Investment firms regulation (IFR)

Topic area:

Status: 04.12.2020 |

Key words:

Official name

REGULATION (EU) 2019/2033 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014 (IFR)

Type

Regulation

Level 1

Initiator

Submitted

04.11.2016

Doc. code

2019/2033

Summary

Status

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Current version

Final version

27.11.2019

Next step

Entry into force

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Application date

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Scope

Relevant for

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Level 1

CRR (binding, Main version, EU)

SRM (binding, Main version, EU)

MiFIR (binding, Main version, EU)

Amending certain regulations with respect to the establishment and operation of ESAPs (binding, Amendment, EU)

Level 2

Technical standards on reporting and disclosures for investment firms (binding, Supplement, EU)

Regulation on disclosure of investment policy by investment firms (binding, Supplement, EU)

Implementing decision on the prudential supervision of investment firms (binding, Amendment, NL)

Amendment of the Credit Institutions Risk Management Regulation (KI-RMV) (binding, Amendment, AT)

Regulation specific provisions IFR and IFD (binding, NL)

Implementation decree on prudential supervision of investment firms (binding, Amendment, NL)

Amendment of the regulation on reporting requirements for financial Institutions (binding, Amendment, NL)

RTS regarding thresholds for credit institutions (binding, Supplement, EU)

Determination of the methods for measuring the K-factors in the IFR (binding, Supplement, EU)

Clarification of the concept of separate accounts with the aim of protecting client funds in the event of the failure of an investment firm (binding, Supplement, EU)

Adjustments of the K factor (K-DTF) (binding, Supplement, EU)

Determination of the amount of the total margin for the calculation of the K-factor (binding, Supplement, EU)

Options and discretions concerning IFR and IFD: ILAAP/ICAAP regulation, delta formulas and the group capital criterion - Regeling ICLAAP, deltaformules en het groepskapitaalcriterium (binding, Amendment, NL)

RTS/ITS for the reporting of information in accordance with MiFIR by third country providers (binding, EU)

Securities Company Ordinance (WPFV) (binding, Supplement, AT)

Pillar 2 add-ons for investment firms under IFD (binding, Supplement, EU)

RTS for own funds requirements for investment firms based on fixed overheads (binding, Supplement, EU)

RTS on the scope and methods of consolidation of an investment firm group (binding, Supplement, EU)

Level 3 / Other

Approach on MIFIR tick-size regime for SIs in view of Covid-19 Pandemic (non-binding, EU)

Roadmap on Investment Firms (non-binding, EU)

Information sheet on the granting of a banking licence to investment firms under IFR/IFD (binding, NL)

FINREP Taxonomy Specifications 3.0.0 (binding, NL)

FAQ on new requirements for investment firms (IFD, IFR, WpIG) (binding, DE)

Additional instruments qualifying as own funds under the IFR (binding, EU)

Clarification on the implementation of the new prudential regime for investment firms (non-binding, EU)

Guidelines on liquidity requirements exemption for investment firms (binding, EU)

Update on the data collection of high earners (binding, EU)

Design of the reporting procedure for reports according to the IFR (binding, DE)

The role of environmental risks in the prudential framework (non-binding, EU)

EBA - Final Q&A: IFR - K-factor requirements (binding, EU)

Implementation of criteria for exemption from liquidity requirements (binding, DE)

Call for advice to EBA and ESMA in relation to the prudential requirements applicable to investment firms (non-binding, EU)

EBA Final Q&A: IFR - Concentration risk (binding, EU)

EBA Final Q&A: IFR - Capital requirements (binding, EU)

EBA Final Q&A: IFR - Liquidity risk (binding, Supplement, EU)

Guidelines on the application of the group capital test for investment firm groups under the IFR (binding, Supplement, EU)

EBA - FINAL Q&A: IFR - Prudential consolidation (binding, Supplement, EU)

Source: EU, 2019/2033, 2019