COMMISSION IMPLEMENTING REGULATION (EU) 2022/389
of 8 March 2022
laying down implementing technical standards for the application of Directive (EU) 2019/2034 of the European Parliament and of the Council with regard to the format, structure, content lists and annual publication date of the information to be disclosed by competent authorities
(Text with EEA relevance)
Article 1
Laws, regulations, administrative rules and general guidance
Article 2
Options and discretions
Article 3
General criteria and methodologies for supervisory review and evaluation process
Article 4
Aggregated statistical data
Article 5
Annual publication date
Article 6
Entry into force
ANNEX I
RULES AND GUIDANCE
List of templates
PART 1 |
Transposition of Directive (EU) 2019/2034 |
PART 2 |
Model approval |
PART 3 |
Specific disclosure requirements applied to investment firms |
PART 4 |
Regulatory reporting |
PART 1
Transposition of Directive (EU) 2019/2034
|
Transposition of provisions of Directive (EU) 2019/2034 |
Provisions of Directive (EU) 2019/2034 |
Links to national text (1) |
Reference(s) to national provisions (2) |
Available in EN (Y/N) |
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010 |
Date of the last update of information in these templates |
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(dd/mm/yyyy) |
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020 |
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Articles 1 to 3 |
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030 |
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Articles 4 to 8 |
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040 |
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Articles 9 to 11 |
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050 |
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060 |
CHAPTER 1 - Principles of prudential supervision |
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070 |
Section 1 - Competences and duties of home and host Member States |
Articles 12 to 14 |
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080 |
Section 2 - Professional secrecy and duty to report |
Articles 15 to 17 |
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090 |
Section 3 - Sanctions, investigatory powers and right of appeal |
Articles 18 to 23 |
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100 |
CHAPTER 2 - Review process |
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110 |
Section 1 - Internal capital adequacy assessment process and internal risk |
Article 24 |
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120 |
Section 2 - Internal governance, transparency, treatment of risks and remuneration |
Articles 25 to 35 |
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130 |
Section 3 - Supervisory review and evaluation process |
Articles 36 to 37 |
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140 |
Section 4 - Supervisory measures and powers |
Articles 38 to 45 |
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150 |
CHAPTER 3 - Supervision of investment firm groups |
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160 |
Section 1 - Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test |
Articles 46 to 50 |
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170 |
Section 2 - Investment holding companies, mixed financial holding companies and mixed-activity holding companies |
Articles 51 to 56 |
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180 |
TITLE V - PUBLICATION BY COMPETENT AUTHORITIES |
Article 57 |
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190 |
TITLE VI - DELEGATED ACTS |
Article 58 |
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200 |
TITLE VII - AMENDMENTS TO OTHER DIRECTIVES |
Articles 59 to 64 |
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210 |
TITLE VIII - FINAL PROVISIONS |
Articles 65 to 69 |
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PART 2
Model approval
(3)
010 |
Date of the last update of information in this template |
(dd/mm/yyyy) |
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Description of the approach |
020 |
Supervisory approach for the approval of the use of alternative Internal Model Approach (IMA) to calculate minimum capital requirements for market risk |
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030 |
Minimum documentation to be provided by the investment firm applying for the use of alternative IMA |
[free text] |
040 |
Description of the assessment process conducted by the competent authority (use of self-assessment, reliance on external auditors and on-site-inspections) and main criteria of the assessment |
[free text] |
050 |
Form of the decisions taken by the competent authority and communication of the decisions to applicants |
[free text] |
PART 3
Specific disclosure requirements applied to investment firms
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Directive (EU) 2019/2034 |
Provision |
Information to be provided by the competent authority |
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010 |
Date of the last update of information in this template |
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(dd/mm/yyyy) |
