AMLR, Artikkel 13, DE
1. Any employee, or person in a comparable position, including agents and distributors, directly participating in the obliged entity’s compliance with this Regulation, Regulation (EU) 2023/1113 and any administrative act issued by any supervisor, shall undergo an assessment commensurate with the risks associated with the tasks performed and whose content is approved by the compliance officer of:
(a)
individual skills, knowledge and expertise to carry out their functions effectively;
(b)
good repute, honesty and integrity.
The assessment referred to in the first subparagraph shall be performed prior to taking up of activities by the employee or person in a comparable position, including agents and distributors, and shall be regularly repeated. The intensity of the subsequent assessments shall be determined on the basis of the tasks entrusted to the person and risks associated with the function they perform.
2. Employees, or persons in comparable positions, including agents and distributors, entrusted with tasks related to the obliged entity’s compliance with this Regulation, Regulation (EU) 2023/1113 and any administrative act issued by any supervisor, shall inform the compliance officer of any close private or professional relationship established with the obliged entity’s customers or prospective customers and shall be prevented from undertaking any tasks related to the obliged entity’s compliance in relation to those customers.
3. Obliged entities shall have in place procedures to prevent and manage conflicts of interest that may affect the carrying out of tasks related to the obliged entity’s compliance with this Regulation, Regulation (EU) 2023/1113 and any administrative act issued by any supervisor.
4. This Article shall not apply where the obliged entity is a natural person or a legal person whose activities are performed by one natural person only.
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