RTS related to implementation of a new prudential regime for investment firms

Official name

Final report - Draft regulatory technical standards related to the implementation of a new prudential regime for investment firms on:
- the information for the authorisation of credit institutions under point(a) of Article 8a(6) of Directive 2013/36/EU
- the prudential requirements for investment firms under Articles 7(5), 9(4) and 13(4), point (a) to (c) of Article 15(5), and Article 23(3) of Regulation (EU) 2019/2033
- the prudential requirements for investment firms under Article 5(6) of Directive (EU) 2019/2034

Type

RTS/ITS

Level 2

Initiator

EBA

Submitted

04.06.2020

Doc. code

EBA/RTS/2020/11

Summary

Status

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Current version

Final version

16.12.2020

Next step

In force

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To be applied

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Scope

Relevant for

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Level 1

CRD IV (binding, Main version, EU)

Investment firms regulation (IFR) (binding, Main version, Amendment, EU)

Investment firm directive (IFD) (binding, Main version, Amendment, EU)

Level 2

RTS specifying the criteria for subjecting certain investment firms to the requirements of the CRR (binding, EU)

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

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

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

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

Corporate information in the application for authorisation as a credit institution (binding, Supplement, EU)

Level 3 / Other

Roadmap on Investment Firms (non-binding, EU)

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