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020 |
Article 44(a) |
Competent authorities have the power to require investment firms that do not meet the conditions for qualifying as small and non-interconnected investment firms set out in Article 12(1) of Regulation (EU) 2019/2033 and investment firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to publish the information referred to in Article 46 of that regulation more than once a year and to set deadlines for that publication; |
Frequency and deadlines for publication applicable to investment firms |
[free text] |
030 |
Article 44(b) |
Competent authorities may require investment firms that do not meet the conditions for qualifying as small and non-interconnected investment firms set out in Article 12(1) of Regulation (EU) 2019/2033 and investment firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to use specific media and locations, in particular the investment firms’ websites, for publications other than the financial statements; |
Types of specific media to be used by investement firms |
[free text] |
040 |
Article 44(c) |
Competent authorities may require parent undertakings to publish annually, either in full or by way of references to equivalent information, a description of their legal structure and governance and organisational structure of the investment firm group in accordance with Article 26(1) of this Directive and with Article 10 of Directive 2014/65/EU. |
Investment firm group parent's legal structure and governance and organisational structure |
[free text] |
PART 4
Regulatory reporting
010 |
Date of the last update of information in this template |
(dd/mm/yyyy) |
020 |
Implementation of the reporting on financial information in accordance with Commission Implementing Regulation XXX/2021 |
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030 |
Are XBRL standards used for submitting the reporting to the competent authority? |
[Yes/No] |
ANNEX II
OPTIONS AND DISCRETIONS
List of templates
PART 1 |
Options and discretions set out in Directive (EU) 2019/2034, Regulation (EU) 2019/2033 |
PART 2 |
Number of investment firms using transitional provisions set out in Directive (EU) 2019/2034 and Regulation (EU) 2019/2033 |
PART 3 |
Variable elements of remuneration (Article 32 of Directive (EU) 2019/2034) |
PART 1
Options and discretions set out in Directive (EU) 2019/2034, Regulation (EU) 2019/2033
|
Directive (EU) 2019/2034 |
Regulation (EU) 2019/2033 |
Addressee |
Denomination |
Description of the option or discretion |
Exercised (Y/N/NA) (1) |
National text (2) |
Reference(s) (3) |
Available in EN (Y/N) |
Details / Comments |
010 |
Date of the last update of information in this template |
(dd/mm/yyyy) |
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020 |
5(1) |
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Competent authority |
Application of CRD requirements |
Competent authorities may decide to apply Regulation (EU) No 575/2013 to an investment firm that carries out activities specified in points 3 and 6 in Section A of Annex I of Directive 2014/65/EU where the total value of the consolidated assets of the investment firm is equal to or exceeds EUR 5 000 000 000 where conditions of Article 5(1) of Directive (EU) 2019/2034 apply. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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030 |
24(2) |
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Competent authority |
Internal capital and liquid assets |
Competent authorities may request small and non-interconnected investment firms to apply requirements for internal capital and liquid assets as provided for in Article 24 of Directive (EU) 2019/2034. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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040 |
36(2) |
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Competent authority |
Supervisory review and evaluation |
Competent authorities shall decide on a case-by-case basis whether and in which form the review and evaluation is to be carried out for small and non-interconnected investment firms. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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050 |
40(7) |
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Competent authority |
Additional own funds requirement |
Competent authorities may impose on a case-by-case basis an additional own funds requirements referred to in Article 40 of Directive (EU) 2019/2034 on small and non-interconnected investment firms. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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060 |
41(1) |
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Competent authority |
Additional own funds requirement |
Competent authorities may request investment firms which are not small and non-interconnected investment firms to have a level of own funds which would cover the potential impact of cyclical economic fluctuations. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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070 |
42(1) |
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Competent authority |
