+19. Competent authorities should continuously assess the risks to which the investment firm is or …
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19. Competent authorities should continuously assess the risks to which the investment firm is or …
Competent authorities should continuously assess the risks to which the investment firm is or may be exposed through the following activities: - a. monitoring of key indicators as specified in Title 3;
- b. business model analysis as specified in Title 4;
- c. assessment of internal governance and firm-wide controls as specified in Title 5;
- d. assessment of risks to capital as specified in Title 6; and
- e. assessment of risks to liquidity as specified in Title 8.
1. Overview
1.1 References
1.2 Identified Requirements
1.3 Related Standards
2. Identified Requirements
Requirements
| Source |
Requirement |
3. Related Standards
Standards
| Source |
Requirement |
- EBA -
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.
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