Events listed in Investment Firms Regulation (IFR)
FAQ zu Eigenmittelanforderungen iSd. Art. 17 IFR
ID 26031
Die BaFin veröffentlicht deine FAQ zu Eigenmittelanforderungen iSd. Art. 17 IFR. Folgende Frage und die darauf bezogene Antwort ist zu beachten: 1. Findet Art. 17 Abs. 2 Unterabsatz 2 der Delegierten Verordnung 2019/2033 (IFR) nur auf die Finanzportfolioverwaltung Anwendung oder auch auf die Anlageberatung? Art. 17 Abs. 2 Unterabsatz 2 der Delegierten Verordnung 2019/2033 (IFR) findet nur auf die Finanzportfolioverwaltung Anwendung, nicht jedoch auf ...
BVI Position on the EBA Consultation Paper on the Guidelines on the application of ...
ID 25482
Der BVI nimmt Stellung zum Konsultationspapier der EBA (eventid=22414) bezüglich der Leitlinien zur Anwendung des Gruppenkapitaltests für Investitionsfirmengruppen gemäß Artikel 8 der Verordnung (EU) 2033/2019 (IFR). Der BVI vertritt die Ansicht, dass die EBA kein Mandat für die Ausgabe solcher Leitlinien hat, da Artikel 8 der IFR – im Gegensatz zu Artikel 7 – keine Grundlage für die Definition der Kriterien durch technische Regulierungsstandards ...
Berekening K-COH en K-DTF
ID 25271
DNB reports in its News section that the EBA has published a Q&A on the calculation of K-COH, relevant to K-DTF. Institutions must correctly report K-COH and K-DTF after calculating them. For investment firms not qualifying as a ’small and non-interconnected investment firm,‘ their own capital requirement is built on K-factors from the IFR. According to the recent EBA **Q&A that clarified the applicable ...
5 Q&A´s on IFR and CRR
ID 24729
EBA has published 5 new Q&As regarding issues relating to the IFR and the CRR: — 2022_6384 – Supervisory Reporting (IFR) – IFR reporting QUESTION: What would be an example of how firms should read Article 20(1) IFR for reporting purposes in template I 06.07 and I 06.08 of annex I to Regulation (EU) 2021/2284? ANSWER: Article 20(1) of EU Regulation 2019/2033 requires firms ...
The EBA consults on Guidelines on the application of the group capital test for ...
ID 24376
EBA has released draft Guidelines concerning the application of the group capital test for investment firm groups. These Guidelines aim to establish consistent criteria for assessing the use of the group capital test across the EU. The group capital test is an alternative to the prudential consolidation process for investment firm groups, as outlined in IFR, it allows investment firm groups to **calculate own ...
Terugkoppeling onderzoek marktrisico handelaren eigen rekening
ID 24358
In mid-January 2023, DNB initiated an investigation into market risk among a group of supervised proprietary traders. The purpose of this inquiry was to gain an understanding of the reporting and risk management framework for market risk. While individual institutions will receive specific feedback, this sector-wide news update focuses on the general findings and areas of concern arising from the investigation. The research has ...
Cofnięcie zezwolenia na prowadzenie działalności maklerskiej przez Athena ...
ID 23809
The Polish Financial Supervision Authority, KNF, has published a press statement to inform that on May 31, 2023, the KNF decided to revoke the authorization of Athena Investments Dom Maklerski SA, a brokerage firm located in Katowice, to conduct brokerage activities in Poland. The revocation will be effective one month from the above noted decision date. The reason for the withdrawal of the authorization ...
EBA publishes draft technical standards on the prudential consolidation of an ...
ID 23224
EBA has published a draft RTS on the scope and methods of consolidation of an investment firm group under Article 7(5) IFR. These RTS provide detailed guidance on the scope and methods for the prudential consolidation, as well as the methodology for the consolidation of capital requirements and the rules applicable for minority interest and additional Tier 1 and Tier 2 instruments issued by ...
Złożenie przez Everest Investment Management SA wniosku o ponowne rozpatrzenie ...
ID 22996
On April 26, 2023, the Polish Financial Supervision Authority (KNF) published a press release to inform that Everest Investment Management SA, a brokerage house which was recently fined for violating several articles under the Investment Firms Regulation (Regulation (EU) 2019/2033) and the Act of July 25, 2005 on trading in financial instruments (or simply Act on Trading in Financial Instruments), has filed an application ...
Nałożenie kary pieniężnej na Everest Investment Management SA
ID 22512
On March 28, 2023, the Polish Financial Supervision Authority (KNF) published a press release to inform that it has fined Everest Investment Management SA, a brokerage house, for violating several articles under the Investment Firms Regulation (Regulation (EU) 2019/2033) and the Act of July 25, 2005 on trading in financial instruments (or simply Act on Trading in Financial Instruments). Specifically, the company was fined ...