Liquidity requirements |
Competent authorities shall impose specific liquidity requirements referred to in point (k) of Article 39(2) of Directive (EU) 2019/2034 for investment firms for which liquidity requirements apply as referred to in Article 42(1) of Directive (EU) 2019/2034. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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080 |
46(6) |
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Competent authority |
Exemption from group supervisor criteria |
Competent authorities may designate a supervisor on a consolidated basis other than the one referred to in Article 46(6) of Directive (EU) 2019/2034. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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090 |
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1(2)(c) |
Competent authority |
Application of Capital Requirements Regulation (Regulation (EU) No 575/2013) requirements |
Competent authority may decide to apply Regulation (EU) No 575/2013 requirements for investment firms which carry out activities specified in points 3 and 6 in Section A of Annex I of Directive 2014/65/EU and for which the value of total consolidated assets of the investment firm or group of investment firms is equal to or exceeds EUR 15 000 000 000 in accordance with Article 1(2) of Regulation (EU) 2019/2033. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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100 |
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1(5) |
Competent authority |
Application of Regulation (EU) No 575/2013 requirements |
Competent authorities may allow Regulation (EU) No 575/2013 requirements to be applied to investment firms which carry out activities specified in points 3 and 6 in Section A of Annex I of Directive 2014/65/EU and if the investment firm is a subsidiary of a credit institution or financial holding company or a mixed financial holding company in accordance with Article 1(5) of Regulation (EU) 2019/2033. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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110 |
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6(1) |
Competent authority |
Application of requirements on an individual basis |
Competent authorities may exempt an investment firm from the application of Article 5 of Regulation (EU) 2019/2033 in respect of parts 2, 3, 4, 6 and 7, where all conditions of Article 6(1) are fulfilled. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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120 |
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6(2) |
Competent authority |
Application of requirements on an individual basis |
Competent authorities may exempt an investment firm from the application of Article 5 of Regulation (EU) 2019/2033 in respect of part 6, where all conditions of Article 6(2) are fulfilled. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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130 |
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6(3) |
Competent authority |
Application of requirements on an individual basis |
Competent authorities may exempt an investment firm from the application of Article 5 of the Regulation (EU) 2019/2033 in respect of part 5 where all conditions of Article 6(3) are fulfilled. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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140 |
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7(4) |
Competent authority |
Application of requirements on a consolidated basis |
Competent authorities may exempt the parent undertaking from requirements to comply with the obligation laid down in part 5 on the basis of their consolidated situation. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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150 |
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8(1) |
Competent authority |
Application of requirements on a consolidated basis |
Competent authorities may allow the application of Article 8 of Regulation (EU) 2019/2033 where group structures are sufficiently simple, there are no significant risks to clients or to the market from the investment firm group as a whole that would otherwise require supervision on a consolidated basis. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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160 |
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8(4) |
Competent authority |
Application of requirements on a consolidated basis |
Competent authorities may allow a parent to hold a lower amount of own funds than the amount calculated under Article 8(3) of Regulation (EU) 2019/2033, provided that this amount is not lower than the sum of the own funds requirements imposed on an individual basis on its subsidiary investment firms, financial institutions, ancillary services undertakings and tied agents, and the total amount of any contingent liabilities in favour of those entities. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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170 |
