+TITLE VII PRUDENTIAL SUPERVISION
---+CHAPTER 1 Principles of prudential supervision
------+Section I Competence and duties of home and host Member States
---------+Article 49 Competence of the competent authorities of the home and host Member States
------------+Article 49 1.
------------+Article 49 2.
------------+Article 49 3.
---------+Article 50 Collaboration concerning supervision
------------+Article 50 1.
------------+Article 50 2.
------------+Article 50 3.
------------+Article 50 4.
------------+Article 50 5.
------------+Article 50 6.
------------+Article 50 7.
------------+Article 50 8.
---------+Article 51 Significant branches
------------+Article 51 1.
------------+Article 51 2.
------------+Article 51 3.
------------+Article 51 4.
------------+Article 51 5.
------------+Article 51 6.
---------+Article 52 On-the-spot checking and inspection of branches established in another Member State
------------+Article 52 1.
------------+Article 52 2.
------------+Article 52 3.
------------+Article 52 4.
------+Section II Exchange of information and professional secrecy
---------+Article 53 Professional secrecy
------------+Article 53 1.
------------+Article 53 2.
------------+Article 53 3.
---------+Article 54 Use of confidential information
---------+Article 54a
---------+Article 55 Cooperation agreements
---------+Article 56 Exchange of information between authorities
---------+Article 57 Exchange of information with oversight bodies
------------+Article 57 1.
------------+Article 57 2.
------------+Article 57 3.
------------+Article 57 4.
------------+Article 57 5.
------------+Article 57 6.
---------+Article 58 Transmission of information concerning monetary, deposit protection, systemic and payment aspects
------------+Article 58 1.
------------+Article 58 2.
------------+Article 58 3.
------------+Article 58 4.
---------+Article 58a Transmission of information to international bodies
------------+Article 58a 1.
------------+Article 58a 2.
------------+Article 58a 3.
------------+Article 58a 4.
---------+Article 59 Transmission of information to other entities
------------+Article 59 1.
------------+Article 59 2.
---------+Article 60 Disclosure of information obtained by on-the-spot checks and inspections
---------+Article 61 Disclosure of information concerning clearing and settlement services
------------+Article 61 1.
------------+Article 61 2.
---------+Article 62 Processing of personal data
------+Section III Duty of persons responsible for the legal control of annual and consolidated accounts
---------+Article 63 Duty of persons responsible for the legal control of annual and consolidated accounts
------------+Article 63 1.
------------+Article 63 2.
------+Section IV Supervisory powers, powers to impose penalties and right of appeal
---------+Article 64 Supervisory powers and powers to impose penalties
------------+Article 64 1.
------------+Article 64 2.
------------+Article 64 3.
---------+Article 65 Administrative penalties, periodic penalty payments and other administrative measures
------------+Article 65 1.
------------+Article 65 2.
------------+Article 65 3.
------------+Article 65 4.
------------+Article 65 5.
---------+Article 66 Administrative penalties, periodic penalty payments and other administrative measures for breaches of authorisation requirements and requirements for acquisitions or divestiture of material holdings, material transfers of assets and liabilities, mergers or divisions
------------+Article 66 1.
------------+Article 66 2.
------------+Article 66 3.
------------+Article 66 4.
---------+Article 67 Other provisions
------------+Article 67 1.
------------+Article 67 2.
------------+Article 67 3.
------------+Article 67 4.
---------+Article 68 Publication of administrative penalties
------------+Article 68 1.
------------+Article 68 2.
------------+Article 68 3.
------------+Article 68 4.
---------+Article 69 Exchange of information on penalties and maintenance of a central database by EBA
------------+Article 69 1.
------------+Article 69 2.
------------+Article 69 3.
------------+Article 69 4.
---------+Article 70 Effective application of administrative penalties and other administrative measures, and exercise of powers to impose penalties by competent authorities
------------+Article 70 1.
------------+Article 70 2.
------------+Article 70 3.
------------+Article 70 4.
------------+Article 70 5.
---------+Article 71 Reporting of breaches
------------+Article 71 1.
------------+Article 71 2.
------------+Article 71 3.
---------+Article 72 Right of appeal
---+CHAPTER 2 Review Processes
------+Section I Internal capital adequacy assessment process
---------+Article 73 Internal Capital
------+Section II Arrangements, processes and mechanisms of institutions
---------+Sub-Section 1 General principles
------------+Article 74 Internal governance and recovery and resolution plans
---------------+Article 74 1.
---------------+Article 74 2.
---------------+Article 74 3.
------------+Article 75 Oversight of remuneration policies
---------------+Article 75 1.
---------------+Article 75 2.
---------------+Article 75 3.
