17. Among categories 1 to 3, competent authorities may categorise an investment firm on a …

Among categories 1 to 3, competent authorities may categorise an investment firm on a case-by-case basis in a category one notch higher or lower in the list than according to the criteria listed in paragraph 15. For this purpose, competent authorities should consider aspects such as the scale and complexity of operations, scale of trading activities, amount of client money held, the risk profile of the investment firm, and any other relevant aspects. Where such reclassification is carried out, competent authorities should aim at ensuring sufficient homogeneity and comparability between investment firms of the same category.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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