Regulatory Technical Standards on prudential requirements for investment firms

  • Status: Final draft RTS/ITS adopted by the EBA and submitted to the European Commission

These draft Regulatory Technical Standards (RTS) on prudential requirements include a draft RTS on the reclassification of certain investment firms to credit institutions, five draft RTS on capital requirements for investment firms at solo level, and one draft RTS on the scope and methods of prudential consolidation for investment firms at group level.

Summary of document history

Current version Ongoing review

Draft Regulatory Technical Standards on prudential requirements for investment firms

  • Status: Not yet applicable
  • Application date:
  • Compliance deadline:
Documents
Regulatory Technical Standards on the scope and methods of consolidation of an investment firm group

(725.1 KB - PDF) Last update 12 May 2023

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Final draft RTS on reclassification of investment firms as credit institutions

(579.56 KB - PDF) Last update 20 December 2021

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Final draft RTS on provision of information for the effective monitoring of credit institution thresholds

(389.05 KB - PDF) Last update 20 December 2021

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RTS on threshold monitoring - Annex 1 - Templates

(22.09 KB - Excel Spreadsheet) Last update 20 December 2021

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RTS on threshold monitoring - Annex 2 - Instructions

(240.21 KB - PDF) Last update 20 December 2021

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RTS on threshold monitoring - Annex 3 - Validation rules and DPM

(103.54 KB - PDF) Last update 20 December 2021

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Data collection for draft RTS on EUR 30bn threshold methodology

(174.18 KB - Excel Spreadsheet) Last update 7 June 2021

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Franca Rosa Congiu