---------+Sub-Section 2 Technical criteria concerning the organisation and treatment of risks
------------+Article 76 Treatment of risks
---------------+Article 76 1.
---------------+Article 76 2.
---------------+Article 76 3.
---------------+Article 76 4.
---------------+Article 76 5.
---------------+Article 76 6.
------------+Article 77 Internal Approaches for calculating own funds requirements
---------------+Article 77 1.
---------------+Article 77 2.
---------------+Article 77 3.
---------------+Article 77 4.
------------+Article 78 Supervisory benchmarking of approaches for calculating own funds requirements
---------------+Article 78 1.
---------------+Article 78 2.
---------------+Article 78 3.
---------------+Article 78 4.
---------------+Article 78 5.
---------------+Article 78 6.
---------------+Article 78 7.
---------------+Article 78 8.
---------------+Article 78 9.
------------+Article 79 Credit and counterparty risk
------------+Article 80 Residual risk
------------+Article 81 Concentration risk
------------+Article 82 Securitisation risk
---------------+Article 82 1.
---------------+Article 82 2.
------------+Article 83 Market risk
---------------+Article 83 1.
---------------+Article 83 2.
---------------+Article 83 3.
---------------+Article 83 4.
------------+Article 84 Interest risk arising from non-trading book activities
---------------+Article 84 1.
---------------+Article 84 2.
---------------+Article 84 3.
---------------+Article 84 4.
---------------+Article 84 5.
---------------+Article 84 6.
------------+Article 85 Operational risk
---------------+Article 85 1.
---------------+Article 85 2.
------------+Article 86 Liquidity risk
---------------+Article 86 1.
---------------+Article 86 2.
---------------+Article 86 3.
---------------+Article 86 4.
---------------+Article 86 5.
---------------+Article 86 6.
---------------+Article 86 7.
---------------+Article 86 8.
---------------+Article 86 9.
---------------+Article 86 10.
---------------+Article 86 11.
------------+Article 87 Risk of excessive leverage
---------------+Article 87 1.
---------------+Article 87 2.
------------+Article 87a Environmental, social and governance risks
---------------+Article 87a 1.
---------------+Article 87a 2.
---------------+Article 87a 3.
---------------+Article 87a 4.
---------------+Article 87a 5.
---------+Sub-Section 3 Governance
------------+Article 88 Governance arrangements
---------------+Article 88 1.
---------------+Article 88 2.
---------------+Article 88 3.
------------+Article 89 Country-by-country reporting
---------------+Article 89 1.
---------------+Article 89 2.
---------------+Article 89 3.
---------------+Article 89 4.
---------------+Article 89 5.
---------------+Article 89 6.
------------+Article 90 Public disclosure of return on assets
------------+Article 91 Management body and suitability assessment
---------------+Article 91 1.
---------------+Article 91 1a.
---------------+Article 91 1b.
---------------+Article 91 1c.
---------------+Article 91 1d.
---------------+Article 91 1e.
---------------+Article 91 1f.
---------------+Article 91 1g.
---------------+Article 91 1h.
---------------+Article 91 1i.
---------------+Article 91 1j.
---------------+Article 91 2.
---------------+Article 91 2a.
---------------+Article 91 2b.
---------------+Article 91 3.
---------------+Article 91 4.
---------------+Article 91 5.
---------------+Article 91 6.
---------------+Article 91 7.
---------------+Article 91 8.
---------------+Article 91 9.
---------------+Article 91 10.
---------------+Article 91 11.
---------------+Article 91 12.
---------------+Article 91 13.
---------------+Article 91 14.
------------+Article 91a Key function holders and suitability assessment
---------------+Article 91a 1.
---------------+Article 91a 2.
---------------+Article 91a 3.
---------------+Article 91a 4.
---------------+Article 91a 5.
---------------+Article 91a 6.
---------------+Article 91a 7.
---------------+Article 91a 8.
------------+Article 92 Remuneration policies
---------------+Article 92 2.
---------------+Article 92 3.
------------+Article 93 Institutions that benefit from government intervention
------------+Article 94 Variable elements of remuneration
---------------+Article 94 1.
---------------+Article 94 2.
---------------+Article 94 3.
---------------+Article 94 4.
---------------+Article 94 5.
---------------+Article 94 6.
---------------+Article 94 7.
------------+Article 95 Remuneration Committee
---------------+Article 95 1.
---------------+Article 95 2.
------------+Article 96 Maintenance of a website on corporate governance and remuneration
------+Section III Supervisory review and evaluation process
---------+Article 97 Supervisory review and evaluation
------------+Article 97 1.
------------+Article 97 2.
------------+Article 97 3.
------------+Article 97 4.
------------+Article 97 4a.
------------+Article 97 5.
------------+Article 97 6.
