Featured Product

    EBA Data Collection on Prudential Framework for Investment Firms

    July 06, 2017

    EBA launched a supplementary data collection to support the response to EC’s Call for Advice on the new prudential framework for investment firms. The data collection exercise addresses Markets in Financial Instruments Directive (MiFID) investment firms, including those that are expected to fall under the scope of MiFID II. It excludes Undertakings for Collective Investment in Transferable Securities (UCITS) and Alternative Investment Fund Managers Directive (AIFMD) firms conducting MiFID activities or services. The template should be filled in and submitted to the respective competent authorities by August 03, 2017.

    This exercise follows up on the first data collection launched on July 15, 2016 and the EBA discussion paper published on November 04, 2016, in which EBA consulted on its proposals for developing a new prudential framework. Many valuable improvements have been made to the initial proposals, in light of the feedback received in the consultation and the additional analysis undertaken. Thus, EBA considers it necessary to launch a supplementary data collection to support the final calibration and impact assessment of the new framework. To reduce burden for institutions that participate in the data collection, EBA limited the number of variables requested to the required minimum. The template includes some variables that were previously collected to allow the participation of firms that did not participate in the first data collection. However, firms that have previously participated in the first data collection are invited to re-submit the new templates, filling in all the variables requested, even if reported in the previous exercise.

     

    Related Links

    EBA Supplementary Data Collection (XLSX)

    EBA Supplementary Data Instructions (PDF)

    EBA Opinion on EC Call for Advice and Other Related Documents

    Keywords: EBA, Europe, MiFID II, Investment Firms, Securities, Data Collection

    Related Articles
    News

    SEC Adopts Rules and Amendments Under Regulatory Regime for Swaps

    SEC announced that it took a significant step toward establishing the regulatory regime for security-based swap dealers (SBSDs) by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Act.

    September 19, 2019 WebPage Regulatory News
    News

    APRA Revises Standard on Margin Rules for Uncleared Derivatives

    APRA revised CPS 226, which is the prudential standard on margin and risk mitigation requirements for non-centrally cleared derivatives.

    September 19, 2019 WebPage Regulatory News
    News

    BIS Formalizes Agreement to Set Up Innovation Hub in Hong Kong SAR

    BIS and HKMA signed the Operational Agreement on the BIS Innovation Hub Center in Hong Kong Special Administrative Region (SAR).

    September 18, 2019 WebPage Regulatory News
    News

    PRA Proposal on Probability of Default and LGD Estimation

    PRA proposed, via the consultation paper CP21/19, an approach to implementing EBA’s recent regulatory products relating to Probability of Default (PD) estimation, Loss Given Default (LGD) estimation, and the treatment of defaulted exposures in the internal ratings-based (IRB) approach to credit risk.

    September 18, 2019 WebPage Regulatory News
    News

    PRA Issues Consultation on Prudent Person Principle Under Solvency II

    PRA, via the consultation paper CP22/19, has set out its proposed expectations for investment by firms, in accordance with the Prudent Person Principle (PPP).

    September 18, 2019 WebPage Regulatory News
    News

    CFTC Extends Comment Period for Proposals on Cross-Border Clearing

    CFTC announced that it is extending, until November 18, 2019, the comment period for the proposal for an alternative compliance framework for derivatives clearing organizations (DCOs) that are organized outside of U.S. and that do not pose substantial risk to the U.S. financial system.

    September 18, 2019 WebPage Regulatory News
    News

    BNM Publishes Financial Stability Review for the First Half of 2019

    BNM published Financial Stability Review for the first half of 2019.

    September 18, 2019 WebPage Regulatory News
    News

    APRA Observations from Thematic Review on Recovery Plans of Insurers

    APRA issued a letter to general insurers and life insurers, outlining observations from a recent thematic review on recovery planning by insurers.

    September 18, 2019 WebPage Regulatory News
    News

    FASB Issues Summary of Tentative Board Decisions at September Meeting

    FASB published a summary of the tentative decisions taken at its Board meeting in September 2019.

    September 18, 2019 WebPage Regulatory News
    News

    EIOPA Forms Consultative Expert Group on Digital Ethics in Insurance

    EIOPA established the Consultative Expert Group on Digital Ethics in Insurance to assist EIOPA in the development of digital responsibility principles in insurance.

    September 17, 2019 WebPage Regulatory News
    RESULTS 1 - 10 OF 3848