Guidelines on internal governance for investment firms

  • Status: Final and translated into the EU official languages

The Guidelines on internal governance under the Investment Firms Directive (IFD) specify the governance provisions that Class 2 investment firms should comply with, taking into account the proportionality principle. This governance framework aims at ensuring that investment firms have a clear organisational structure, effectively manage their risks and have adequate internal control mechanisms in place.

Summary of document history

Previous versions Current version Ongoing versions

Final report on Guidelines on internal governance for investment firms

  • Status: In force
  • Application date:
  • Compliance deadline:
Documents
Final Report on Guidelines on internal governance for investment firms

(834.32 KB - PDF) Last update 17 December 2021

EBA GL 2021 14 - GLs on internal governance for investment firms.xlsx

(51.29 KB - Excel Spreadsheet) Last update 17 October 2023

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