Search results with tag "Investment firms"
EBA-CP-2020-06 CP on draft RTS on prudential requirements ...
www.eba.europa.euprudential framework for investment firms. 3. A significant number of mandates have been given to the EBA under the IFD and the IFR. The mandates cover a broad range of areas related to the prudential treatment of investment firms. These include 18 RTS, 3 implementing technical standards (ITS), 6 sets of guidelines, 2 reports,
Guidelines
www.esma.europa.euRegulation (EU) 2017/590 are met by some Investment Firms in the chain.....131 5.27 Investment Firm acting under a discretionary mandate for multiple clients .....143 5.27.1 Investment Firm acting under a discretionary mandate for multiple clients without
Law of 12 July 2013 on alternative investment fund managers
www.cssf.luthe prudential supervision of investment firms and amendingDirectives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU; b) partially Directive (EU) 2019/2177 of the European Parliament and of the Council of 18 December 2019 amending Directive 2009/138/EC on the takingup and pursuit of the b- usiness of Insurance
onsultation Paper
www.eba.europa.euconsolidated data concern the scope of prudential consolidation and include data on the variable remuneration of institutions, investment firms, other financial institutions and ancillary undertakings. The Commission Implementing Regulation (EU) 2021/637 of …
Deloitte Note: EBA Guidelines on outsourcing arrangements ...
www2.deloitte.cominvestment firms subject to the CRD, as well as payment and electronic money institutions. EBA Guidelines on outsourcing arrangements 04 The guidelines include requirements that aim to ensure: a. effective day-to-day management and oversight by the management ... taking into account the prudential scope of consolidation. The EU parent
Capital Requirements Directive IV Framework Large …
www.allenovery.com3 www.allenovery.com Introduction The large exposures regime requires banks and investment firms to monitor and control their large exposures.