+DIRECTIVE (EU) 2019/2034 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 27 November 2019 on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU (Text with EEA relevance)
---+TITLE I SUBJECT MATTER, SCOPE AND DEFINITIONS
------+Article 1 Subject matter
------+Article 2 Scope
---------+Article 2 1.
---------+Article 2 2.
------+Article 3 Definitions
---------+Article 3 1.
---------+Article 3 2.
---+TITLE II COMPETENT AUTHORITIES
------+Article 4 Designation and powers of the competent authorities
---------+Article 4 1.
---------+Article 4 2.
---------+Article 4 3.
---------+Article 4 4.
---------+Article 4 5.
---------+Article 4 6.
------+Article 5 Discretion of competent authorities to subject certain investment firms to the requirements of Regulation (EU) No 575/2013
---------+Article 5 1.
---------+Article 5 2.
---------+Article 5 3.
---------+Article 5 4.
---------+Article 5 5.
---------+Article 5 6.
------+Article 6 Cooperation within a Member State
---------+Article 6 1.
---------+Article 6 2.
------+Article 7 Cooperation within the European System of Financial Supervision
---------+Article 7 1.
---------+Article 7 2.
------+Article 8 Union dimension of supervision
---+TITLE III INITIAL CAPITAL
------+Article 9 Initial capital
---------+Article 9 1.
---------+Article 9 2.
---------+Article 9 3.
---------+Article 9 4.
------+Article 10 References to initial capital in Directive 2013/36/EU
------+Article 11 Composition of initial capital
---+TITLE IV PRUDENTIAL SUPERVISION
------+CHAPTER 1 Principles of prudential supervision
---------+Section 1 Competences and duties of home and host Member States
------------+Article 12 Competence of the competent authorities of the home and host Member State
------------+Article 13 Cooperation between competent authorities of different Member States
---------------+Article 13 1.
---------------+Article 13 2.
---------------+Article 13 3.
---------------+Article 13 4.
---------------+Article 13 5.
---------------+Article 13 6.
---------------+Article 13 7.
---------------+Article 13 8.
---------------+Article 13 9.
------------+Article 14 On‐the‐spot checking and inspection of branches established in another Member State
---------------+Article 14 1.
---------------+Article 14 2.
---------+Section 2 Professional secrecy and duty to report
------------+Article 15 Professional secrecy and exchange of confidential information
---------------+Article 15 1.
---------------+Article 15 2.
---------------+Article 15 3.
---------------+Article 15 4.
---------------+Article 15 5.
---------------+Article 15 6.
------------+Article 16 Cooperation arrangements with third countries for the exchange of information
------------+Article 17 Duties of persons responsible for the control of annual and consolidated accounts
---------+Section 3 Sanctions, investigatory powers and right of appeal
------------+Article 18 Administrative sanctions and other administrative measures
---------------+Article 18 1.
---------------+Article 18 2.
---------------+Article 18 3.
------------+Article 19 Investigatory powers
------------+Article 20 Publication of administrative sanctions and other administrative measures
---------------+Article 20 1.
---------------+Article 20 2.
---------------+Article 20 3.
---------------+Article 20 4.
------------+Article 21 Reporting sanctions to EBA
------------+Article 22 Reporting of breaches
---------------+Article 22 1.
---------------+Article 22 2.
------------+Article 23 Right of appeal
------+CHAPTER 2 Review process
---------+Section 1 Internal capital adequacy assessment process and internal risk‐assessment process
------------+Article 24 Internal capital and liquid assets
---------------+Article 24 1.
---------------+Article 24 2.
---------+Section 2 Internal governance, transparency, treatment of risks and remuneration
------------+Article 25 Scope of application of this Section
---------------+Article 25 1.
---------------+Article 25 2.
---------------+Article 25 3.
---------------+Article 25 4.
------------+Article 26 Internal governance
---------------+Article 26 1.
---------------+Article 26 2.
---------------+Article 26 3.
---------------+Article 26 4.
------------+Article 27 Country‐by‐country reporting
---------------+Article 27 1.
---------------+Article 27 2.
------------+Article 28 Role of the management body in risk management
---------------+Article 28 1.
---------------+Article 28 2.
---------------+Article 28 3.
---------------+Article 28 4.
---------------+Article 28 5.
------------+Article 29 Treatment of risks
---------------+Article 29 1.
---------------+Article 29 2.
---------------+Article 29 3.
---------------+Article 29 4.
------------+Article 30 Remuneration policies
---------------+Article 30 1.
---------------+Article 30 2.
---------------+Article 30 3.
---------------+Article 30 4.
------------+Article 31 Investment firms that benefit from extraordinary public financial support
------------+Article 32 Variable remuneration
---------------+Article 32 1.
---------------+Article 32 2.
---------------+Article 32 3.
---------------+Article 32 4.
---------------+Article 32 5.
---------------+Article 32 6.
---------------+Article 32 7.
---------------+Article 32 8.
---------------+Article 32 9.
------------+Article 33 Remuneration committee
---------------+Article 33 1.
---------------+Article 33 2.
---------------+Article 33 3.
------------+Article 34 Oversight of remuneration policies
---------------+Article 34 1.
---------------+Article 34 2.
---------------+Article 34 3.
---------------+Article 34 4.
------------+Article 35 EBA report on environmental, social, and governance risks
---------+Section 3 Supervisory review and evaluation process
------------+Article 36 Supervisory review and evaluation
---------------+Article 36 1.
---------------+Article 36 2.
---------------+Article 36 3.
---------------+Article 36 4.
------------+Article 37 Ongoing review of the permission to use internal models
---------------+Article 37 1.
---------------+Article 37 2.
---------------+Article 37 3.
---------------+Article 37 4.
---------+Section 4 Supervisory measures and powers
------------+Article 38 Supervisory measures
------------+Article 39 Supervisory powers
---------------+Article 39 1.
---------------+Article 39 2.
---------------+Article 39 3.
------------+Article 40 Additional own funds requirement
---------------+Article 40 1.
---------------+Article 40 2.
---------------+Article 40 3.
---------------+Article 40 4.
---------------+Article 40 5.
---------------+Article 40 6.
---------------+Article 40 7.
------------+Article 41 Guidance on additional own funds
---------------+Article 41 1.
---------------+Article 41 2.
------------+Article 42 Specific liquidity requirements
---------------+Article 42 1.
---------------+Article 42 2.
---------------+Article 42 3.
---------------+Article 42 4.
---------------+Article 42 5.
---------------+Article 42 6.
------------+Article 43 Cooperation with resolution authorities
------------+Article 44 Publication requirements
------------+Article 44a Accessibility of information on the European single access point
---------------+Article 44a 1.
---------------+Article 44a 2.
---------------+Article 44a 3.
---------------+Article 44a 4.
---------------+Article 44a 5.
---------------+Article 44a 6.
------------+Article 45 Obligation to inform EBA
---------------+Article 45 1.
---------------+Article 45 2.
------+CHAPTER 3 Supervision of investment firm groups
---------+Section 1 Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test
------------+Article 46 Determination of the group supervisor
---------------+Article 46 1.
---------------+Article 46 2.
---------------+Article 46 3.
---------------+Article 46 4.
---------------+Article 46 5.
---------------+Article 46 6.
------------+Article 47 Information requirements in emergency situations
------------+Article 48 Colleges of supervisors
---------------+Article 48 1.
---------------+Article 48 2.
---------------+Article 48 3.
---------------+Article 48 4.
---------------+Article 48 5.
---------------+Article 48 6.
---------------+Article 48 7.
---------------+Article 48 8.
------------+Article 49 Cooperation requirements
---------------+Article 49 1.
---------------+Article 49 2.
---------------+Article 49 3.
---------------+Article 49 4.
---------------+Article 49 5.
------------+Article 50 Verification of information concerning entities located in other Member States
---------------+Article 50 1.
---------------+Article 50 2.
---------+Section 2 Investment holding companies, mixed financial holding companies and mixed‐activity holding companies
------------+Article 51 Inclusion of holding companies in supervision of compliance with the group capital test
------------+Article 52 Qualifications of directors
------------+Article 53 Mixed‐activity holding companies
---------------+Article 53 1.
---------------+Article 53 2.
------------+Article 54 Sanctions
------------+Article 55 Assessment of third‐country supervision and other supervisory techniques
---------------+Article 55 1.
---------------+Article 55 2.
---------------+Article 55 3.
------------+Article 56 Cooperation with third‐country supervisory authorities
---+TITLE V PUBLICATION BY COMPETENT AUTHORITIES
------+Article 57 Publication requirements
---------+Article 57 1.
---------+Article 57 2.
---------+Article 57 3.
---------+Article 57 4.
---------+Article 57 5.
---+TITLE VI DELEGATED ACTS
------+Article 58 Exercise of the delegation
---------+Article 58 1.
---------+Article 58 2.
---------+Article 58 3.
---------+Article 58 4.
---------+Article 58 5.
---------+Article 58 6.
---+TITLE VII AMENDMENTS TO OTHER DIRECTIVES
------+Article 59 Amendment to Directive 2002/87/EC
------+Article 60 Amendment to Directive 2009/65/EC
------+Article 61 Amendment to Directive 2011/61/EU
------+Article 62 Amendments to Directive 2013/36/EU
------+Article 63 Amendments to Directive 2014/59/EU
------+Article 64 Amendments to Directive 2014/65/EU
---+TITLE VIII FINAL PROVISIONS
------+Article 65 References to Directive 2013/36/EU in other Union legal acts
------+Article 66 Review
------+Article 67 Transposition
---------+Article 67 1.
---------+Article 67 2.
---------+Article 67 3.
------+Article 68 Entry into force
------+Article 69 Addressees
 English - European Union - Financial Industry -

