Page 43 - 期货和衍生品行业监管动态（2024年11月）

期货和衍生品行业监管动态

并促进监管机构之间的信息交流。

这些联合指南适用于欧盟金融监管体系内的监管机构，主要聚焦于两个关键

领域：

? 适格评价信息系统的使用

? 在进行适格评价时，监管机构之间的信息交流与合作

背景信息

对董事会成员、关键职能人员以及合格持股人的适格评价，对于促进金融机

构的安全稳健管理至关重要，是确保欧盟金融领域消费者与投资者保护及对欧盟

金融部门信任的基础。这些评价是监督金融机构和金融市场参与者的授权和治理

流程的重要监管工具，有助于持续进行有效的监管。

The European Supervisory Authorities (EBA, EIOPA, ESMA – ESAs) Publish

Joint Guidelines on the System for the Exchange of Information Relevant to Fit
and Proper Assessments (2024/11/20)

To enhance the information exchange between supervisory authorities within the

European Union, also across different parts of the financial sector, the ESAs have

developed an ESAs F&P Information System. The Joint Guidelines clarify its use and

how data can be exchanged.

The Joint Guidelines aim to ensure consistent and effective supervisory practices

within the European System of Financial Supervision (ESFS) and facilitate

information exchange between supervisors.

These Joint Guidelines apply to competent authorities within the ESFS and focus

on two main areas:

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