421. Competent authorities should consider the quality of the institution’s processes for …

Competent authorities should consider the quality of the institution’s processes for monitoring the execution of the funding plan and its ability to react to deviations in a timely manner. For this assessment, competent authorities should take into account factors such as:

• a. the quality of the updates to (senior) management regarding the current status of the execution of the funding plan;
• b. whether the funding plan envisages alternative fall-back measures to be implemented if there are changes in the market conditions; and
• c. the policy and practice of the institution regarding the regular review, back-testing, and updating of the funding plan when the actual funding raised significantly differs from the funding plan.

1. Übersicht

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Standards

2. Identifizierte Anforderungen

3. Zugehörige Standards

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