DIRECTIVE (EU) 2019/2034 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 27 November 2019 on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU (Text with EEA relevance)

DIRECTIVE (EU) 2019/2034 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 27 November 2019

on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU

(Text with EEA relevance)

1. Panoramica

,
TITLE I SUBJECT MATTER, SCOPE AND DEFINITIONS TITLE I SUBJECT MATTER, SCOPE AND DEFINITIONS
TITLE II COMPETENT AUTHORITIES TITLE II COMPETENT AUTHORITIES
TITLE III INITIAL CAPITAL TITLE III INITIAL CAPITAL
TITLE IV PRUDENTIAL SUPERVISION TITLE IV PRUDENTIAL SUPERVISION
TITLE V PUBLICATION BY COMPETENT AUTHORITIES TITLE V PUBLICATION BY COMPETENT AUTHORITIES
TITLE VI DELEGATED ACTS TITLE VI DELEGATED ACTS
TITLE VII AMENDMENTS TO OTHER DIRECTIVES TITLE VII AMENDMENTS TO OTHER DIRECTIVES
TITLE VIII FINAL PROVISIONS TITLE VIII FINAL PROVISIONS

1.1 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

Requisiti

3. Standard correlati

Standard

Ticket collegati

Collegamenti
is related to Imported: Investment Firms Directive (IFD) (CELEX:02019L2034-20241224)