+Title 10 Overall SREP assessment and application of supervisory measures
---+10.1 General considerations
------+366. This title covers the combination of the findings of the assessments of the SREP elements into …
------+367. Competent authorities should exercise their supervisory powers on the basis of deficiencies …
------+368. When applying supervisory measures to address specific deficiencies identified in the …
------+369. When applying supervisory measures or sanctions to address prudential deficiencies related to …
------+370. Competent authorities may take immediate supervisory measures directly linked to the outcomes …
---+10.2 Overall SREP assessment
------+371. In determining the overall SREP assessment, competent authorities should consider the findings …
------+372. On the basis of these considerations, competent authorities should determine the investment …
------+373. On the basis of this determination, competent authorities should: a. take any supervisory …
------+374. The overall SREP assessment should be reflected in a viability score based on the …
------+375. When determining that an investment firm is ‘failing or likely to fail’, as reflected by an …
---+10.3 Application of capital measures
------+376. Competent authorities should impose additional own funds requirement and establish own funds …
------+377. Notwithstanding the requirements referred to in the previous paragraph, competent authorities …
------+378. If after liaising with the AML/CFT supervisor, there is a need for competent authorities to …
---+10.4 Application of liquidity measures
------+379. Competent authorities should impose specific liquidity requirements in accordance with the …
------+380. Notwithstanding the specific quantitative requirements referred to in the previous paragraph …
---+10.5 Application of other supervisory measures
------+381. To address specific deficiencies identified in the assessment of SREP elements, competent …
------+382. Supervisory measures to address deficiencies identified in the BMA are likely to involve …
------+383. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …
------+384. In accordance with Article 39(2), point (e) of Directive (EU) 2019/2034, competent authorities …
------+385. In accordance with Article 39(2), point (f) of Directive (EU) 2019/2034, competent authorities …
------+386. Supervisory measures to address deficiencies identified in the assessment of internal …
------+387. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …
------+388. In accordance with Article 39(2), point (g) of Directive (EU) 2019/2034, competent authorities …
------+389. Based on the outcomes of the qualitative review of stress testing programmes and if …
------+390. Supervisory measures to address deficiencies identified in the assessment of the …
------+391. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …
------+392. In accordance with Article 39(2), point (d) of Directive (EU) 2019/2034, competent authorities …
------+393. In accordance with Article 39(2), points (e) and (f) of Directive (EU) 2019/2034, competent …
------+394. Supervisory measures to address deficiencies identified in the assessment of risk-to-market …
------+395. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …
------+396. In accordance with Article 39(2), point (e) of Directive (EU) 2019/2034, competent authorities …
------+397. In accordance with Article 39(2), point (f) of Directive (EU) 2019/2034, competent authorities …
------+398. Supervisory measures to address deficiencies identified in the assessment of risk-to-firm and …
------+399. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …
------+400. In accordance with Article 39(2), points (e) and (f) of Directive (EU) 2019/2034, competent …
------+401. Irrespective of the requirement to hold additional own funds pursuant to Article 39(1), point …
------+402. In accordance with Article 39(2), point (k) of Directive (EU) 2019/2034 competent authorities …
------+403. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …
------+404. In accordance with Article 39(2), point (k) of Directive (EU) 2019/2034 competent authorities …
---+10.6 Supervisory reaction to a situation where Pillar 2 requirement is not met
------+405. Pillar 2 requirement is a legally binding requirement that investment firms have to meet at …
---+10.7 Supervisory reaction to a situation where P2G is not met
------+406. Competent authorities should monitor whether the amount of own funds expected according to P2G …
------+407. When the investment firm’s own funds drop, or are likely to drop, below the level determined …
------+408. There are generally three situations to be considered by a competent authority in which an …
------+409. Notwithstanding particular supervisory responses in accordance with the previous paragraph …
---+10.8 Interaction between supervisory and early intervention measures
------+410. In addition to the supervisory measures referred to in this title, for investment firms which …
------+411. Competent authorities should apply early intervention measures without prejudice to any other …
---+10.9 Interaction between supervisory and AML/CFT measures
------+412. Where competent authorities in the course of exercising their supervisory activities have …
------+413. Where the competent authorities are notified or become aware of supervisory measures or …
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Title 10 Overall SREP assessment and application of supervisory measures
Title 10 Overall SREP assessment and application of supervisory measures
1. Overview
1.1 References
1.2 Identified Requirements
1.3 Related Standards
2. Identified Requirements
Requirements
| Source |
Requirement |
3. Related Standards
Standards
| Source |
Requirement |
- EBA - Published by the European Banking Authority at https://www.eba.europa.eu/
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