33. In the assessment of the individual risk categories and SREP elements, competent authorities …

In the assessment of the individual risk categories and SREP elements, competent authorities should use a range of scores - 1 (low risk), 2 (medium-low risk), 3 (medium-high risk), and 4 (high risk) - reflecting the supervisory view based on the relevant scoring tables in each element-specific title. Competent authorities should use the accompanying ‘considerations’ provided in these tables for guidance to support supervisory judgment (i.e. it is not necessary for the investment firm to fulfil all the ‘considerations’ linked to a score of ‘1’ to achieve a score of ’1’), and/or further develop them or add additional considerations. Competent authorities should assign a score of ‘4’ to reflect the worst possible assessment (i.e. even if the investment firm’s position is worse than that envisaged by the ‘considerations’ for a score of ‘4’, a score of ‘4’ should still be assigned).

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.