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Implementing Technical Standards on reporting and disclosures for investment firms
Regulatory Technical Standards on prudential requirements for investment firms
EBA issues Opinion on the design of a new prudential framework for investment firms
The European Banking Authority (EBA) published today its Opinion on the design and calibration of a new prudential framework for investment firms, which is specifically tailored to the needs of investment firms' different business models and inherent risks. The Opinion includes a series of recommendations aiming to develop a single and harmonised set of requirements that are reasonably simple, proportionate and relevant to the nature of investment firms authorised to provide MiFID services and activities.
EBA Data Collection MiFID IFs - supplementary.xlsx
EBA Data Collection MiFID IFs - supplementary
EBA Data Instructions MiFID IFs - supplementary.pdf
EBA Data Instructions MiFID IFs - supplementary
EBA launches supplementary data collection to support the new prudential framework for investment firms
The European Banking Authority (EBA) launched today a supplementary data collection aimed at supporting the response to the European Commission’s Call for Advice on the new prudential framework for investment firms. This exercise follows up on the first data collection launched on 15 July 2016 and the EBA Discussion Paper published on 4 November 2016, in which the EBA consulted on its proposals for developing a new prudential framework. In light of the feedback received in the consultation and the additional analysis undertaken, many valuable improvements have been made to the initial proposals. As a result, the EBA considers necessary to launch a supplementary data collection to support the final calibration and impact assessment of the new framework.
EBA to hold public hearing to update on progress over investment firms new prudential regime
The European Banking Authority (EBA) will hold a public hearing on 3 July 2017 at 14:00 UK time to update all relevant stakeholders on the progress made so far on the possibility of developing a new prudential regime for MiFID investment firms.
BLK response to EBA discussion paper.pdf
BLK response to EBA discussion paper
EBA prudential regime 02.02.2017 - Charles Stanley response.pdf
EBA prudential regime 02.02.2017 - Charles Stanley response
EBA DP 2016-02 Baillie Gifford response.pdf
EBA DP 2016-02 Baillie Gifford respons
Discussion on a new prudential regime for investment firms
EBA launches data collection addressed to commodity derivatives firms to review the prudential framework for investment firms
The European Banking Authority (EBA) launched today a data collection for commodity derivatives firms that will support the European Commission in the calibration of the new prudential regime for investment firms. This exercise follows up on the consultation the EBA launched on 4 November 2016 in response to the European Commission's call for technical advice on the design of a new prudential regime for investment firms, including the extent to which the new regime would also be suitable for or adaptable to specialised commodity derivatives firms.
EBA Data Instructions for Commodity Derivatives Firms.pdf
EBA Data templates for Commodity Derivatives Firms Final.xlsx
Presentation Public Hearing Investment Firms December 2016.pdf
Presentation
Discussion Paper on a new prudential regime for Investment Firms (EBA-DP-2016-02).pdf
Discussion Paper on a new prudential regime for Investment Firms (EBA-DP-2016-02)
New prudential regime for investment firms
The aim of this discussion paper is to develop a single, harmonised set of requirements that are reasonably simple, proportionate, and more relevant to the nature of investment business. The focus is on risks that investment firms pose to customers and to market integrity and liquidity.
EBA seeks views on new prudential regime for investment firms
The European Banking Authority (EBA) launched today a consultation in response to the European Commission's call for technical advice on the design of a new prudential regime for investment firms, which is specifically tailored to the needs of investment firms’ different business models and inherent risks. The aim of this work is to develop a single, harmonised set of requirements that are reasonably simple, proportionate, and more relevant to the nature of investment business. The consultation runs until 2 February 2017.
Opinion of the European Banking Authority on the First Part of the Call for Advice on Investment Firms (EBA-Op-2016-16).pdf
Opinion of the European Banking Authority on the First Part of the Call for Advice on Investment Firms (EBA-Op-2016-16)