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9(4) |
Competent authority |
Own funds |
Competent authorities may allow for investment firms which are small and non-interconnected or not legal persons or joint-stock companies to use further instruments or funds as equivalent to own funds instruments |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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180 |
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10(2) |
Competent authority |
Qualifying holdings of own funds |
Competent authorities may prohibit an investment firm from having qualifying holdings as referred to in Article 10(1) of Regulation (EU) 2019/2033, where the amount of those holdings exceeds the percentages of own funds laid down in that paragraph. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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190 |
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11(3) |
Competent authority |
Own funds |
Competent authorities may require an investment firm to be subject to different own funds requirements than the ones referred to in Article 11 of the Regulation (EU) 2019/2033 |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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200 |
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13(2) |
Competent authority |
Own funds. Fixed overheads requirement |
Competent authorities may adjust the amount of fixed overheads requirement as referred in Article 13(1) of Regulation (EU) 2019/2033 when it considers that there has been a material change in the activities of an investment firm. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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210 |
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15(4) |
Competent authority |
Own funds |
Competent authorities may adjust the corresponding amount of a relevant K-factor when they consider that there has been a material change in the business activity of the investment firm. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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220 |
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17(2) |
Competent authority |
K-factors. K-AUM (assets under management) |
The competent authority may replace missing historical data points by regulatory determinations based on the business projections of the investment firm submitted in accordance with Article 7 of Directive 2014/65/EU. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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230 |
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18(2) |
Competent authority |
K-factors. K-CMH (client money held) |
The competent authority may replace missing historical data points by regulatory determinations based on the business projections of the investment firm submitted in accordance with Article 7 of Directive 2014/65/EU. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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240 |
|
19(3) |
Competent authority |
K-factors. K-ASA (assets safeguarded and administered) |
The competent authority may replace missing historical data points by regulatory determinations based on the business projections of the investment firm submitted in accordance with Article 7 of Directive 2014/65/EU. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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250 |
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20(3) |
Competent authority |
K-factors. K-COH (client orders handled) |
The competent authority may replace missing historical data points by regulatory determinations based on the business projections of the investment firm submitted in accordance with Article 7 of Directive 2014/65/EU. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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|
260 |
|
30(1) |
Competent authority |
K-factors. K-TCD |
Competent authorities may change the volatility adjustment for certain types of commodities for which there are different levels of volatility in prices. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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270 |
|
33(4) |
Competent authority |
K-factors. K-DTF (daily trading flow) |
The competent authority may replace missing historical data points by regulatory determinations based on the business projections of the investment firm submitted in accordance with Article 7 of Directive 2014/65/EU. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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|
280 |
|
38(2) |
Competent authority |
Concentration risk |
Competent authorities may grant the investment firm a limited period to comply with the limit regarding to concentration risk and exposure value excess referred in Article 37 of Regulation (EU) 2019/2033. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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|
290 |
|
41(2) |
Competent authority |
Concentration risk |
Competent authorities may fully or partially exempt exposures referred to in Article 41(2) of Regulation (EU) 2019/2033 from the application of Article 37 of Regulation (EU) 2019/2033. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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300 |
