Directive (EU) 2019/2034 of the European Parliament and of the Council of 27 Nove... (32019L2034)
INHALT
Directive (EU) 2019/2034 of the European Parliament and of the Council of 27 November 2019 on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU (Text with EEA relevance)
- DIRECTIVE (EU) 2019/2034 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
- of 27 November 2019
- on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU
- (Text with EEA relevance)
- TITLE I
- SUBJECT MATTER, SCOPE AND DEFINITIONS
- Article 1
- Subject matter
- Article 2
- Scope
- Article 3
- Definitions
- TITLE II
- COMPETENT AUTHORITIES
- Article 4
- Designation and powers of the competent authorities
- Article 5
- Discretion of competent authorities to subject certain investment firms to the requirements of Regulation (EU) No 575/2013
- Article 6
- Cooperation within a Member State
- Article 7
- Cooperation within the European System of Financial Supervision
- Article 8
- Union dimension of supervision
- TITLE III
- INITIAL CAPITAL
- Article 9
- Initial capital
- Article 10
- References to initial capital in Directive 2013/36/EU
- Article 11
- Composition of initial capital
- TITLE IV
- PRUDENTIAL SUPERVISION
- CHAPTER 1
- Principles of prudential supervision
- Section 1
- Competences and duties of home and host Member States
- Article 12
- Competence of the competent authorities of the home and host Member State
- Article 13
- Cooperation between competent authorities of different Member States
- Article 14
- On‐the‐spot checking and inspection of branches established in another Member State
- Section 2
- Professional secrecy and duty to report
- Article 15
- Professional secrecy and exchange of confidential information
- Article 16
- Cooperation arrangements with third countries for the exchange of information
- Article 17
- Duties of persons responsible for the control of annual and consolidated accounts
- Section 3
- Sanctions, investigatory powers and right of appeal
- Article 18
- Administrative sanctions and other administrative measures
- Article 19
- Investigatory powers
- Article 20
- Publication of administrative sanctions and other administrative measures
- Article 21
- Reporting sanctions to EBA
- Article 22
- Reporting of breaches
- Article 23
- Right of appeal
- CHAPTER 2
- Review process
- Section 1
- Internal capital adequacy assessment process and internal risk
- ‐
- assessment process
- Article 24
- Internal capital and liquid assets
- Section 2
- Internal governance, transparency, treatment of risks and remuneration
- Article 25
- Scope of application of this Section
- Article 26
- Internal governance
- Article 27
- Country‐by‐country reporting
- Article 28
- Role of the management body in risk management
- Article 29
- Treatment of risks
- Article 30
- Remuneration policies
- Article 31
- Investment firms that benefit from extraordinary public financial support
- Article 32
- Variable remuneration
- Article 33
- Remuneration committee
- Article 34
- Oversight of remuneration policies
- Article 35
- EBA report on environmental, social, and governance risks
- Section 3
- Supervisory review and evaluation process
- Article 36
- Supervisory review and evaluation
- Article 37
- Ongoing review of the permission to use internal models
- Section 4
- Supervisory measures and powers
- Article 38
- Supervisory measures
- Article 39
- Supervisory powers
- Article 40
- Additional own funds requirement
- Article 41
- Guidance on additional own funds
- Article 42
- Specific liquidity requirements
- Article 43
- Cooperation with resolution authorities
- Article 44
- Publication requirements
- Article 45
- Obligation to inform EBA
- CHAPTER 3
- Supervision of investment firm groups
- Section 1
- Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test
- Article 46
- Determination of the group supervisor
- Article 47
- Information requirements in emergency situations
- Article 48
- Colleges of supervisors
- Article 49
- Cooperation requirements
- Article 50
- Verification of information concerning entities located in other Member States
- Section 2
- Investment holding companies, mixed financial holding companies and mixed
- ‐
- activity holding companies
- Article 51
- Inclusion of holding companies in supervision of compliance with the group capital test
- Article 52
- Qualifications of directors
- Article 53
- Mixed‐activity holding companies
- Article 54
- Sanctions
- Article 55
- Assessment of third‐country supervision and other supervisory techniques
- Article 56
- Cooperation with third‐country supervisory authorities
- TITLE V
- PUBLICATION BY COMPETENT AUTHORITIES
- Article 57
- Publication requirements
- TITLE VI
- DELEGATED ACTS
- Article 58
- Exercise of the delegation
- TITLE VII
- AMENDMENTS TO OTHER DIRECTIVES
- Article 59
- Amendment to Directive 2002/87/EC
- Article 60
- Amendment to Directive 2009/65/EC
- Article 61
- Amendment to Directive 2011/61/EU
- Article 62
- Amendments to Directive 2013/36/EU
- ‘Article 1
- Subject matter
- ‘Article 5
- Coordination within Member States
- ‘Article 8a
- Specific requirements for authorisation of credit institutions referred to in point (1)(b) of Article 4(1) of Regulation (EU) No 575/2013
- ‘Article 111
- Determination of the consolidating supervisor
- Article 63
- Amendments to Directive 2014/59/EU
- Article 64
- Amendments to Directive 2014/65/EU
- ‘Article 15
- Initial capital endowment
- ‘Article 41
- Granting of the authorisation
- ‘Article 42
- Provision of services at the exclusive initiative of the client
- ‘Article 95a
- Transitional provision on the authorisation of credit institution referred to in point (1)(b) of Article 4(1) of Regulation (EU) No 575/2013
- TITLE VIII
- FINAL PROVISIONS
- Article 65
- References to Directive 2013/36/EU in other Union legal acts
- Article 66
- Review
- Article 67
- Transposition
- Article 68
- Entry into force
- Article 69
- Addressees
Feedback