371. In determining the overall SREP assessment, competent authorities should consider the findings …

In determining the overall SREP assessment, competent authorities should consider the findings of the assessments of the SREP elements, specifically:

• a. the risks to which the investment firm is or may be exposed;
• b. the likelihood that the investment firm’s governance, control deficiencies and/or business model or strategy are likely to exacerbate or mitigate these risks, or expose the investment firm to new sources of risk;
• c. whether the investment firm’s own funds and liquidity resources provide sound coverage of these risks; and
• d. the potential for positive and negative interaction between the elements (notably competent authorities may consider a strong capital position as a potential mitigating factor for certain concerns identified in the area of liquidity and funding, or by contrast, that a weak capital position may exacerbate concerns in that area).

1. Pārskats

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

3. Saistītie standarti

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