+CHAPTER 2 ASSESSMENT OF QUALITATIVE REQUIREMENTS
---+Article 5 Overview of the assessment of qualitative requirements
------+Article 5 (a)
------+Article 5 (b)
------+Article 5 (c)
------+Article 5 (d)
------+Article 5 (e)
------+Article 5 (f)
------+Article 5 (g)
------+Article 5 (h)
------+Article 5 (i)
------+Article 5 (j)
------+Article 5 (k)
------+Article 5 (l)
------+Article 5 (m)
------+Article 5 2
---+Article 6 Assessment of the adequacy of the composition and role of the management body and senior management
------+Article 6 1
------+Article 6 2
------+Article 6 3
------+Article 6 4
---+Article 7 Assessment of whether trading desks comply with Article 104b of Regulation (EU) No 575/2013
------+Article 7 (a)
------+Article 7 (b)
------+Article 7 (c)
------+Article 7 (d)
------+Article 7 (e)
------+Article 7 (f)
------+Article 7 (g)
------+Article 7 (h)
------+Article 7 2
------+Article 7 3
---+Article 8 Assessment of the internal governance and oversight of the institution in relation to the risk control unit
------+Article 8 1
------+Article 8 2
------+Article 8 3
---+Article 9 Assessment of the new product policy
------+Article 9 (a)
------+Article 9 (b)
------+Article 9 (c)
------+Article 9 (d)
------+Article 9 (e)
------+Article 9 (f)
------+Article 9 (g)
------+Article 9 (h)
------+Article 9 (i)
---+Article 10 Independent review of the internal risk-measurement model
------+Article 10 1
------+Article 10 2
------+Article 10 3
---+Article 11 Assessment of the validation of any internal risk measurement models, and of the outcome of such validation
------+Article 11 1
------+Article 11 2
---+Article 12 Assessment of the adequacy of the scope and completeness of the internal validation
------+Article 12 1
------+Article 12 2
------+Article 12 3
---+Article 13 Assessment of the adequacy of reporting
------+Article 13 (a)
------+Article 13 (b)
---+Article 14 Assessment of adequacy of trading limits
------+Article 14 (a)
------+Article 14 (b)
------+Article 14 (c)
------+Article 14 (d)
------+Article 14 (e)
------+Article 14 (f)
------+Article 14 (g)
------+Article 14 2
---+Article 15 Assessment of the adequacy of the process to update trading limits
------+Article 15 1
------+Article 15 2
---+Article 16 Assessment of the adequacy of the process relating to trading limit breaches
------+Article 16 1
------+Article 16 2
---+Article 17 Assessment of the adequacy of the stress testing programme
------+Article 17 1
------+Article 17 2
------+Article 17 3
---+Article 18 Assessment of the adequacy of the reverse and ad-hoc stress testing scenarios
------+Article 18 1
------+Article 18 2
---+Article 19 Assessment of the internal risk-measurement model in relation to the robustness of the IT systems
------+Article 19 1
------+Article 19 2
---+Article 20 Assessment of reasonable accuracy of the internal risk-measurement model, including pricing model
------+Article 20 1
------+Article 20 2
------+Article 20 3
---+Article 21 Assessment of the internal risk-measurement model in relation to additional back-testing programmes
------+Article 21 1
------+Article 21 2
|
CHAPTER 2 ASSESSMENT OF QUALITATIVE REQUIREMENTS
CHAPTER 2 ASSESSMENT OF QUALITATIVE REQUIREMENTS
1. Ħarsa ġenerali
| Titlu |
Regolamentazzjoni |
|
Article 5 Overview of the assessment of qualitative requirements
|
When assessing an institution’s compliance with the qualitative requirements set out in Article 325bi of Regulation (EU) No 575/2013, competent authorities shall:
|
|
Article 6 Assessment of the adequacy of the composition and role of the management body and senior management
|
|
|
Article 7 Assessment of whether trading desks comply with Article 104b of Regulation (EU) No 575/2013
|
When assessing whether trading desks comply with Article 104b of Regulation (EU) No 575/2013, competent authorities shall:
|
|
Article 8 Assessment of the internal governance and oversight of the institution in relation to the risk control unit
|
|
|
Article 9 Assessment of the new product policy
|
When assessing whether the internal policies referred to in Article 325bi(1), point (e), of Regulation (EU) No 575/2013 are adequate for the introduction of any new product, including new financial instruments, activities, markets, booking locations or business lines, competent authorities shall verify whether:
|
|
Article 10 Independent review of the internal risk-measurement model
|
|
|
Article 11 Assessment of the validation of any internal risk measurement models, and of the outcome of such validation
|
|
|
Article 12 Assessment of the adequacy of the scope and completeness of the internal validation
|
|
|
Article 13 Assessment of the adequacy of reporting
|
When assessing the adequacy of the reports referred to in Article 104b(2), points (d) and (f), and Article 325bi(1), point (b), of Regulation (EU) No 575/2013, competent authorities shall verify:
|
|
Article 14 Assessment of adequacy of trading limits
|
When assessing the adequacy of trading limits referred to in Article 103(2), point (b)(ii), Article 104b(2), points (c) and (f), and Article 325bi(1), point (b), of Regulation (EU) No 575/2013, competent authorities shall verify whether:
|
|
Article 15 Assessment of the adequacy of the process to update trading limits
|
|
|
Article 16 Assessment of the adequacy of the process relating to trading limit breaches
|
|
|
Article 17 Assessment of the adequacy of the stress testing programme
|
|
|
Article 18 Assessment of the adequacy of the reverse and ad-hoc stress testing scenarios
|
|
|
Article 19 Assessment of the internal risk-measurement model in relation to the robustness of the IT systems
|
|
|
Article 20 Assessment of reasonable accuracy of the internal risk-measurement model, including pricing model
|
|
|
Article 21 Assessment of the internal risk-measurement model in relation to additional back-testing programmes
|
|
,
1.1 Referenzi
1.2 Rekwiżiti identifikati
1.3 Standards relatati
2. Rekwiżiti identifikati
3. Standards relatati
|