297. When communicating the prudential requirements to investment firms, competent authorities …

When communicating the prudential requirements to investment firms, competent authorities should substantiate their decision to impose additional own funds requirement giving a clear account of the full assessment of the elements listed in paragraph 273 in accordance with Article 40(5) of Directive (EU) 2019/2034. The justification should be investment firm-specific and should provide a clear indication of the main drivers underlying the additional own funds requirement, including the risks and elements of risks contributing to such additional own funds requirement. In justifying additional own funds requirement competent authorities should refer to all relevant risk categories, i.e. risks associated to an unorderly wind-down, risk-to-clients, risk-to-markets, risk-to firms and other risks.

1. Ülevaade

1.1 Viited

• Artikkel 40 5.

1.2 Tuvastatud nõuded

1.3 Seotud standardid

2. Tuvastatud nõuded

3. Seotud standardid

• EBA -

  EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

  DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.