+Leitlinien (EBA/GL/2015/07)
---+EBA-Leitlinien zur Interpretation der Umstände, unter denen ein Institut gemäß Artikel 32 Absatz 6 der Richtlinie 2014/59/EU als ausfallend oder wahrscheinlich ausfallend zu betrachten ist
------+1. Das vorliegende Dokument enthält Leitlinien, die gemäß Artikel 16 der Verordnung (EU) Nr. …
------+2. Die Leitlinien legen fest, was nach Ansicht der EBA angemessene Aufsichtspraktiken innerhalb des …
------+3. Nach Artikel 16 Absatz 3 der Verordnung (EU) Nr. 1093/2010 müssen die zuständigen Behörden der …
------+4. Die Meldungen werden gemäß Artikel 16 Absatz 3 der EBA-Verordnung auf der Website der EBA …
------+Status dieser Leitlinien
------+Meldepflichten
---------+5. Pursuant to Article 32(6) of Directive 2014/59/EU, these Guidelines intend to promote the …
---------+6. For this purpose, these Guidelines provide a set of objective elements that should support the …
---------+7. These Guidelines do not purport to constrain the ultimate discretion of the competent authority …
---------+8. These Guidelines should be read in conjunction with the conditions laid down in Article 32(1)(b) …
---------+9. The provisions in these Guidelines should also apply when a determination that an institution is …
------+Titel I – Gegenstand, Anwendungsbereich und Begriffsbestimmungen
---------+10. For the purpose of these Guidelines, the following definitions apply: a. ‘ SREP’ means …
------+Gegenstand
---------+11. These Guidelines are addressed to the competent authorities, as defined in Article 4(2)(i) of …
---------+12. The Guidelines also apply to institutions where they determine themselves to be failing or …
---------+13. The scope of these Guidelines is expanded beyond the scope set forth by Article 32(4) of …
------+Begriffsbestimmungen
------+Anwendungsbereich und Adressaten
---------+14. For the purposes of making a determination that an institution is failing or likely to fail, in …
---------+15. The objective elements listed in these Guidelines should be carefully analysed on a …
---------+16. In most cases it is expected that several factors, rather than merely one, set out in these …
---------+17. Without prejudice to paragraph 16, some of the objective elements included in these Guidelines …
---------+18. When determining whether an institution is failing or likely to fail, the competent or the …
------+Titel II – Objektive Anhaltspunkte für die Feststellung, dass ein Institut ausfällt oder wahrscheinlich ausfällt
---------+19. In accordance with Article 32(4)(a) and (b) of Directive 2014/59/EU, an institution should be …
---------+20. When assessing the assets and liabilities of the institution in the near future and when …
---------+21. Additional elements that should be considered, when carrying out the determination specified in …
---------+22. With reference to paragraph 19(b) the extreme case of inadequate capital position would be …
------+1. Allgemeine Überlegungen
---------+23. In accordance with Article 32(4)(a) and (c) of Directive 2014/59/EU an institution should be …
---------+24. The determination whether the institution is likely to be unable to meet regulatory …
---------+25. Additional elements that should be considered, where relevant to the characteristics of the …
------+2. Kapitalposition
---------+26. According to Article 32(4)(a) of Directive 2014/59/EU, an institution shall be considered as …
---------+27. For the purpose of the above, the competent and/or the resolution authority should consider …
---------+4.1. Governance arrangements
------------+28. Certain objective elements should indicate that an institution has serious weaknesses in its …
------------+29. For the purposes of paragraph 28(c) examples of such material deficiencies, which in …
---------+4.2. Operational capacity to provide regulated activities
------------+30. Certain objective elements may negatively impact the institution’s operational capacity to …
------+3. Liquiditätsposition
------+4. Sonstige Anforderungen für die dauerhafte Zulassung
---------+31. The assessment of the objective elements laid down in Title II of these Guidelines will usually …
---------+32. It should be noted that contrary to the standard SREP procedure applied to cross-border banking …
------+Titel III – Verfahren zur Feststellung, dass ein Institut ausfällt oder wahrscheinlich ausfällt
---------+33. When the resolution authority is entrusted to make the determination whether an institution is …
---------+34. The objective elements listed in Title II of these Guidelines should be also taken into account …
---------+35. While making a determination that an institution is failing or likely to fail the resolution …
------+1. Feststellung durch die zuständige Behörde
---------+36. Without prejudice to Article 90 and Article 32(2) of Directive 2014/59/EU, in order to …
---------+37. Before concluding the determination that the institution is failing or likely to fail, the …
---------+38. Upon identifying the presence of the objective elements specified in Title II of these …
---------+3.1. Information provided by the competent authority
------------+39. According to Article 27(2) of Directive 2014/59/EU the competent authority is required to …
------------+40. To facilitate such exchanges of information, the competent authority should also provide the …
---------+3.2. Information provided by the resolution authority
------------+41. Upon the identification of objective elements specified in Title II of these Guidelines the …
------------+42. The competent authority should be informed in each case when the resolution authority: - …
------+2. Feststellung durch die Abwicklungsbehörde
---------+43. These Guidelines will apply from 1 January 2016.
 English - European Union - Financial Industry -

Leitlinien (EBA/GL/2015/07)

Leitlinien (EBA/GL/2015/07)

https://www.eba.europa.eu/activities/single-rulebook/regulatory-activities/resolution/guidelines-failing-or-likely-fail – PDF

1. Übersicht

,
EBA-Leitlinien zur Interpretation der Umstände, unter denen ein Institut gemäß Artikel 32 Absatz 6 der Richtlinie 2014/59/EU als ausfallend oder wahrscheinlich ausfallend zu betrachten ist

EBA-Leitlinien zur Interpretation der Umstände, unter denen ein Institut gemäß Artikel 32 Absatz 6 der Richtlinie 2014/59/EU als ausfallend oder wahrscheinlich ausfallend zu betrachten ist

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Standards

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Standards

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