10 of the EBA’s report of 12 May 2020.

On 10 August we informed you that in view of the large number of survey replies from the many supervisors involved, the EBA would respond to the request by Tuesday 1 September. However, we require more time to ensure that our response is made fully in line with the substantive requirements of Regulation (EC) No 1049/2001. This is in light of the large number of survey replies and the EBA’s obligation to consult all 24 AML and 28 prudential supervisors pursuant to the Regulation being made more challenging given the request and consultation overlap with vacation periods for all parties across EU Member States.

We appreciate that our response will be later than envisaged, and we trust in your understanding that the EBA is committed to ensuring your request is fully addressed in line with Union law. We aim to provide you our response by Wednesday 14 October 2020.

Yours sincerely

EBA Legal Unit

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EBA -AtD, European Banking Authority

29 Attachments

Dear Mr Giegold,

In response to your request the EBA is providing you with the attached documentation.

Subject to limited redactions mentioned below, the attached spreadsheet contains the full replies to the survey mentioned in point 9 of the report of 12 May 2020. For your assistance we also attach the pdf questionnaire used for the purpose of that survey.

Subject to limited redactions mentioned below, the other attachments contain the full replies to the survey mentioned in point 10 of the report of 12 May 2020. Each of those documents contains the questions asked in that survey as well as the replies from the authority concerned to those questions.

The EBA has made the following redactions in respect of the documentation which is the subject matter of your request:

• The identities of individuals have been redacted based on Article 1(b) of Regulation (EC) No 1049/2001.

• Based on a request from the ACPR in France in accordance with Article 4(5) of Regulation (EC) No 1049/2001 the EBA has redacted two consecutive sentences in section 2a in the attached document named ‘Cum-Ex questionnaire – prudential – response FR AtD’ for the following reasons. Firstly the information is covered by obligations of professional secrecy. Secondly disclosure of the information would undermine the protection of commercial interests contrary to the first indent in Article 4(2) of Regulation (EC) No 1049/2001 . Thirdly non-disclosure is appropriate in order to protect the ACPR’s confidential supervisory actions in a particular case in accordance with Article 4(2) of Regulation (EC) No 1049/2001 concerning the protection of the purpose of inspections, investigations and audits.

• Based on a request from Finantsinspektsioon in Estonia in accordance with Article 4(5) of Regulation (EC) No 1049/2001 we are not disclosing that authority’s responses to the surveys mentioned in points 9 and 10 on grounds of professional secrecy as they are considered to comprise confidential supervisory information.

Should you not be satisfied with our reply, you may consider your right to a confirmatory application under Regulation (EC) No 1049/2001.

Yours sincerely,

EBA Legal Unit

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