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
RTS/ITS
Level 2
Initiator
EBA
Submitted
04.06.2020
Doc. code
EBA/RTS/2020/11
Summary
Status
Status
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Current version
Final version
Next step
Entry into force and application
In force
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To be applied
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Scope
Relevant for
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Associated initiatives
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)
Adjustments of the K factor (K-DTF)
(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)