244. The table below presents a non-exhaustive list of supervisory measures that competent …

The table below presents a non-exhaustive list of supervisory measures that competent authorities may take in case of identified deficiencies in the institution’s operational risk management framework and operational resilience (taking into account the close interconnection of operational resilience and operational risk management). Competent authorities should decide on the type of the measure based on its effectiveness to the specific identified deficiency. Competent authorities may apply additional supervisory measures (including quantitative measures in accordance with Article 104(1)(a) of the Directive 2013/36/EU) or a combination of these with the ones listed in the table below, if these are deemed more appropriate to address the identified deficiencies. For breaches of DORA, the competent authorities should consider the applicable corrective and remedial measures provided in Article 50 of DORA.

Table 11. Potential and non-exhaustive list of supervisory measures stemming from the assessment of operational risk and operational resilience Potential supervisory measures for competent authorities in accordance with Article 104(1), points (b), (d), (e), (f), (j), (l), (m), and (n) of Directive 2013/36/EU and Article 50 of Regulation (EU) 2022/2554 – Competent authorities may require the institution to: A. involve the management body or its committees more actively in operational risk management decisions; B. improve operational risk measurement systems; C. strengthen controls on operational processes, including identification, monitoring, response and recovery; D. improve the operational governance framework; E. enhance operational risk reporting to the management body and senior management; F. develop and implement corrective action plans to address deficiencies; G. limit certain third-party arrangements, in particular for critical or important functions; H. enhance stress testing and scenario analysis of operational risk; I. implement stronger operational measures; J. enhance business continuity, response and recovery plans; K. enhance operational risk management related to ESG risks, in particular environmental risks, potentially based on one or several actions listed above.

1. Übersicht

1.1 Referenzen

• Artikel 50 Verwaltungsrechtliche Sanktionen und Abhilfemaßnahmen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Standards

2. Identifizierte Anforderungen

3. Zugehörige Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/