RTS related to implementation of a new prudential regime for investment firms
Initiative
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
- 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
Delegated Regulation
Level 2
Initiator
EBA
Submitted
04.06.2020
Doc. code
EBA/RTS/2020/11
Summary
Status
Status
Get a subscription to have access to the whole content.
Current version
Final version
Next step
Entry into force and application
Entry into force
Get a subscription to have access to the whole content.
Application date
Get a subscription to have access to the whole content.
Scope
Relevant for
Get a subscription to have access to the whole content.
Associated initiatives
Level 1
CRD IV
(binding, Main version, 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, 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)
RTS for own funds requirements for investment firms based on fixed overheads
(binding, Supplement, 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)
Source: EBA, EBA/RTS/2020/11, 2020