151. Competent authorities should also assess other risks that are identified as material to a …

Competent authorities should also assess other risks that are identified as material to a specific investment firm but are not listed above. Those other risks, which cannot be reasonably attributed to one of the three categories listed in paragraph 147, points (a) to (c), are a separate category of risks. The following may assist with the identification process:

• a. drivers of own funds requirements;
• b. risks identified in the investment firm’s ICARAP or stress tests if available;
• c. risks arising from the investment firm’s business model (including those identified by other investment firms operating a similar business model);
• d. information stemming from the monitoring of key indicators;
• e. findings and observations from internal or external audit reports;
• f. recommendations and guidelines issued by the EBA, as well as warnings and recommendations issued by macro-prudential authorities or the ESRB that are relevant to the firm; and
• g. reports of breaches and incidents to the competent authorities.

1. Pārskats

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

3. Saistītie standarti

• 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.