255. Competent authorities should form a view on the degree of conduct risk related to investment …

Competent authorities should form a view on the degree of conduct risk related to investment and market activities of the investment firm, to the extent that it is not captured by Pillar 1 own funds requirements. Conduct risk should be understood as the current or prospective risk incurred by clients, markets or the firm itself due to an inappropriate behaviour of the firm or its staff. This risk may arise from cases of wilful or negligent misconduct (including inappropriate supply of financial services), to the extent that they might lead to negative financial or reputational impacts. This reputational risk may in turn cause a loss in market shares or key clients, and an increase of clients’ complaints.

1. Pārskats

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

3. Saistītie standarti

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  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.