17. Among categories 1 to 3, competent authorities may categorise an investment firm on a …

Among categories 1 to 3, competent authorities may categorise an investment firm on a case-by-case basis in a category one notch higher or lower in the list than according to the criteria listed in paragraph 15. For this purpose, competent authorities should consider aspects such as the scale and complexity of operations, scale of trading activities, amount of client money held, the risk profile of the investment firm, and any other relevant aspects. Where such reclassification is carried out, competent authorities should aim at ensuring sufficient homogeneity and comparability between investment firms of the same category.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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  EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

  DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.