Article 9
Preparation phase
1. A financial entity identified pursuant to Article 26, paragraph 8, third subparagraph of Regulation (EU) 2022/2554 shall initiate a TLPT following a notification from the TLPT authority that a TLPT is to be carried out.
2. A financial entity shall, within 3 months from having received the notification referred to in paragraph 1, submit to the test managers all of the following TLPT initiation information:
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(a) |
a project charter including a high-level project plan, containing the information set out in Annex I; |
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(b) |
the contact details of the control team lead; |
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(c) |
information on the intended use of internal or external testers or both, where relevant as detailed in Article 15; |
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(d) |
information on the communication channels to be used during the TLPT; |
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(e) |
the code name for the TLPT. |
3. Where the information referred to in paragraph 2, points (a) to (e), is complete and ensures the suitability and effective performance of the TLPT, the TLPT authority shall validate the TLPT initiation information of the financial entity and notify the financial entity thereof.
4. Following the validation of the TLPT initiation information by the TLPT authority, the financial entity shall set up a control team to support the control team lead in its tasks of:
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(a) |
specifying communications channels and processes within the control team, with the testers and the threat intelligence providers in all matters related to the TLPT; |
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(b) |
informing the management body of the financial entity about the progress of the TLPT and the associated risks; |
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(c) |
taking decisions based on subject matter expertise throughout the TLPT; |
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(d) |
executing the TLPT in compliance with this Regulation; |
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(e) |
selecting the threat intelligence provider for the TLPT; |
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(f) |
selecting the external testers, the internal testers or both; |
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(g) |
preparing the scope specification document. |
5. Where the TLPT authority considers that the initial composition of the control team and any subsequent changes to it are adequate for the performance of the tasks referred to in paragraph 4, the TLPT authority shall validate the control team and notify the control team lead thereof.
6. The financial entity shall submit a scope specification document containing all information set out in Annex II to the test managers within 6 months from the receipt of the notification from the TLPT authority referred to in paragraph 1. The management body of the financial entity shall approve the scope specification document.
7. Financial entities shall consider the following criteria for the inclusion of critical or important functions into the scope of the TLPT:
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(a) |
the criticality or importance of the function and its possible impact on the financial sector and on financial stability at Union and national level; |
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(b) |
the importance of the function for the day-to-day business operations of the financial entity; |
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(c) |
the exchangeability of the function; |
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(d) |
the interconnectedness with other functions; |
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(e) |
the geographical location of the function; |
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(f) |
the sectoral dependence of other entities on the function; |
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(g) |
where available, threat intelligence concerning the function. |
8. The control team shall share the TLPT initiation information and the scope specification document with the testers and threat intelligence providers once those are contracted. The control team shall inform the testers and threat intelligence providers about the testing process to be followed.
9. The financial entity shall ensure that the procurement or assignment of testers and threat intelligence providers is completed prior to the initiation of the testing phase.
10. Prior to the initiation of the testing phase, the control team shall consult the test managers on the TLPT risk assessment and on the risk management measures. The control team shall review the risk assessment or the risk management measures where the TLPT authority is of the opinion that they do not adequately address the risks of the TLPT.
11. The control team shall assess the compliance of threat intelligence providers and testers they consider involving in the TLPT with the requirements laid down in Article 27 of Regulation (EU) 2022/2554 and with Article 7(1) of this Regulation, and document the outcome of that assessment. The control team shall select threat intelligence providers in accordance with that assessment and with its risk management practices. Prior to contracting the selected threat intelligence providers and external testers, the control team shall provide to the test managers evidence of compliance of those threat intelligence providers and testers with the requirements laid down in Article 27 of Regulation (EU) 2022/2554 and with Article 7(1) of this Regulation. The control team shall not proceed with contracting the selected threat intelligence providers and external testers where the TLPT authority is of the opinion that the selected threat intelligence providers and external testers do not comply with the requirements laid down in Article 27 of Regulation (EU) 2022/2554, or with the requirements laid down in Article 7(1) of this Regulation or with additional requirements stemming from national security legislations in accordance with Union law, or where the financial entity does not comply with Article 7(2), first subparagraph, of this Regulation, or where the circumstances referred to in Article 7(2), second subparagraph, of this Regulation are not met.
12. Where the scope specification document is complete and ensures the performance of an appropriate and effective TLPT, the TLPT authority shall approve that document and inform the control team lead thereof.