19. Competent authorities should continuously assess the risks to which the investment firm is or …

Competent authorities should continuously assess the risks to which the investment firm is or may be exposed through the following activities:

• a. monitoring of key indicators as specified in Title 3;
• b. business model analysis as specified in Title 4;
• c. assessment of internal governance and firm-wide controls as specified in Title 5;
• d. assessment of risks to capital as specified in Title 6; and
• e. assessment of risks to liquidity as specified in Title 8.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/