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EBA publishes the methodology for investment firms to be reclassified as credit institutions
The European Banking Authority (EBA) published today a package of two final draft regulatory technical standards (RTS) regarding the reclassification of investment firms as credit institutions. These final draft RTS, which are part of the EBA’s roadmap for the implementation of a new prudential regime for investment firms, will provide clarity in the calculation of the EUR 30 bn threshold for investment firms looking to understand whether they should be applying for authorisation as a credit institution, as well as assist competent authorities in the monitoring of firms’ position triggering a reclassification.
Final report on draft RTS on EUR 30bn threshold methodology.pdf
Final draft RTS on reclassification of investment firms as credit institutions
RTS on threshold monitoring - Annex 3 - Validation rules and DPM.pdf
RTS on threshold monitoring - Annex 3 - Validation rules and DPM
Final Report on the RTS on threshold monitoring.pdf
Final draft RTS on provision of information for the effective monitoring of credit institution thresholds
RTS on threshold monitoring - Annex 1 - Templates.xlsx
RTS on threshold monitoring - Annex 1 - Templates
RTS on threshold monitoring - Annex 2 - Instructions.pdf
RTS on threshold monitoring - Annex 2 - Instructions
EBA consults on liquidity requirements for investment firms
The European Banking Authority (EBA) launched today a public consultation on its draft Regulatory Technical Standards (RTS) on specific liquidity measurement requirements for investment firms and draft Guidelines on liquidity requirements exemptions for small and non-interconnected investment firms. The draft RTS and draft Guidelines aim to ensure consistent supervisory practices with regards to the application of liquidity requirements for investment firms across all EU Member States. The consultations run until 10 March 2022.
Guidelines on liquidity requirements exemption for investment firms
Regulatory Technical Standards on the specific liquidity measurement for investment firms
CP on draft RTS on specific liquidity risk measurement.pdf
Consultation paper on draft RTS on the specific liquidity measurement for investment firms
CP o draft Guidelines on liquidity requirements exemption for investment firms.pdf
Consultation paper on draft Guidelines on liquidity requirements exemption for investment firms
Final Report on GL on sound remuneration policies under IFD.pdf
Final Report on Guidelines on remuneration policies for investment firms
Final Report on GL on internal governance under IFD.pdf
Final Report on Guidelines on internal governance for investment firms
EBA publishes its final Guidelines on remuneration for investment firms under the Investment Firms Directive
The European Banking Authority (EBA) published today its revised Guidelines on sound remuneration policies for investment firms under the Investment Firms Directive (IFD).
EBA publishes final draft regulatory technical standards on disclosure of investment policy by investment firms
The European Banking Authority (EBA) published today new regulatory technical standards (RTS) on disclosure of investment policy by investment firms. The final draft RTS put forward comparable disclosures that should help stakeholders understand investment firms’ influence over the companies in which they hold voting rights and the impact of investment firms’ policies on aspects such as the governance or management of those companies.
Consultation on draft RTS on the reclassification of investment firms as credit institutions
Final report on Guidelines on internal governance under CRD.pdf
Final report on Guidelines on internal governance under CRD
EBA OP 2021 08 - EBA Opinion on no action regarding prudential requirements for certain investment firms.pdf
Opinion on appropriate supervisory and enforcement practices for the process of authorising investment firms as credit institutions
EBA provides clarification on the implementation of the new prudential regime for investment firms
The European Banking Authority (EBA) published today an Opinion to ease the implementation of the Investment Firms Regulation (IFR) and Investment Firms Directive (IFD), which entered into force on June 26. The IFR/IFD classify investment firms according to their business model and size, the latter of which is benchmarked on various threshold. For the vast majority of investment firms, sufficient clarity already exists with regards to the prudential regime, which applies to them. However, in a few cases, especially for investment firms of third country groups, the Opinion provides guidance on the actions to be taken in case of uncertainty on whether these investment firms should apply for an authorisation as a credit institution in the absence of the delegated act establishing the methodology for the calculation of the highest threshold (the EUR 30bn threshold), on which the EBA has currently opened a second public consultation.