27. Competent authorities should ensure that the outcomes of the assessment: a. are reflected in …

Competent authorities should ensure that the outcomes of the assessment:

• a. are reflected in the score assigned to the investment firm’s overall viability, in accordance with the guidance provided in Title 10;
• b. are clearly documented in a summary of the overall SREP assessment that includes the SREP scores assigned (overall and for individual elements) and any supervisory findings made since the last assessment; and
• c. form the basis for the supervisory determination of whether the investment firm can be considered to be ‘failing or likely to fail’; for investment firms subject to Directive 2014/59/EU this determination should be performed in accordance with Article 32 of that Directive, also having regard to the EBA Guidelines on ‘failing or likely to fail’¹¹ .

2.1.5 Dialogue with investment firms, application of supervisory measures and communicating findings

¹¹ EBA Guidelines on the interpretation of the different circumstances when an institution shall be considered as failing or likely to fail under Article 32(6) of Directive 2014/59/EU (EBA/GL/2015/07)

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• 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.