|
43(1) |
Competent authority |
Liquidity requirements |
Competent authorities may exempt small and non-interconnected investment firms from application of liquidity requirements set out in Article 43(1) of Regulation (EU) 2019/2033. |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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PART 2
Number of investment firms using transitional provisions set out in Directive (EU) 2019/2034 and Regulation (EU) 2019/2033
|
Directive (EU) 2019/2034 |
Regulation (EU) 2019/2033 |
Adressee |
Scope |
Denomination |
Description of the option or discretion |
Year |
Exercised (Y/N/NA) (4) |
Number of investment firms applying the transitional provision |
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Date of the last update of information in this template |
(dd/mm/yyyy) |
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010 |
|
Article 57(3) |
Investment firms |
Own funds |
Application of lower own funds requirements |
Investment firms referred to in Article 57(3) of Regulation (EU) 2019/2033 may apply lower own funds requirements for a period of 5 years from 26 June 2021. |
[Year] |
[Y/N/NA] |
|
020 |
|
Article 57(4) |
Investment firms |
Own funds |
Application of lower own funds requirements |
Investment firms referred to in Article 57(4) of Regulation (EU) 2019/2033 may apply lower own funds requirements for a period of 5 years from 26 June 2021. |
[Year] |
[Y/N/NA] |
|
030 |
|
Article 57(6) |
Investment firms dealing on own accounts |
Own funds |
Application of lower own funds requirements |
Investment firms which deal on own account and which are referred to in Article 57(6) of Regulation (EU) 2019/2033 may limit their own funds requirements for a period of 5 years from 26 June 2021 to at least EUR 250 000, subject to an annual increase of at least EUR 100 000 during a 5-year period. |
[Year] |
[Y/N/NA] |
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PART 3
Variable elements of remuneration (Article 32 of Directive (EU) 2019/2034)
|
Directive (EU) 2019/2034 |
Adressee |
Provisions |
Information to disclose |
Exercised (Y/N/NA) |
References |
Available in EN (Y/N) |
Details / Comments |
010 |
Date of the last update of information in this template |
(dd/mm/yyyy) |
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020 |
Article 30(2) |
Member States |
Member states shall describe how they ensure that investment firms set the appropriate ratios between the variable and the fixed component of the total remuneration. |
[Free text/value] |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
|
030 |
Article 32(3) |
Member States or Competent Authorities |
Description of any restriction on the types and designs or prohibitions of instruments that can be used for the purposes of awarding variable remuneration. |
[Free text/value] |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
|
040 |
Article 32(5) |
Member States |
Thresholds other than those referred to in Article 32(4) that competent authority has increased for certain investment firms. |
[Value in EUR] |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
|
050 |
Article 32(6) |
Member States |
Thresholds other than those referred to in Article 32(4) that competent authority has decreased for certain investment firms. |
[Value in EUR] |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
|
060 |
Article 32(7) |
Member States |
Description of market specificities or nature of the responsibilities and job profile of staff members who are entitled to annual variable remuneration whose annual variable remuneration does not exceed EUR 50 000 and does not represent more than one fourth of that individual’s total annual remuneration but but the individual has not been subject to the exemption set out in Article 32(4). |
[Free text/value] |
[Y/N/NA] |
Mandatory if Y |
Mandatory if Y |
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ANNEX III
SUPERVISORY REVIEW AND EVALUATION PROCESS (SREP)
List of templates
SUPERVISORY REVIEW AND EVALUATION PROCESS (SREP)
(1)
010 |
Date of the last update of information in this template |
(dd/mm/yyyy) |
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020 |
Scope of application of SREP (Article 36 of IFD) |
Description of the competent authority’s approach to the scope of application of SREP including:
|
[free text or reference or hyperlink to such guidance] |
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030 |
Assessment of SREP éléments (Articles 36 of IFD) |
Description of the competent authority’s approach to the assessment of individual SREP elements including:
|
[free text or reference or hyperlink to such guidance] |
||||||
040 |
Review and evaluation of ICAAP and ILAAP (Articles 24 and 36 of IFD) |
Description of the competent authority’s approach to the review and evaluation of the additional own funds and specific liquidity requirements as part of the SREP, and, in particular, for assessing the reliability of additional own funds and liquidity calculations for the purposes of determining additional own funds and liquidity requirements including(4):
