+4. Guidelines
---+4.1 General considerations
------+10. Competent authorities may exempt an investment firm which meets the conditions for qualifying …
------+11. Where a competent authority has imposed specific liquidity requirements under Article 42 of …
------+12. Competent authorities should exempt an investment firm from the liquidity requirements under …
---+4.2 Investment firms eligible for the exemption
------+13. For the exemption from the liquidity requirements under Article 43(1) of Regulation (EU) …
------+14. Competent authorities should consider whether ancillary services provided by an investment firm …
------+15. Competent authorities should consider whether other services provided by an investment firm …
------+16. Competent authorities should consider on and off-balance-sheet positions, including non-trading …
------+17. Competent authorities should not grant an exemption where an investment firm engages at …
---+4.3 Criteria for the exemption
------+18. Competent authorities, after receiving a request from an investment firm, should assess whether …
------+19. For the purpose of the assessment referred to in paragraph 18, competent authorities should …
------+20. Competent authorities may exempt an investment firm which is providing portfolio management or …
------+21. The assessment of the needs for liquid financial resources should be performed both under …
---+4.4 Information to be provided
------+22. For the purpose of the assessment for the exemption, competent authorities should use all …
------+23. Competent authorities should request any additional information or evidence to ensure that the …
------+24. In the event of a material change in the information submitted with the request for exemption …
---+4.5 Amendment and withdrawal of the exemption
------+25. Competent authorities should not grant an exemption to an investment firm if they consider that …
------+26. Competent authorities should ensure that the investment firm informs the competent authority if …
------+27. Competent authorities should withdraw the exemption if they consider that the investment firm …
------+28. Competent authorities should ensure that the investment firm complies with the liquidity …

4. Guidelines

4. Guidelines

1. Overview

,
4.1 General considerations

4.1 General considerations
4.2 Investment firms eligible for the exemption

4.2 Investment firms eligible for the exemption
4.3 Criteria for the exemption

4.3 Criteria for the exemption
4.4 Information to be provided

4.4 Information to be provided
4.5 Amendment and withdrawal of the exemption

4.5 Amendment and withdrawal of the exemption

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

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