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Capital Requirements Regulations 2013 [SI 2013 No. 3115]Introductory TextPart 1 Introductory provisions (regs. 1-2A)Regulation 1 Citation, commencement and expiryRegulation 2 InterpretationRegulation 2A. Interpretation: regulators' rulesPart 2 Capital Requirements Regulations 2006: revocation (reg. 3)Regulation 3 Capital Requirements Regulations 2006: revocationPart 3 Designation of competent authorities (regs. 4-5)Regulation 4 Main provisions of the capital requirements regulation and Directive 2013/36/EU UK lawRegulation 5 Capital buffers and Article 458 of the capital requirements regulationPart 4 PRA and FCA: cooperation and co-ordination (regs. 6-17)Regulation 6 Co-operation within the European System of Financial SupervisionRegulation 7 Co-operation with EBARegulation 8 Information gathering, planning and co-ordination dutiesRegulation 9 Requirement to consult other competent authorities: major sanctions or exceptional measuresRegulation 10 Emergency situations: notification requirementsRegulation 11 Collaboration concerning supervision of cross-border institutionsRegulation 12 On-the-spot checks and inspections: during CRD transitional periodRegulation 13 On-the-spot checks or inspections: after CRD transitional periodRegulation 14 On-the-spot checks and inspections: powers of EEA competent authoritiesRegulation 15 Significant branches: UK is the host EEA StateRegulation 16 Significant branches: UK is the home EEA State or EEA consolidating supervisorRegulation 17 Duties to notify EBA and EIOPAPart 5 Publication of information by PRA and FCA (regs. 18-19)Regulation 18 General disclosures required of PRA and FCARegulation 19 Specific disclosures required of PRA and FCAPart 6 Consolidated supervision (regs. 20-33)Regulation 20 Determination of the consolidating supervisorRegulation 21 Assessment of equivalence of consolidated supervision by supervisory authorities in third countriesRegulation 22 Co-ordination and co-operation arrangementsRegulation 23 Co-ordination of supervisory activities by the EEA consolidating supervisorRegulation 24 The Bank's general dutiesRegulation 25 Exchange of informationRegulation 26 Obtaining information already disclosedRegulation 27 Verification of information by a competent authority in another EEA StateRegulation 28 Requirement to establish list of holding companiesRegulation 29 Joint decisions on own funds: PRA or FCA is the EEA consolidating supervisorRegulation 30 Joint decisions on own funds: PRA or FCA is not the EEA consolidating supervisorRegulation 31 Joint decision on liquidity: PRA or FCA is the EEA consolidating supervisorRegulation 32 Joint decision on liquidity: PRA or FCA is not the EEA consolidating supervisorRegulation 33 Colleges of supervisorsPart 7 Exercise of supervision by the PRA (regs. 34-38)Regulation 34 Supervisory powers: own fundsRegulation 34A. Supervisory review and evaluation processRegulation 34B. Ongoing review of the permission to use internal approachesRegulation 35 Specific liquidity requirementsRegulation 35A. Application of supervisory measures to institutions with similar risk profilesRegulation 35B. Supervisory powersRegulation 35C. Specific publication requirementsRegulation 36 Employee remunerationRegulation 37 Diversity practicesRegulation 38 Consultation with EBA: supervisory benchmarking of internal approaches for calculation own funds requirementsPart 8 Permissions under the CRR (regs. 39-44)Regulation 39 Meaning of "permission" and "protected item" in this PartRegulation 40 Applications for permissions: process, information and documentsRegulation 41 Decisions: written noticesRegulation 42 AppealsRegulation 43 Publication of written noticesRegulation 44 Transitional provision for matters done before commencementPart 9 Misleading the PRA or FCA (reg. 45)Regulation 45 Misleading the PRA or FCAPart 10 Amendments and revocations (reg. 46)Regulation 46 Amendments and revocationsSchedule 1 CRD transitional arrangementsSchedule 2 Amendments to primary and secondary legislationSchedule 2, Part 1 Amendments to FSMA (paras. 1-30)Schedule 2, Part 2 Amendments to other primary legislation (paras. 31-45)Schedule 2, Part 3 Amendments to secondary legislation (paras. 46-80)Schedule 3 RevocationsSignatureExplanatory NoteExplanatory Memorandum
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 9 December 2013

Capital Requirements Regulations 2013 [SI 2013 No. 3115]

To be revoked by s. 1 and Sch. 1 Pt 2 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 2 not yet fully commenced.

