+TITLE IV PRUDENTIAL SUPERVISION
---+CHAPTER 1 Principles of prudential supervision
------+Section 1 Competences and duties of home and host Member States
---------+Article 12 Competence of the competent authorities of the home and host Member State
---------+Article 13 Cooperation between competent authorities of different Member States
------------+Article 13 1.
------------+Article 13 2.
------------+Article 13 3.
------------+Article 13 4.
------------+Article 13 5.
------------+Article 13 6.
------------+Article 13 7.
------------+Article 13 8.
------------+Article 13 9.
---------+Article 14 On‐the‐spot checking and inspection of branches established in another Member State
------------+Article 14 1.
------------+Article 14 2.
------+Section 2 Professional secrecy and duty to report
---------+Article 15 Professional secrecy and exchange of confidential information
------------+Article 15 1.
------------+Article 15 2.
------------+Article 15 3.
------------+Article 15 4.
------------+Article 15 5.
------------+Article 15 6.
---------+Article 16 Cooperation arrangements with third countries for the exchange of information
---------+Article 17 Duties of persons responsible for the control of annual and consolidated accounts
------+Section 3 Sanctions, investigatory powers and right of appeal
---------+Article 18 Administrative sanctions and other administrative measures
------------+Article 18 1.
------------+Article 18 2.
------------+Article 18 3.
---------+Article 19 Investigatory powers
---------+Article 20 Publication of administrative sanctions and other administrative measures
------------+Article 20 1.
------------+Article 20 2.
------------+Article 20 3.
------------+Article 20 4.
---------+Article 21 Reporting sanctions to EBA
---------+Article 22 Reporting of breaches
------------+Article 22 1.
------------+Article 22 2.
---------+Article 23 Right of appeal
---+CHAPTER 2 Review process
------+Section 1 Internal capital adequacy assessment process and internal risk‐assessment process
---------+Article 24 Internal capital and liquid assets
------------+Article 24 1.
------------+Article 24 2.
------+Section 2 Internal governance, transparency, treatment of risks and remuneration
---------+Article 25 Scope of application of this Section
------------+Article 25 1.
------------+Article 25 2.
------------+Article 25 3.
------------+Article 25 4.
---------+Article 26 Internal governance
------------+Article 26 1.
------------+Article 26 2.
------------+Article 26 3.
------------+Article 26 4.
---------+Article 27 Country‐by‐country reporting
------------+Article 27 1.
------------+Article 27 2.
---------+Article 28 Role of the management body in risk management
------------+Article 28 1.
------------+Article 28 2.
------------+Article 28 3.
------------+Article 28 4.
------------+Article 28 5.
---------+Article 29 Treatment of risks
------------+Article 29 1.
------------+Article 29 2.
------------+Article 29 3.
------------+Article 29 4.
---------+Article 30 Remuneration policies
------------+Article 30 1.
------------+Article 30 2.
------------+Article 30 3.
------------+Article 30 4.
---------+Article 31 Investment firms that benefit from extraordinary public financial support
---------+Article 32 Variable remuneration
------------+Article 32 1.
------------+Article 32 2.
------------+Article 32 3.
------------+Article 32 4.
------------+Article 32 5.
------------+Article 32 6.
------------+Article 32 7.
------------+Article 32 8.
------------+Article 32 9.
---------+Article 33 Remuneration committee
------------+Article 33 1.
------------+Article 33 2.
------------+Article 33 3.
---------+Article 34 Oversight of remuneration policies
------------+Article 34 1.
------------+Article 34 2.
------------+Article 34 3.
------------+Article 34 4.
---------+Article 35 EBA report on environmental, social, and governance risks
------+Section 3 Supervisory review and evaluation process
---------+Article 36 Supervisory review and evaluation
------------+Article 36 1.
------------+Article 36 2.
------------+Article 36 3.
------------+Article 36 4.
---------+Article 37 Ongoing review of the permission to use internal models
------------+Article 37 1.
------------+Article 37 2.
------------+Article 37 3.
------------+Article 37 4.
------+Section 4 Supervisory measures and powers
---------+Article 38 Supervisory measures
---------+Article 39 Supervisory powers
------------+Article 39 1.
------------+Article 39 2.
------------+Article 39 3.
---------+Article 40 Additional own funds requirement
------------+Article 40 1.
------------+Article 40 2.
------------+Article 40 3.
------------+Article 40 4.
------------+Article 40 5.
------------+Article 40 6.
------------+Article 40 7.
---------+Article 41 Guidance on additional own funds
------------+Article 41 1.
------------+Article 41 2.
---------+Article 42 Specific liquidity requirements
------------+Article 42 1.
------------+Article 42 2.
------------+Article 42 3.
------------+Article 42 4.
------------+Article 42 5.
------------+Article 42 6.
---------+Article 43 Cooperation with resolution authorities
---------+Article 44 Publication requirements
---------+Article 44a Accessibility of information on the European single access point
------------+Article 44a 1.
------------+Article 44a 2.
------------+Article 44a 3.
------------+Article 44a 4.
------------+Article 44a 5.
------------+Article 44a 6.
---------+Article 45 Obligation to inform EBA
------------+Article 45 1.
------------+Article 45 2.
---+CHAPTER 3 Supervision of investment firm groups
------+Section 1 Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test
---------+Article 46 Determination of the group supervisor
------------+Article 46 1.
------------+Article 46 2.
------------+Article 46 3.
------------+Article 46 4.
------------+Article 46 5.
------------+Article 46 6.
---------+Article 47 Information requirements in emergency situations
---------+Article 48 Colleges of supervisors
------------+Article 48 1.
------------+Article 48 2.
------------+Article 48 3.
------------+Article 48 4.
------------+Article 48 5.
------------+Article 48 6.
------------+Article 48 7.
------------+Article 48 8.
---------+Article 49 Cooperation requirements
------------+Article 49 1.
------------+Article 49 2.
------------+Article 49 3.
------------+Article 49 4.
------------+Article 49 5.
---------+Article 50 Verification of information concerning entities located in other Member States
------------+Article 50 1.
------------+Article 50 2.
------+Section 2 Investment holding companies, mixed financial holding companies and mixed‐activity holding companies
---------+Article 51 Inclusion of holding companies in supervision of compliance with the group capital test
---------+Article 52 Qualifications of directors
---------+Article 53 Mixed‐activity holding companies
------------+Article 53 1.
------------+Article 53 2.
---------+Article 54 Sanctions
---------+Article 55 Assessment of third‐country supervision and other supervisory techniques
------------+Article 55 1.
------------+Article 55 2.
------------+Article 55 3.
---------+Article 56 Cooperation with third‐country supervisory authorities

TITLE IV PRUDENTIAL SUPERVISION

TITLE IV PRUDENTIAL SUPERVISION

1. Overview

,
CHAPTER 1 Principles of prudential supervision CHAPTER 1 Principles of prudential supervision
CHAPTER 2 Review process CHAPTER 2 Review process
CHAPTER 3 Supervision of investment firm groups CHAPTER 3 Supervision of investment firm groups

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards
  • Builddate: 24.12.2024 00:00:00 -Doknr: CELEX:32019L2034
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