|
[free text or reference or hyperlink to such guidance] |
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050 |
Overall SREP assessment and supervisory measures (Articles 38 and 39 of IFD) |
Description of the competent authority’s approach to the overall SREP assessment (summary) and application of supervisory measures on the basis of the overall SREP assessment(5) Description of how SREP outcomes are linked to the application of early intervention measures according to Article 27 of Directive 2014/59/EU and determination of conditions whether the investment firm can be considered failing or likely to fail according to Article 32 of that Directive(6). |
[free text or reference or hyperlink to such guidance] |
ANNEX IV
AGGREGATE STATISTICAL DATA
List of templates
PART 1 |
Individual data per competent authority |
PART 2 |
Data on market risk |
PART 3 |
Data on supervisory measures and administrative penalties |
PART 4 |
Data on exemptions |
PART 1
Individual data per Competent Authority (year 20XX)
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Reference to reporting template |
Data |
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|
Number and size of investment firms |
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|
|
010 |
Number of investment firms |
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[Value] |
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020 |
Total assets of all investment firms in the Member state (in MEUR)(1) |
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[Value] |
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|
Number and size of third country investment firms (2) |
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|
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030 |
From third countries |
Number of branches(3) |
|
[Value] |
|
040 |
Number of subsidiaries(4) |
|
[Value] |
||
|
|
|
|
|
|
|
Own funds composition with respect to own funds requirements |
|
Data, in millions euro |
Data, as percentage of total own funds requirements (6)% |
|
050 |
Total Common Equity Tier 1(5) |
I 01.00 row 0030 |
[Value] |
[Value] |
|
060 |
Total Additional Tier 1(5) |
I 01.00 row 0300 |
[Value] |
[Value] |
|
070 |
Total Tier 2 capital(5) |
I 01.00 row 0420 |
[Value] |
[Value] |
|
080 |
Total own funds(6) |
I 01.00 row 0010 |
[Value] |
[Value] |
|
|
Total own funds requirement by type |
|
Data, in millions euro |
Data, as percentage of the total own funds requirements (6) % |
|
090 |
Data on own funds requirements |
Fixed overheads requirement(7) |
I 02.00 row 0030 |
[Value] |
[Value] |
100 |
Permanent minimum capital requirement(8) |
I 02.00 row 0020 |
[Value] |
[Value] |
|
110 |
K-factor requirement(9) |
I 02.00 row 0040 |
[Value] |
[Value] |
|
120 |
of which Risk-to-Client (RtC)(10) |
I 04.00 row 0020 |
[Value] |
[Value] |
|
130 |
of which Risk-to-Market (RtM)(11) |
I 04.00 row 0090 |
[Value] |
[Value] |
|
140 |
of which Risk-to-Firm (RtF)(12) |
I 04.00 row 0120 |
[Value] |
[Value] |
PART 2
Data on market risk
(13)
(year 20XX)
Risk to market data |
Approach |
Reference to reporting template |
Data |
|
||
010 |
Own funds requirements for risk to market |
|
|
|
|
|
020 |
Breakdown by approach |
Number of investment firms using each approach with respect to the total number of investment firms(14) |
K-factor net position risk approach |
IF 04.00 row 0100 |
[Value] |
|
030 |
of which standardised approach |
|
[Value] |
|||
040 |
of which the alternative standardised approach |
|
[Value] |
|||
050 |
of which the alternative internal model approach |
|
[Value] |
|||
060 |
of which each of K-factor net position risk approach(15) |
|
[Value] |
|||
070 |
K-factor Clearing Margin Given approach |
IF 04.00 row 0110 |
[Value] |
|||
080 |
Both K-factors Clearing margin given and net position risk |
|
[Value] |
|||
090 |
|
|
|
Data in millions euro |
Data as percentage of the total own funds requirements (16) % |
|
100 |
Total own funds requirements under each approach(14) |
K-factor net position risk approach |
IF 04.00 row 0100 |
[Value] |
[Value] |
|
110 |
of which standardised approach |
|
[Value] |
[Value] |
||
120 |
of which the alternative standardised approach |
|
[Value] |
[Value] |
||
130 |
of which the alternative internal model approach(15) |
|
[Value] |
[Value] |
||
140 |
of which each of K-factor net position risk approach(15) |
|
[Value] |
[Value] |
||
150 |
K-factor Clearing margin given approach |
IF 04.00 row 0110 |
[Value] |
[Value] |
||
160 |
Both and K-factors Clearing margin given and net position risk |
|
[Value] |
[Value] |
PART 3
Data on supervisory measures and administrative penalties
(17)
(year 20XX)
|
Supervisory measures |
Data |
|
010 |
Supervisory measures taken in accordance with Article 38 (a) |
Total number of supervisory measures taken in accordance with Article 39(2) of Directive (EU) 2019/2034 |
[Value] |
020 |
to hold own funds in excess of the minimum capital requirements [Article 39(2)(a)] |
[Value] |
|
030 |
to reinforce governance arrangements and internal capital and liquid assets management [Article 39(2)(b)] |
[Value] |
