+Guidelines on supervision of significant branches (EBA/GL/2017/14)
---+1. Compliance and reporting obligations
------+Status of these guidelines
---------+1. This document contains guidelines issued pursuant to Article 16 of Regulation (EU) No 1093/2010 …
---------+2. Guidelines set out the EBA’s view of appropriate supervisory practices within the European …
------+Reporting requirements
---------+3. In accordance with Article 16(3) of Regulation (EU) No 1093/2010, competent authorities must …
---------+4. Notifications will be published on the EBA website, in line with Article 16(3).
---+2. Subject matter, scope and definitions
------+Subject matter
---------+5. These guidelines specify how the consolidating supervisor and the home and host competent …
------+Addressees
---------+6. These guidelines are addressed to competent authorities as defined in point (i) of Article 4(2) …
------+Definitions
---------+7. Unless otherwise specified, terms used and defined in Regulation (EU) No 575/2013, Directive …
---+3. Implementation
------+Date of application
---------+8. These guidelines apply from 1 January 2018 .
------+Assistance in application
---------+9. Where dissenting views arise among competent authorities on issues relating to these guidelines …
---+4. Assessment of branch significance and intensification test
------+10. Competent authorities should assess and determine, in accordance with the process and criteria …
------+11. Where, in a college of supervisors referred to in Article 116 of Directive 2013/36/EU, the …
------+4.1 Branch significance and mapping: initial assessment and updates
---------+12. Without prejudice to the stipulations of Article 51 of Directive 2013/36/EU, the consolidating …
---------+13. The consolidating supervisor or the home competent authority should note its assessment of the …
---------+14. Where the consolidating supervisor or the home competent authority has, on the basis of its …
---------+15. Where the consolidating supervisor or the home competent authority has communicated to the host …
---------+16. The consolidating supervisor or the home competent authority should assess the importance for …
---------+17. Where the consolidating supervisor or the home competent authority considers the branch …
---------+18. After the branch has been designated significant in accordance with Article 51 of Directive …
------+4.2 Supervisory intensification test for significant branches
---------+19. The consolidating supervisor and the home and host competent authorities should cooperate on …
---------+20. The consolidating supervisor and the home and host competent authorities should agree on the …
---------+21. The consolidating supervisor and the home and host competent authorities should endeavour to …
---------+22. Where dissenting views on the outcome of the intensification test arise among the authorities …
---------+23. The consolidating supervisor or the home competent authority should ensure that a branch that …
---------+24. The consolidating supervisor and the home and host competent authorities should review their …
---------+25. Competent authorities should ensure that a branch no longer satisfying the intensification test …
---------+26. The consolidating supervisor and the home and host competent authorities should perform the …
---------+27. The consolidating supervisor and the home and host competent authorities should consider that a …
---------+28. The consolidating supervisor and the home and host competent authorities should consider …
---------+29. A significant branch providing critical functions should be considered important for the …
---------+30. Competent authorities should also consider a significant branch important for the institution …
---------+31. For the purposes of the assessment of whether a significant branch providing critical functions …
---+5. Ongoing supervision of significant-plus branches
------+32. The ongoing supervision of branches that satisfy the intensification test (significant-plus …
------+33. The consolidating supervisor and the home and host competent authorities should endeavour to …
------+5.1 Branch risk assessment
---------+34. The consolidating supervisor and the home and host competent authorities should ensure that the …
---------+35. This branch risk assessment should be included as an annex to the group risk assessment report …
---------+36. Institutions or significant-plus branches should not be required to prepare branch-specific …
---------+37. The consolidating supervisor or the home competent authority should ensure that the branch risk …
---------+38. In addition to the above, the branch risk assessment should provide an overview of any findings …
---------+39. In preparing the branch risk assessment, the consolidating supervisor or the home competent …
---------+40. The host competent authority should provide the input specified in the above paragraph based on …
---------+41. The consolidating supervisor and the home and host competent authorities should coordinate the …
------+5.2 Coordination of activities and supervisory examination programme
---------+42. The college SEP referred to in Article 11 and Article 20 of Commission Implementing Regulation …
---------+43. Where the branch risk assessment has identified significant risks to capital, liquidity and …
---------+44. While developing the college SEP, the consolidating supervisor and the home and host competent …
---------+45. In order to avoid duplication of supervisory tasks and duplication of information requests to …
------+5.3 On-the-spot checks and inspections of significant-plus branches
