399. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …

In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities may:

a. ensure that investment firm’s risk strategy properly reflects the investment firm’s appetite for risk-to-firm including daily trading flow, concentration and counterparty default) and is consistent with the overall risk appetite;
b. require appropriate organisational framework with sufficient (both qualitative and quantitative) human and technical resources;
c. require the investment firm to involve the management body or its committees more actively in the risk-to-firm management;
d. require the investment firm to consider inherent risk-to-firm when approving new products and systems;
e. require the investment firm to improve operational risk identification (relating to daily trading flow) and measurement systems; and/or
f. adjust the internal estimates of the k factor amount for risk-to-firm and calculate additional own funds requirement.

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