---------+Article 98 Technical criteria for the supervisory review and evaluation
------------+Article 98 1.
------------+Article 98 2.
------------+Article 98 3.
------------+Article 98 4.
------------+Article 98 5.
------------+Article 98 5a.
------------+Article 98 6.
------------+Article 98 7.
------------+Article 98 8.
------------+Article 98 9.
------------+Article 98 10.
---------+Article 99 Supervisory examination programme
------------+Article 99 1.
------------+Article 99 2.
------------+Article 99 3.
------------+Article 99 4.
---------+Article 100 Supervisory stress testing
------------+Article 100 1.
------------+Article 100 2.
------------+Article 100 3.
------------+Article 100 4.
------------+Article 100 5.
---------+Article 101 Ongoing review of the permission to use internal approaches
------------+Article 101 1.
------------+Article 101 2.
------------+Article 101 3.
------------+Article 101 4.
------------+Article 101 5.
------+Section IV Supervisory measures and powers
---------+Article 102 Supervisory measures
------------+Article 102 1.
------------+Article 102 2.
---------+Article 104 Supervisory powers
------------+Article 104 1.
------------+Article 104 2.
------------+Article 104 4.
---------+Article 104a Additional own funds requirement
------------+Article 104a 1.
------------+Article 104a 2.
------------+Article 104a 3.
------------+Article 104a 4.
------------+Article 104a 5.
------------+Article 104a 6.
------------+Article 104a 7.
------------+Article 104a 8.
---------+Article 104b Guidance on additional own funds
------------+Article 104b 1.
------------+Article 104b 2.
------------+Article 104b 3.
------------+Article 104b 4.
------------+Article 104b 4a.
------------+Article 104b 5.
------------+Article 104b 6.
---------+Article 104c Cooperation with resolution authorities
---------+Article 105 Specific liquidity requirements
---------+Article 106 Specific publication requirements
------------+Article 106 1.
------------+Article 106 2.
---------+Article 107 Consistency of supervisory reviews, evaluations and supervisory measures
------------+Article 107 1.
------------+Article 107 2.
------------+Article 107 3.
------+Section V Level of application
---------+Article 108 Internal capital adequacy assessment process
------------+Article 108 1.
------------+Article 108 2.
------------+Article 108 4.
---------+Article 109 Institutions’ arrangements, processes and mechanisms
------------+Article 109 1.
------------+Article 109 2.
------------+Article 109 3.
------------+Article 109 4.
------------+Article 109 5.
------------+Article 109 6.
---------+Article 110 Review and evaluation and supervisory measures
---+CHAPTER 3 Supervision on a consolidated basis
------+SECTION I Application of this Chapter to investment firm groups
---------+Article 110a Scope of application to investment firm groups
------+Section I Principles for conducting supervision on a consolidated basis
---------+Article 111 Determination of the consolidating supervisor
------------+Article 111 1.
------------+Article 111 2.
------------+Article 111 3.
------------+Article 111 4.
------------+Article 111 5.
------------+Article 111 6.
------------+Article 111 7.
---------+Article 112 Coordination of supervisory activities by the consolidating supervisor
------------+Article 112 1.
------------+Article 112 2.
------------+Article 112 3.
---------+Article 113 Joint decisions on institution-specific prudential requirements
------------+Article 113 1.
------------+Article 113 2.
------------+Article 113 3.
------------+Article 113 4.
------------+Article 113 5.
---------+Article 114 Information requirements in emergency situations
------------+Article 114 1.
------------+Article 114 2.
---------+Article 115 Coordination and cooperation arrangements
------------+Article 115 1.
------------+Article 115 2.
------------+Article 115 3.
---------+Article 116 Colleges of supervisors
------------+Article 116 1.
------------+Article 116 1a.
------------+Article 116 2.
------------+Article 116 3.
------------+Article 116 4.
------------+Article 116 5.
------------+Article 116 6.
------------+Article 116 7.
------------+Article 116 8.
------------+Article 116 9.
---------+Article 116a Accessibility of information on the European single access point
---------+Article 117 Cooperation obligations
------------+Article 117 1.
------------+Article 117 2.
------------+Article 117 3.
------------+Article 117 4.
------------+Article 117 5.
------------+Article 117 6.
---------+Article 118 Checking information concerning entities in other Member States
------+Section II Financial holding companies, mixed financial holding companies and mixed-activity holding companies
---------+Article 119 Inclusion of holding companies in consolidated supervision
------------+Article 119 1.
------------+Article 119 2.
------------+Article 119 3.
---------+Article 120 Supervision of mixed financial holding companies
------------+Article 120 1.
------------+Article 120 2.
------------+Article 120 3.
------------+Article 120 4.
---------+Article 121 Qualification of members of the management body
---------+Article 122 Requests for information and inspections
------------+Article 122 1.