---------+46. Without prejudice to Article 52 of Directive 2013/36/EU, on-the-spot checks and inspections of …
---------+47. In order to ensure that the consolidating supervisor and the home and host competent …
---------+48. When the consolidating supervisor or the home or host competent authority decides on the timing …
---------+49. On-the-spot checks and inspections in a branch that have not been originally planned but are …
---------+50. The consolidating supervisor and the home and host competent authorities should ensure that the …
---------+51. A competent authority initiating an on-the-spot check or inspection (the initiator) in a …
---------+52. The consolidating supervisor or the home competent authority should invite the host competent …
------+5.4 Information needed for the supervision of significant-plus branches
---------+53. Without prejudice to the provisions of Commission Delegated Regulation (EU) No 524/2014 and …
---------+54. When assessing the relevance of a particular piece or set of information, the consolidating …
---------+55. The consolidating supervisor and the home and host competent authorities should, without …
---------+56. Such information should be exchanged in a timely manner and in written or electronic form, as …
---------+57. In liquidity stress situations, the competent authorities should notify each other in …
------+5.5 Application of supervisory measures and sanctions
---------+58. The consolidating supervisor or the home competent authority should apply supervisory measures …
---------+59. Without prejudice to Article 41 of Directive 2013/36/EU, the consolidating supervisor and the …
---------+60. The consolidating supervisor and the home and host competent authorities should regularly …
---------+61. The consolidating supervisor or the home competent authority should consider the information …
---------+62. When deciding on reciprocating macroprudential measures applied in a host Member State to an …
------+5.6 Communication framework for a significant-plus branch
---------+63. The consolidating supervisor and the home and host competent authorities should strive to …
---------+64. When communicating with the significant-plus branch, and in particular requesting information …
---------+65. At a minimum, the consolidating supervisor and the home and host competent authorities should …
---------+66. If either the consolidating supervisor or the home or host competent authority is not able to …
---------+67. The consolidating supervisor and the home and host competent authorities should agree on the …
---------+68. These joint meetings with the institution and with the branch management should be duly …
------+5.7 Roles and responsibilities of home and host authorities in the assessment of the recovery plan
---------+69. Within the process for the assessment of the recovery plan in accordance with Article 6(2) of …
---------+70. To facilitate this consultation, the consolidating supervisor or the home competent authority …
---------+71. The host competent authority should provide its input to the assessment of the group recovery …
---------+72. The input from the host competent authority to the consolidating supervisor or the home …
---------+73. The consolidating supervisor and the home competent authority should prepare the overall …
---------+74. The consolidating supervisor and the home and host competent authorities should endeavour to …
---------+75. When material deficiencies or impediments identified in the plan relate to the significant-plus …
------+5.8 Allocation of tasks among competent authorities
---------+76. The consolidating supervisor and the home and host competent authorities should ensure that the …
---------+77. For that purpose, the consolidating supervisor or the home competent authority should regularly …
---------+78. The task allocation mechanism established within the college operational framework should be …
---------+79. The consolidating supervisor and the home and host competent authorities should agree on the …
---------+80. Where dissenting views on the task allocation mechanism arise among the authorities and …
---------+81. At a minimum, these terms should detail the following: (a) the specific activities to be …
---------+82. The consolidating supervisor and the home and host competent authorities should inform the …
---------+83. For the purpose of putting in place the most efficient task allocation, the consolidating …
---------+84. Any delegation of tasks on a voluntary basis should be in line with EU and national legislation …
---------+85. The consolidating supervisor and the home and host competent authorities involved in the …
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Guidelines on supervision of significant branches (EBA/GL/2017/14)

Guidelines on supervision of significant branches (EBA/GL/2017/14)

https://www.eba.europa.eu/activities/single-rulebook/regulatory-activities/passporting-and-supervision-branches/guidelines-supervision-significant-branches – PDF

1. Forbhreathnú

,
1. Compliance and reporting obligations

1. Compliance and reporting obligations
2. Subject matter, scope and definitions

2. Subject matter, scope and definitions
3. Implementation

3. Implementation
4. Assessment of branch significance and intensification test

4. Assessment of branch significance and intensification test
5. Ongoing supervision of significant-plus branches

5. Ongoing supervision of significant-plus branches

1.1 Tagairtí

1.2 Ceanglais aitheanta

1.3 Caighdeáin ghaolmhara

2. Ceanglais aitheanta

Ceanglais

3. Caighdeáin ghaolmhara

Caighdeáin
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