57. In order to ensure appropriate frequency of supervisory activities related to SREP for category …

In order to ensure appropriate frequency of supervisory activities related to SREP for category 3 investment firms, competent authorities should:

• a. monitor key indicators on a quarterly basis;
• b. perform the assessment of all SREP elements in light of material new information emerging on the risk posed, with the scope and depth of the review tailored to the specific risk profile of the investment firm;
• c. have engagement with the investment firm’s management body and senior management at least with the same frequency as the assessment of all SREP elements.

Where considered appropriate, competent authorities may define regular minimum frequencies for the assessment of all SREP elements for all or a subset of category 3 investment firms.

2.4.4 Small and non-interconnected investment firms

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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