297. When communicating the prudential requirements to investment firms, competent authorities …

When communicating the prudential requirements to investment firms, competent authorities should substantiate their decision to impose additional own funds requirement giving a clear account of the full assessment of the elements listed in paragraph 273 in accordance with Article 40(5) of Directive (EU) 2019/2034. The justification should be investment firm-specific and should provide a clear indication of the main drivers underlying the additional own funds requirement, including the risks and elements of risks contributing to such additional own funds requirement. In justifying additional own funds requirement competent authorities should refer to all relevant risk categories, i.e. risks associated to an unorderly wind-down, risk-to-clients, risk-to-markets, risk-to firms and other risks.

1. Pārskats

1.1 Atsauces

• Article 40 5.

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/