Introductory Text
Part 1 Introductory provisions (regs. 1-2A)
Regulation 1 Citation, commencement and expiry
Regulation 2 Interpretation
Regulation 2A. Interpretation: regulators' rules
Part 2 Capital Requirements Regulations 2006: revocation (reg. 3)
Regulation 3 Capital Requirements Regulations 2006: revocation
Part 3 Designation of competent authorities (regs. 4-5)
Regulation 4 Main provisions of the capital requirements regulation and Directive 2013/36/EU UK law
Regulation 5 Capital buffers and Article 458 of the capital requirements regulation
Part 4 PRA and FCA: cooperation and co-ordination (regs. 6-17)
Regulation 6 Co-operation within the European System of Financial Supervision
Regulation 7 Co-operation with EBA
Regulation 8 Information gathering, planning and co-ordination duties
Regulation 9 Requirement to consult other competent authorities: major sanctions or exceptional measures
Regulation 10 Emergency situations: notification requirements
Regulation 11 Collaboration concerning supervision of cross-border institutions
Regulation 12 On-the-spot checks and inspections: during CRD transitional period
Regulation 13 On-the-spot checks or inspections: after CRD transitional period
Regulation 14 On-the-spot checks and inspections: powers of EEA competent authorities
Regulation 15 Significant branches: UK is the host EEA State
Regulation 16 Significant branches: UK is the home EEA State or EEA consolidating supervisor
Regulation 17 Duties to notify EBA and EIOPA
Part 5 Publication of information by PRA and FCA (regs. 18-19)
Regulation 18 General disclosures required of PRA and FCA
Regulation 19 Specific disclosures required of PRA and FCA
Part 6 Consolidated supervision (regs. 20-33)
Regulation 20 Determination of the consolidating supervisor
Regulation 21 Assessment of equivalence of consolidated supervision by supervisory authorities in third countries
Regulation 22 Co-ordination and co-operation arrangements
Regulation 23 Co-ordination of supervisory activities by the EEA consolidating supervisor
Regulation 24 The Bank's general duties
Regulation 25 Exchange of information
Regulation 26 Obtaining information already disclosed
Regulation 27 Verification of information by a competent authority in another EEA State
Regulation 28 Requirement to establish list of holding companies
Regulation 29 Joint decisions on own funds: PRA or FCA is the EEA consolidating supervisor
Regulation 30 Joint decisions on own funds: PRA or FCA is not the EEA consolidating supervisor
Regulation 31 Joint decision on liquidity: PRA or FCA is the EEA consolidating supervisor
Regulation 32 Joint decision on liquidity: PRA or FCA is not the EEA consolidating supervisor
Regulation 33 Colleges of supervisors
Part 7 Exercise of supervision by the PRA (regs. 34-38)
Regulation 34 Supervisory powers: own funds
Regulation 34A. Supervisory review and evaluation process
Regulation 34B. Ongoing review of the permission to use internal approaches
Regulation 35 Specific liquidity requirements
Regulation 35A. Application of supervisory measures to institutions with similar risk profiles
Regulation 35B. Supervisory powers
Regulation 35C. Specific publication requirements
Regulation 36 Employee remuneration
Regulation 37 Diversity practices
Regulation 38 Consultation with EBA: supervisory benchmarking of internal approaches for calculation own funds requirements
Part 8 Permissions under the CRR (regs. 39-44)
Regulation 39 Meaning of "permission" and "protected item" in this Part
Regulation 40 Applications for permissions: process, information and documents
Regulation 41 Decisions: written notices
Regulation 42 Appeals
Regulation 43 Publication of written notices
Regulation 44 Transitional provision for matters done before commencement
Part 9 Misleading the PRA or FCA (reg. 45)
Regulation 45 Misleading the PRA or FCA
Part 10 Amendments and revocations (reg. 46)
Regulation 46 Amendments and revocations
Schedule 1 CRD transitional arrangements
Schedule 2 Amendments to primary and secondary legislation
Schedule 2, Part 1 Amendments to FSMA (paras. 1-30)
Schedule 2, Part 2 Amendments to other primary legislation (paras. 31-45)
Schedule 2, Part 3 Amendments to secondary legislation (paras. 46-80)
Schedule 3 Revocations
Signature
Explanatory Note
Explanatory Memorandum
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