+4.10 Summary of findings and scoring
---+96. Kompetentajām iestādēm būtu jānovērtē, vai ieguldījumu brokeru sabiedrības iekšējās pārvaldības …
---+Score Supervisory view Considerations
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4.10 Summary of findings and scoring
4.10 Summary of findings and scoring
1. Pārskats
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Regulējums |
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96. Kompetentajām iestādēm būtu jānovērtē, vai ieguldījumu brokeru sabiedrības iekšējās pārvaldības …
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Kompetentajām iestādēm būtu jānovērtē, vai ieguldījumu brokeru sabiedrības iekšējās pārvaldības pasākumi ir atbilstoši un samērīgi attiecīgās sabiedrības riska profilam, darījumdarbības modelim, būtībai, lielumam un sarežģītībai. Tām jānosaka, cik lielā mērā ieguldījumu brokeru sabiedrība ievēro piemērojamās ES un valstī spēkā esošās prasības par labas iekšējās pārvaldības pasākumiem, un jāapzina visas nepilnības. Kompetentajām iestādēm jo īpaši būtu jāizvērtē, vai ieguldījumu brokeru sabiedrības iekšējās pārvaldības pasākumi nodrošina pareizu risku pārvaldību un ietver pienācīgu iekšējo kontroli un pārraudzību. Tām arī jānosaka, vai pastāv būtiski riski, ko rada vāja iekšējās pārvaldības kārtība, un tās iespējamā ietekme uz ieguldījumu brokeru sabiedrības riska profila ilgtspēju.
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Score Supervisory view Considerations
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| The business model and strategy pose 1 low the viability level of risk of the to | • • • | The investment firm generates strong and stable returns which are acceptable given its risk appetite and funding structure. There are no material asset concentrations or unsustainable concentrated sources of income. The investment firm has a strong competitive position in this. its chosen markets and a strategy likely to reinforce | | investment firm. | • • | The investment firm has financial forecasts drawn up on the basis of plausible assumptions about the future business environment. Strategic plans are appropriate given the current business model and management execution capabilities. | | 2 The business model and strategy pose a | • | The investment firm generates average returns compared to peers and/or historic performance which | | medium-low level of risk to the viability of the investment firm. | • • • • • • | are broadly acceptable given its risk appetite and funding structure. There are some asset concentrations or concentrated sources of income. The investment firm faces competitive pressure on its products/services in one or more key markets. Some doubt about its strategy to address the situation. The investment firm has financial forecasts drawn up on the basis of optimistic assumptions about the future business environment. Strategic plans are reasonable given the current business model and management execution capabilities, but not without risk. The investment firm generates returns that are often weak or not stable, or relies on a risk appetite or funding structure to generate appropriate returns that raise supervisory concerns. There are significant asset concentrations or concentrated sources of income. | | The business model and strategy pose a 3 medium-high level of risk to the viability of the investment firm. | • • • • | The investment firm has a weak competitive position for its products/services in its chosen markets, and may have few business lines with good prospects. The investment firm’s market share may be declining significantly. There are doubts about its strategy to address the situation. The investment firm has financial forecasts drawn up on the basis of overly optimistic assumptions about the future business environment. Strategic plans may not be plausible given the current business model and management execution capabilities. The investment firm generates very weak and highly unstable returns, or relies on an unacceptable risk appetite or funding structure to generate appropriate returns. | | The business model and strategy pose a 4 high the viability level of of risk the to | • • | The investment firm has extreme asset concentrations or unsustainable concentrated sources of income. The position investment for its products/services firm has a very in its poor chosen competitive markets | | investment firm. | • • | and participates in business lines with very weak prospects. Strategic plans are very unlikely to address the situation. The investment firm has financial forecasts drawn up on the basis of very unrealistic assumptions about the future business environment. Strategic plans are not plausible given the current business model and management execution capabilities. |
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1.1 Atsauces
1.2 Identificētās prasības
1.3 Saistītie standarti
2. Identificētās prasības
3. Saistītie standarti
- EBA - Published by the European Banking Authority at https://www.eba.europa.eu/
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