153. For Risk-to-Client, Risk-to-Market, Risk-to-Firm, as well as for fixed overheads requirement …

For Risk-to-Client, Risk-to-Market, Risk-to-Firm, as well as for fixed overheads requirement, competent authorities should verify the investment firm’s compliance with the minimum requirements specified in Regulation (EU) 2019/2033. However, these guidelines allow competent authorities to extend the scope of the assessment beyond those requirements to form a comprehensive view on risks to capital. In particular, competent authorities should identify situations where certain risks or elements of risk are insufficiently covered by the minimum own funds requirements, despite compliance with the requirements of Regulation (EU) 2019/2033. For instance, the lag due to the use of rolling average for some K-Factors may flatten activity peaks and using tied agents instead of internal staff results in underestimating expenses. This assessment should inform the determination of additional own funds requirement in accordance with section 7.2.1.

1. Pārskats

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

3. Saistītie standarti

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