74. Competent authorities should assess the adequacy of the institution’s internal governance …

Competent authorities should assess the adequacy of the institution’s internal governance arrangements, taking into account the nature, scale and complexity of the risks inherent in the business model and the institution’s activities. Competent authorities should identify the extent to which the institution complies with the applicable legal and regulatory requirements regarding sound internal governance arrangements, including those listed in the previous paragraph, and identify any deficiencies. Competent authorities should assess whether material risks are posed due to poor internal governance arrangements and their potential effect on the risk profile, operational resilience and sustainability of the institution. For these purposes, the following areas should be assessed, in accordance with the proportionality principle and supervisory engagement outlined in Title 2:

• a. organisational structure, management body and its committees;
• b. risk culture and business conduct;
• c. remuneration policies and practices;
• d. internal control functions;
• e. risk management framework;
• f. ICT systems, risk data aggregation and risk reporting;
• g. ML/TF risks and prudential concerns;
• h. recovery planning governance.

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.