Discussion Paper on a new prudential regime for Investment Firms (EBA-DP-2016-02).pdf
Discussion Paper on a new prudential regime for Investment Firms (EBA-DP-2016-02)
Discussion Paper on a new prudential regime for Investment Firms (EBA-DP-2016-02)
The aim of this discussion paper is to develop a single, harmonised set of requirements that are reasonably simple, proportionate, and more relevant to the nature of investment business. The focus is on risks that investment firms pose to customers and to market integrity and liquidity.
The European Banking Authority (EBA) launched today a consultation in response to the European Commission's call for technical advice on the design of a new prudential regime for investment firms, which is specifically tailored to the needs of investment firms’ different business models and inherent risks. The aim of this work is to develop a single, harmonised set of requirements that are reasonably simple, proportionate, and more relevant to the nature of investment business. The consultation runs until 2 February 2017.
Opinion of the European Banking Authority on the First Part of the Call for Advice on Investment Firms (EBA-Op-2016-16)
The European Banking Authority (EBA) responded today to the European Commission’s call for technical advice on the criteria to identify the class of investment firms for which the prudential regime laid down in the Capital Requirements Directive (CRD) and Capital Requirements Regulation (CRR) is applicable. In general, the EBA recommends that only those investment firms that are currently identified as Other Systemically Important Institutions (OSIIs) remain subject to the full CRD/CRR regime.
Data Collection Q&As
The European Banking Authority (EBA) launched today a data collection aimed at supporting the response to the European Commission's Call for Advice on a new prudential framework for MifiD (Markets in Financial Instruments Directive) investment firms, which should be less complex, more risk sensitive and more proportionate than the current regime.
EBA Data Collection UCITS AIFMD
EBA Data Instructions MiFID IFs
EBA Data Instructions UCITS AIFMD
EBA Data Collection MiFID IFs
Call for advice to the EBA for the purposes of the report on the prudential requirements
applicable to investment firms
Letter to the EBA for the purposes of the report on the prudential requirements applicable to investment firms
CfA Investment firms
The European Banking Authority (EBA) published today its report in response to the European Commission’s call for advice on the suitability of certain aspects of the prudential regime for investment firms. This report, done in consultation with the European Securities Market Authority (ESMA), presents the EBA’s findings and lists a series of recommendations aiming to provide a more proportionate and less complex prudential regime for investment firms, based on appropriate risk sensitivity parameters.
EBA-Op-2015-20 Report on investment firms