------------+Article 122 2.
---------+Article 123 Supervision
------------+Article 123 1.
------------+Article 123 2.
---------+Article 124 Exchange of information
------------+Article 124 1.
------------+Article 124 2.
------------+Article 124 3.
---------+Article 125 Cooperation
------------+Article 125 1.
------------+Article 125 2.
------------+Article 125 3.
---------+Article 126 Penalties
---------+Article 127 Assessment of equivalence of third countries’ consolidated supervision
------------+Article 127 1.
------------+Article 127 2.
------------+Article 127 3.
---+CHAPTER 4 Capital Buffers
------+Section I Buffers
---------+Article 128 Definitions
---------+Article 129 Requirement to maintain a capital conservation buffer
------------+Article 129 1.
------------+Article 129 5.
---------+Article 130 Requirement to maintain an institution-specific countercyclical capital buffer
------------+Article 130 1.
------------+Article 130 5.
---------+Article 131 Global and other systemically important institutions
------------+Article 131 1.
------------+Article 131 2.
------------+Article 131 2a.
------------+Article 131 3.
------------+Article 131 4.
------------+Article 131 5.
------------+Article 131 5a.
------------+Article 131 6.
------------+Article 131 7.
------------+Article 131 8.
------------+Article 131 9.
------------+Article 131 10.
------------+Article 131 12.
------------+Article 131 14.
------------+Article 131 15.
------------+Article 131 18.
---------+Article 133 Requirement to maintain a systemic risk buffer
------------+Article 133 1.
------------+Article 133 2.
------------+Article 133 3.
------------+Article 133 4.
------------+Article 133 5.
------------+Article 133 6.
------------+Article 133 7.
------------+Article 133 8.
------------+Article 133 9.
------------+Article 133 10.
------------+Article 133 11.
------------+Article 133 12.
------------+Article 133 13.
------------+Article 133 14.
------------+Article 133 15.
---------+Article 134 Recognition of a systemic risk buffer rate
------------+Article 134 1.
------------+Article 134 2.
------------+Article 134 3.
------------+Article 134 4.
------------+Article 134 5.
------+Section II Setting and calculating countercyclical capital buffers
---------+Article 135 ESRB guidance on setting countercyclical buffer rates
------------+Article 135 1.
------------+Article 135 2.
------------+Article 135 3.
---------+Article 136 Setting countercyclical buffer rates
------------+Article 136 1.
------------+Article 136 2.
------------+Article 136 3.
------------+Article 136 4.
------------+Article 136 5.
------------+Article 136 6.
------------+Article 136 7.
---------+Article 137 Recognition of countercyclical buffer rates in excess of 2,5 %
------------+Article 137 1.
------------+Article 137 2.
---------+Article 138 ESRB recommendation on third country countercyclical buffer rates
---------+Article 139 Decision by designated authorities on third country countercyclical buffer rates
------------+Article 139 1.
------------+Article 139 2.
------------+Article 139 3.
------------+Article 139 4.
------------+Article 139 5.
---------+Article 140 Calculation of institution-specific countercyclical capital buffer rates
------------+Article 140 1.
------------+Article 140 2.
------------+Article 140 3.
------------+Article 140 4.
------------+Article 140 5.
------------+Article 140 6.
------------+Article 140 7.
------+Section III Capital conservation measures
---------+Article 141 Restrictions on distributions
------------+Article 141 1.
------------+Article 141 2.
------------+Article 141 3.
------------+Article 141 4.
------------+Article 141 5.
------------+Article 141 6.
------------+Article 141 7.
------------+Article 141 8.
------------+Article 141 9.
------------+Article 141 10.
---------+Article 141a Failure to meet the combined buffer requirement
---------+Article 141b Restriction on distributions in case of failure to meet the leverage ratio buffer requirement
------------+Article 141b 1.
------------+Article 141b 2.
------------+Article 141b 3.
------------+Article 141b 4.
------------+Article 141b 5.
------------+Article 141b 6.
------------+Article 141b 7.
------------+Article 141b 8.
------------+Article 141b 9.
------------+Article 141b 10.
---------+Article 141c Failure to meet the leverage ratio buffer requirement
---------+Article 142 Capital Conservation Plan
------------+Article 142 1.
------------+Article 142 2.
------------+Article 142 3.
------------+Article 142 4.
|
TITLE VII PRUDENTIAL SUPERVISION
TITLE VII PRUDENTIAL SUPERVISION
1. Przegląd
1.1 Odwołania
1.2 Zidentyfikowane wymagania
1.3 Powiązane normy
2. Zidentyfikowane wymagania
Wymagania
| Źródło |
Wymaganie |
3. Powiązane normy
|