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§9 – Compliance with obligation – AML German Version

§9 Compliance with obligation – AML German Version

§9 - Compliance with obligation - AML German Version

§9 – Compliance with obligation – AML German Version

(1) Obliged entities which qualify as parent undertakings of a group have to perform a risk analysis for all undertakings, branches and regional branches which are subject to anti-money laundering obligations. On the basis of this risk analysis, they have to take the following measures on a group-wide basis:

 

§9 – Compliance with obligation – AML German Version – AML German Version

  1. uniform group-wide internal safeguards according to § 6 paragraph 1 and 2;
  2. appointment of an anti-money laundering officer who is responsible for the setting up of a group-wide strategy for prevention of money laundering and terrorist financing and for coordination and supervision of its implementation;
  3. procedures for exchange of information within the group for Prevention of money laundering and terrorist financing, and
  4. arrangements for protection of personal data.

 

§9 – Compliance with obligation – AML German Version

They have to ensure that the obligations and measures as defined in sentences 1 and 2 are implemented in an effective manner by their subordinated undertakings, branches and regional branches to the extent that these are subiect to anti-money laundering obligations.

(2) To’ the extent that undertakings which are part of a group are established in another Member State of the European Union, the parent undertakings have to ensure that these undertakings which are part of the group comply with the national law applicable in this Member State for implementation of Directive (EU) 2015/849.

 

§9 – Compliance with obligation – AML German Version

(3) To the extent that undertakings which are part of a group are established in a third state in which less restrictive requirements with regard to measures for prevention of money laundering and terrorist financing apply, paragraph 1 shall apply to the extent that this is permitted by the law of this third state. To the extent that the measures referred to paragraph 1 may not be performed pursuant to the law of the third state, the parent undertakings are obliged

  1. to ensure that the undertakings which are part of the group and established in this state take additional measures to effectively counter the risk of money laundering and terrorist financing, and
  1. to inform the supervisory authority ofthe measures taken.

 

In the event that the measures taken are insufficient, the supervisory authority shall order the parent undertakings to ensure that no business relationship is established or continued and no transactions are executed by their subordinated undertakings, branches and regional branches in this third state. As far as a business relationship already exists, the parent undertakings has to ensure that this business relationship is terminated by termination or in another way, irrespective of any other statutory or contractual regulations.

 

§9 – Compliance with obligation – AML German Version – Further information

Further information about AML-CFT – German Version you find direct here:

 

§9 – Compliance with obligation – AML German Version

 

§9 – Compliance with obligation – AML German Version

 

Compliance & Geldwäschebeauftragter – §9 – Compliance with obligation – AML German Version

Unsere Praxisseminare Geldwäsche und Fraud – BasisseminarGeldwäsche und Fraud – AufbauseminarGeldwäsche & Fraud – Update und Geldwäsche & Fraud – Forum verschaffen Ihnen einen umfassenden Überblick zu den aktuellen gesetzlichen Neuerungen und unterstützen Sie dabei, Geldwäsche- und Betrugsstrukturen zu erkennen, zu bewerten und rechtzeitig zu verhindern. In den Compliance-Seminaren wie ComplianceCompliance für VertriebsbeauftragteNeue Compliance-Funktion gemäß MaRisk oder auch Compliance im Fokus der Bankenaufsicht werden Ihnen die Ausgestaltung der Schnittstellen zwischen Compliance, Datenschutz, IT, Zentrale Stelle und Interner Revision näher gebracht. Auch die Mindestanforderungen zum Aufbau eines Gesamt-IKS werden hier beispielsweise näher erläutert.

Zudem haben Sie die Chance, nach Teilnahme der Seminare die Zertifizierungslehrgänge zum Compliance Officer, zum AML & Fraud Officer oder zum Geldwäsche-Beauftragter zu absolvieren.

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