Lexparency.org
Deutsch
Español
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)- Recitals
TITLE I — SUBJECT MATTER, SCOPE AND 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
- TITLE IV — PRUDENTIAL SUPERVISION
- CHAPTER 1 — Principles of prudential supervision
- CHAPTER 2 — Review process
- Section 1 — Internal capital adequacy assessment process and internal risk‐assessment process
- 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
- 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
- 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
- TITLE VI — DELEGATED ACTS
- TITLE VII — AMENDMENTS TO OTHER DIRECTIVES
- TITLE VIII — FINAL PROVISIONS
- Final