13. The sample should consist of institutions subject to Directive 2013/36/EU and investment firms …

The sample should consist of institutions subject to Directive 2013/36/EU and investment firms that are either subject to the requirements on governance under Article 91 of Directive 2013/36/EU, in accordance with Article 1(2) or (5) of Regulation (EU) 2019/2033 (Class 1), or subject to Article 26 of Directive (EU) 2019/2034 (Class 2). The sample may include more than one institution or investment firm within a group, in particular, when they are located in different Member States. Competent authorities should not add investment firms to the sample where they have provided authorisation to the investment firm managed by a single natural person under Article 9(6) of Directive 2014/65/EU.

1. Overview

1.1 References

• Article 26 Internal governance

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/