328. In conducting the assessment of risk to liquidity, competent authorities should consider all …

In conducting the assessment of risk to liquidity, competent authorities should consider all of the following sources of information, where available:

• a. outcomes from the analysis of the services and activities provided by the investment firm and information from the monitoring of key indicators’ particularly where that may help with understanding the key sources of risk to liquidity;
• b. supervisory reporting, and particularly the information provided by the investment firm in its reporting pursuant to Article 54 of Regulation (EU) 2019/2033;
• c. any investment firm’s periodic report, quantitative report, financial statement report, internal reports such as the management reports on liquidity and any other information requested from the investment firm by the competent authority;
• d. any information from the investment firm’s parent if the investment firm is a subsidiary and is included in the supervision on a consolidated basis, and in particular information on liquidity risk of investment firms that are part of a banking group;
• e. outcomes of any supervisory activities;
• f. any information from the investment firm’s ILAAP;
• g. findings and observations from internal or external audit reports;
• h. recommendations and guidelines issued by the EBA or ESMA as well as warnings and recommendations issued by macro-prudential authorities or the ESRB; and
• i. risk identified in other investment firms operating a similar business model.

1. Ülevaade

1.1 Viited

• Artikkel 54 Aruandlusnõuded

1.2 Tuvastatud nõuded

1.3 Seotud standardid

2. Tuvastatud nõuded

3. Seotud standardid

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