|
040 |
to present a plan to restore compliance with supervisory requirements [Article 39(2)(c)] |
[Value] |
|
050 |
to apply a specific provisioning policy or treatment of assets [Article 39(2)(d)] |
[Value] |
|
060 |
to restrict/limit business or activities [Article 39(2)(e)] |
[Value] |
|
070 |
to reduce the risk inherent in the activities, products and systems, including outsourced activities [Article 39(2)(f)] |
[Value] |
|
080 |
to limit variable remuneration [Article 39(2)(g)] |
[Value] |
|
090 |
to strengthen own funds by using net profits [Article 39(2)(h)] |
[Value] |
|
100 |
to restrict/prohibit distributions or interest payments [Article 39(2)(i)] |
[Value] |
|
110 |
to impose additional or more frequent reporting requirements [Article 39(2)(j)] |
[Value] |
|
120 |
to impose specific liquidity requirements [Article 39(2)(k)] |
[Value] |
|
130 |
to impose additional disclosure requirements [Article 39(2)(l)] |
[Value] |
|
140 |
to reduce risks posed to the security of investment firms’ network and information systems [Article 39(2)(m)] |
[Value] |
|
150 |
Number and nature of other supervisory measures taken (not listed in Article 39(2) of Directive (EU) 2019/2034) |
[Value] |
|
160 |
Supervisory measures taken in accordance with Article 38(b) and other provisions of Directive (EU) 2019/2034 or Regulation (EU) 2019/2033 |
Total number of supervisory measures taken in accordance with Article 39(2) of Directive (EU) 2019/2034 |
[Value] |
170 |
to hold own funds in excess of the minimum capital requirements [Article 39(2)(a)] |
[Value] |
|
180 |
to reinforce governance arrangements and internal capital and liquid assets management [Article 39(2)(b)] |
[Value] |
|
190 |
to present a plan to restore compliance with supervisory requirements [Article 39(2)(c)] |
[Value] |
|
200 |
to apply a specific provisioning policy or treatment of assets [Article 39(2)(d)] |
[Value] |
|
210 |
to restrict/limit business or activities [Article 39(2)(e)] |
[Value] |
|
220 |
to reduce the risk inherent in the activities, products and systems, including outsourced activities [Article 39(2)(f)] |
[Value] |
|
230 |
to limit variable remuneration [Article 39(2)(g)] |
[Value] |
|
240 |
to strengthen own funds by using net profits [Article 39(2)(h)] |
[Value] |
|
250 |
to restrict/prohibit distributions or interest payments [Article 39(2)(i)] |
[Value] |
|
260 |
to impose additional or more frequent reporting requirements [Article 39(2)(j)] |
[Value] |
|
270 |
to impose specific liquidity requirements [Article 39(2)(k)] |
[Value] |
|
280 |
to impose additional disclosure requirements [Article 39(2)(l)] |
[Value] |
|
290 |
to reduce risks posed to the security of investment firms’ network and information systems [Article 39(2)(m)] |
[Value] |
|
300 |
Number and nature of other supervisory measures taken (not listed in Article 39(2) of Directive (EU) 2019/2034) |
[Value] |
|
Administrative penalties (18) |
Data |
|
010 |
Administrative penalties (for other breaches of requirements imposed by Directive (EU) 2019/2034 or Regulation (EU) 2019/2033 |
Total number of administrative penalties from Article 18(2) of Directive (EU) 2019/2034 applied: |
[Value] |
020 |
public statements identifying the natural/legal person responsible and the nature of the breach [Article 18(2)(a)] |
[Value] |
|
030 |
orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 18(2)(b)] |
[Value] |
|
040 |
temporary bans against natural person from exercising functions in investment firms [Article 18(2)(c)] |
[Value] |
|
050 |
administrative pecuniary penalties imposed on legal/natural person [points (d) to (f) of Article 18(2)] |
[Value] |
|
060 |
Number and nature of other administrative penalties applied (not specified in Article 18(2) of Directive (EU) 2019/2034) |
[free text] |
PART 4
Data on exemptions
(19)
(year 20XX)
|
Exemption granted to investment firms |
Total number of exemption granted |
Art. 9 |
010 |
Exemption from the application on an individual basis of prudential requirements set out in Article 5 in respect of parts 2, 3, 4, 6 and 7 of Regulation (EU) 2019/2033 (Article 6(1) (waivers for subsidiaries)(20) |
[Value] |
|
020 |
Exemption from the application on an individual basis of prudential requirements set out in Article 5 in respect of part 6 of Regulation (EU) 2019/2033 (Article 6(2) (waivers for subsidiaries)(20) |
[Value] |
|
030 |
Exemption from the application on an individual basis of prudential requirements set out in Article 5 in respect of part 5 of Regulation (EU) 2019/2033 (Article 6(3) (liquidity waivers for subsidiaries)) |
[Value] |
|
040 |
Exemption from the application on a consolidated basis of prudential requirements in respect of part 5 of Regulation (EU) 2019/2033 (Article 7(4) (prudential consolidation)) |
|
|
050 |
Total number of permissions granted |
[Value] |
|
060 |
Total amount of consolidated own funds held in the subsidiaries established in third countries (in EUR millions) |
[Value] |
|
070 |
Percentage of the total consolidated own funds held in subsidiaries established in third countries (%) |
[Value] |
|
080 |
Percentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%) |
[Value] |
|