RegAlert2019-11-27
Added
Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014 (Text with EEA relevance)
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- Amends
- Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund and amending Regulation (EU) No 1093/20102014Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 Text with EEA relevance2014Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 Text with EEA relevance2013Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC2010
- Basis for
- Commission Implementing Regulation (EU) 2021/2284 on supervisory reporting and disclosures of investment firms2025Commission Implementing Regulation (EU) 2025/2159 amending supervisory reporting standards for investment firms2025Technical Advice on the Investment Firms Prudential Framework2025Consultation Supervisory Regulation usage business projections2025Circular NBB_2024_21 / Circular implementing EBA guidelines on the application of the group capitalisation test for investment firm groups under Article 8 of Regulation (EU) 2033/20192024Instruction 2024-I-09 of June 21, 2024, regarding the withdrawal of approval, authorization, or registration of credit institutions, financing companies, third-party financing companies, investment firms, payment institutions, account information service providers, electronic money institutions, or token issuers referring to one or more assets (repealed)2024
+13 more
Guidelines on simplified obligations for recovery plans2024Commission Delegated Regulation (EU) 2023/1668 on measurement of uncovered risks and additional own funds for investment firms2023Commission Delegated Regulation (EU) 2023/1651 on regulatory technical standards for specific liquidity measurement of investment firms2023Commission Delegated Regulation (EU) 2023/1118 on regulatory technical standards for colleges of supervisors2023Instruction No. 2022-I-20 of December 9, 2022, on the collection of information on remuneration for entities subject to Regulation (EU) 2019/20332022Commission Delegated Regulation (EU) 2022/1159 on public disclosure of investment policy by investment firms2022Commission Delegated Regulation (EU) 2022/1455 supplementing Regulation (EU) 2019/2033 on regulatory technical standards for own funds requirement for investment firms based on fixed overheads2022Commission Delegated Regulation (EU) 2022/1455 on regulatory technical standards for own funds requirements for investment firms based on fixed overheads2022Commission Delegated Regulation (EU) 2022/22 specifying the notion of segregated accounts for client money protection2021Commission Delegated Regulation (EU) 2022/244 on regulatory technical standards for the K-factor clear margin given2021Commission Delegated Regulation (EU) 2022/25 specifying methods for measuring K-factors under Regulation (EU) 2019/20332021Commission Delegated Regulation (EU) 2022/76 adjusting K-DTF coefficients during stressed market conditions2021Commission Delegated Regulation (EU) 2021/2154 on criteria to identify staff with material impact on investment firm risk profiles2021 - Referred to by
- Circular 09/2026 (WA): Minimum Requirements for Risk Management of Securities Firms - WpI MaRisk2026Law on Markets in Financial Instruments2026Final Report on RTS for CCP Admission Criteria and NFC Clearing Member Assessment2026Law on Markets in Financial Instruments2026Circular 2/2025 of the National Securities Market Commission amending Circulars 1/2021, 1/2010, and 5/20092026Overview of Notification and Reporting Requirements for Small and Medium-Sized Investment Firms2026
+32 more
Order Granting Conditional Substituted Compliance for French Nonbank Swap Dealers Under EU IFR and IFD2026Law on Open-Ended Investment Funds with Public Offer (Official Gazette No. 44/2016, 126/19, 110/21, 76/22, 152/24 and 13/26) - Unofficial Consolidated Text2026Commission Implementing Regulation (EU) 2024/3117 on supervisory reporting of institutions and repealing Regulation (EU) 2021/451 (Consolidated Text)2025Notice 2025 on the Calculation and Publication of Prudential Ratios under CRD4 and MREL Requirements2025Regulations amending Finansinspektionen’s regulations regarding alternative investment fund managers2025Ordinance No. 76 of 12.06.2025 on Fees Collected by the Financial Supervision Commission2025Guideline on the Granting of Authorization for Providing Securities Services under Section 15 WpIG2025Instruction No. 2024-I-17 of December 17, 2024, on the Implementation of the Unified Reporting for Banks and Similar Entities (RUBA)2024Procedure for the Calculation of the Maximum Distributable Amount2024CySEC Circular C631: Prudential Reporting Based on Audited Financial Statements2024Commission Implementing Regulation (EU) 2024/796 amending Implementing Regulation (EU) No 650/2014 regarding disclosure by competent authorities2024Royal Decree 813/2023 on the Legal Regime of Investment Service Companies and Other Entities Providing Investment Services2023Instruction No. 2023-I-15 of October 23, 2023, repealing and replacing Instruction No. 2021-I-03 of March 11, 2021, regarding the implementation of the Unified Reporting of Banks and Similar Entities (RUBA)2023CSSF Regulation No 23-03 of 30 June 2023 transposing ECB Guideline (EU) 2022/508 and amending Regulation No 18-032023Supervisory disclosure2023Joint EBA and ESMA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/20342023Grand-ducal Regulation of 23 December 2022 relating to fees levied by the CSSF2023Instruction No. 2022-I-21 of 9 December 2022 on the collection of information on high remuneration for entities subject to Regulation (EU) 575/2013 and Regulation (EU) 2019/20332022Order on the Management and Control of Credit Institutions and Other Financial Undertakings2022Instruction No. 2022-I-07 of April 11, 2022 amending Instruction No. 2017-I-24 regarding the transmission to the ACPR of accounting, prudential, and other information documents (Banking Sector)2022Order No. 50 of 30.03.2022 on Capital Adequacy, Liquidity of Investment Intermediaries and Supervision of Compliance2022Commission Implementing Regulation (EU) 2022/1650 amending technical standards on main indices and recognised exchanges2022Regulations amending Finansinspektionen’s regulations regarding Swedish UCITS2022Commission Delegated Regulation (EU) 2021/2155 on regulatory technical standards for instruments used in variable remuneration2021Instruction No. 11/20212021Order on Remuneration Policy and Pay in Credit Institutions, Mortgage Credit Institutions, Collective Investment Undertakings, AIFMs, and Certain Holding Companies2021Communication NBB_2021_13 / New reporting frameworks developed by the EBA2021Circular 1/2021 of the National Securities Market Commission on Accounting Standards, Annual Accounts and Financial Statements of Investment Service Companies and their Consolidatable Groups, Collective Investment Scheme Management Companies and Closed-Ended Entity Management Companies2021Instruction No. 2021-I-03 of March 11, 2021 on the Implementation of the Unified Reporting for Banks and Similar Entities (RUBA)2021Capital Markets Act (Official Gazette, Nos. 65/18, 17/20, 83/21, 151/22, 85/24 and 126/25) – Unofficial Consolidated TextLaw on Alternative Investment Funds – Unofficial Consolidated Text (NN 21/18, 126/19, 110/21, 83/23, 152/24 and 13/26)Prudential reporting for investment firms (IF)
Timeline
This document amends: Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund and amending Regulation (EU) No 1093/2010, Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 Text with EEA relevance, Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 Text with EEA relevance, Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC
Source: European Union — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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