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

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