Technical standards on reporting and disclosures for investment firms
- Status:
These draft Technical Standards on reporting requirements and disclosures include draft Implementing Technical Standards (ITS) on the levels of capital, concentration risk, liquidity, the level of activities as well as disclosure of own funds; and draft Regulatory Technical Standards (RTS) specifying the information that investment firms have to provide in order to enable the monitoring of the thresholds that determine whether an investment firm has to apply for authorisation as credit institution.
Final ITS on reporting and disclosures for investment firms (ADOPTED AND PUBLISHED IN THE OFFICIAL JOURNAL)
- Final draft ITS on reporting and disclosures for investment firms
- Annex I - Reporting for Class 2 investment firms
- Annex II - Reporting for Class 2 investment firms
- Annex III - Reporting Class 3 investment firms
- Annex IV - Reporting for Class 3 investment firms
- Annex V - DPM and validation rules
- Annex VI - Disclosure of own funds
- Annex VII - Disclosure of own funds
- Annex VIII - Reporting on group capital test
- Annex IX - Reporting on group capital test
- Infographic - overview of reporting and disclosure requirements for investment firms
- Implementing Technical standards published in the Official Journal
Final draft RTS on provision of information for the effective monitoring of credit institution thresholds
Summary of document history
Consultation Paper on Draft Implementing Technical Standards on reporting requirements for investment firms under Article 54(3) and on disclosures requirements under Article 49(2) of Regulation (EU) 2019/2033
- Status: Closed
- Deadline: 4 SEPTEMBER 2020
Documents
CP on draft ITS on reporting and disclosures for investment firms
(488.44 KB - PDF) Last update 8 June 2020
Annex 1 (ITS Annex I - Reporting for investment firms).xlsx
(100.53 KB - Excel Spreadsheet) Last update 4 June 2020
Annex 1 (RTS Annex I - Reporting of thresholds - templates).xlsx
(16.7 KB - Excel Spreadsheet) Last update 4 June 2020
Annex 2 (ITS Annex II - Reporting for investment firms ).docx
(129.49 KB - Word Document) Last update 4 June 2020
Annex 2 (RTS Annex II to RTS - Reporting of thresholds).docx
(32.02 KB - Word Document) Last update 4 June 2020
Annex 3 (ITS Annex III - Reporting for small and non-interconnected investment firms ).xlsx
(22.82 KB - Excel Spreadsheet) Last update 4 June 2020
Annex 3 (RTS Annex III - Reporting of thresholds - Validation rules and DPM).docx
(17.86 KB - Word Document) Last update 4 June 2020
Annex 4 (ITS Annex IV - Reporting for small and non-interconnected investment firms).docx
(58.64 KB - Word Document) Last update 4 June 2020
Annex 5 (ITS Annex V - DPM and validation rules).docx
(17.91 KB - Word Document) Last update 4 June 2020
Annex 6 (ITS Annex VI - Disclosure of own funds).xlsx
(21.62 KB - Excel Spreadsheet) Last update 4 June 2020
Annex 7 (ITS Annex VII - Disclosure of own funds).docx
(62.67 KB - Word Document) Last update 4 June 2020
Annex 8 (ITS Annex VIII - Reporting on group capital test).xlsx
(16.77 KB - Excel Spreadsheet) Last update 4 June 2020
Annex 9 (ITS Annex IX - Reporting on group capital test).docx
(47.05 KB - Word Document) Last update 4 June 2020
Responses
The form is now closed.
Received responses to the EBA
- 1. Alternative Investment Management Association
- 2. EFET - European Federation of Energy Traders
- 3. Bundesverband der Wertpapierfirmen (bwf)
- 4. Deutsche Börse Group
- 5. BLACKROCK
- 6. The Investment Association
- 7. EFAMA
- 8. BVI German Fund Association
- 9. FIA European Principal Traders Association (FIA EPTA)
Public hearings
Public hearing on consultation papers on supervisory reporting and disclosure and variable remuneration requirements
EBA Public hearing – Investment firms reporting and disclosures
(1.74 MB - PDF) Last update 30 June 2020
EBA Public Hearing RTS remuneration
(1.46 MB - PDF) Last update 30 June 2020
Press contacts
Franca Rosa Congiu