14. Competent authorities should ensure that the SREP of an investment firm covers the following …

Competent authorities should ensure that the SREP of an investment firm covers the following components:

• a. categorisation of the investment firm and periodic review of this categorisation;
• b. monitoring of key indicators;
• c. business model analysis (BMA);
• d. assessment of internal governance and firm-wide controls;
• e. assessment of risks to capital;
• f. assessment of risks to liquidity;
• g. assessment of the adequacy of the investment firm’s own funds;
• h. assessment of the adequacy of the investment firm’s liquidity resources;
• i. overall SREP assessment; and
• j. supervisory measures (and early intervention measures, where necessary).

2.1.1 Categorisation of investment firms

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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