243. Through the assessment of inherent risks not covered by Pillar 1 own funds requirements …

Through the assessment of inherent risks not covered by Pillar 1 own funds requirements, competent authorities should determine the main drivers of the investment firm’s risks and evaluate the significance of the impact of these risks for the investment firm. The assessment of such risks should be structured around the following main steps:

• a. preliminary assessment;
• b. assessment of the nature and scale of investment activities that incur a risk for the investment firm not covered by Pillar 1 own funds requirements;
• c. assessment of the systems and processes regarding these activities.

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.