EBA Data Collection on Prudential Framework for Investment Firms

By Regulatory News

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.

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

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