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| | Introductory Text |
| | Part 1 Preliminary and General (regs. 1-3) |
In force | Regulation 1 Citation and commencement |
In force | Regulation 2 Scope |
In force | Regulation 3 Interpretation |
| | Part 2 Competent Authority (regs. 4-6) |
In force | Regulation 4 Designation of competent authority |
In force | Regulation 5 Cooperation within the European System of Financial Supervision |
In force | Regulation 6 European Union dimension of supervision |
| | Part 3 Requirements for access to the activity of credit institutions (regs. 7-25) |
| | Chapter 1 General requirements for access to the activity of credit institutions (regs. 7-9) |
In force | Regulation 7 Branches of credit institutions authorised in another Member State |
In force | Regulation 8 Name of credit institutions |
In force | Regulation 9 Notification where Bank acts as consolidating supervisor |
| | Chapter 1A Financial holding companies and mixed financial holding companies (regs. 9A-9H) |
In force | Regulation 9A Application for approval of financial holding companies and mixed financial holding companies |
In force | Regulation 9B Concurrent assessment of acquisition |
In force | Regulation 9C Grant of approval |
In force | Regulation 9D Exemption |
In force | Regulation 9E Monitoring |
In force | Regulation 9F Supervisory measures |
In force | Regulation 9G Cooperation with other authorities: non-financial conglomerates |
In force | Regulation 9H Cooperation: financial conglomerates |
| | Chapter 1B Intermediate EU parent undertakings (reg. 9I) |
In force | Regulation 9l Intermediate EU parent undertakings |
| | Chapter 2 Qualifying holding in a credit institution (regs. 10-25) |
In force | Regulation 10 Restrictions on acquiring and disposing of qualifying holdings in credit institutions |
In force | Regulation 11 Application to court where no notification given |
In force | Regulation 12 Notification in case of divestiture |
In force | Regulation 13 Credit institutions to provide information on certain acquisitions and disposals |
In force | Regulation 14 Period for assessment of proposed acquisition |
In force | Regulation 15 Assessment of proposed acquisition |
In force | Regulation 16 Bank to cooperate with competent authorities of other Member States in certain cases |
In force | Regulation 17 Bank may fix period for completion of acquisition, etc. |
Deleted | Regulation 18 Notice of Bank's decision |
In force | Regulation 19 Bank may oppose certain acquisitions |
Deleted | Regulation 20 Decision to oppose proposed acquisition to be appealable |
In force | Regulation 21 Circumstances in which proposed acquisition may be concluded |
In force | Regulation 22 Effect of section 201 of Companies Act 1963 |
In force | Regulation 23 Credit institutions to provide information about shareholdings, etc. |
In force | Regulation 24 Powers in relation to certain persons with qualifying holdings |
In force | Regulation 25 Criteria for qualifying holdings |
| | Part 4 Initial capital of investment firms, local firms and firms not authorised to hold client money or securities (regs. 26-31) |
Deleted | Regulation 26 Initial capital for investment, local and other firms |
Deleted | Regulation 27 Initial capital for particular types of investment firms |
Deleted | Regulation 28 Initial capital for local firms |
Deleted | Regulation 29 Coverage for firms not authorised to hold client money or securities |
Deleted | Regulation 30 Own funds of investment firms and firms covered by Regulation 28 |
Deleted | Regulation 31 Grandfathering provision |
| | Part 5 Freedom of establishment and freedom to provide services (regs. 31A-44) |
| | Chapter 1 General principles (reg. 31A) |
In force | Regulation 31A |
In force | Regulation 32 Mutual recognition of provision of banking services |
| | Chapter 2 The right of establishment of credit institutions (regs. 33-37) |
In force | Regulation 33 Provisions relating to the establishment of a branch in another Member State |
In force | Regulation 34 Provisions relating to the establishment in the State of a branch from another Member State |
In force | Regulation 34A |
In force | Regulation 35 Change in information provided under Regulation 33 |
In force | Regulation 36 Existing branches |
In force | Regulation 37 Information about refusals |
| | Chapter 3 Freedom to provide services (reg. 38) |
In force | Regulation 38 Notification procedure |
| | Chapter 4 Powers of the Bank when acting as host Member State competent authority (regs. 39-44) |
In force | Regulation 39 Reporting requirements |
In force | Regulation 40 Measures taken by the competent authorities of the home Member State in relation to activities carried out in the host Member State |
In force | Regulation 41 Reasons and communication |
In force | Regulation 42 Precautionary measures |
In force | Regulation 43 Measures following withdrawal of authorisation |
In force | Regulation 44 Advertising |
| | Part 6 Prudential Supervision (regs. 45-130) |
| | Chapter 1 Principles of prudential supervision (regs. 45-59) |
| | Competence and duties of home and host Member States (regs. 45-59A) |
In force | Regulation 44A |
In force | Regulation 45 Competence of the Bank |
In force | Regulation 46 Collaboration concerning supervision |
In force | Regulation 47 Designation of branch of institution in State as significant |
In force | Regulation 48 Designation of branch of an institution in another Member State as significant |
In force | Regulation 49 Bank to establish college of supervisors for significant branches |
In force | Regulation 50 On-the-spot checking and inspection of branches established in another Member State |
In force | Regulation 50A Exchange of information with oversight bodies |
In force | Regulation 50B Transmission of information to international bodies |
In force | Regulation 51 Processing of personal data |
In force | Regulation 52 Duty of persons responsible for the legal control of annual and consolidated accounts |
In force | Regulation 52A Removal and replacement of auditor - removal notice |
In force | Regulation 52B Removal and replacement of auditor - application to court |
In force | Regulation 52C Matters ancillary to removal notice and removal order |
In force | Regulation 52D Reasoned decisions |
In force | Regulation 53 Administrative penalties and other administrative measures |
In force | Regulation 54 Administrative penalties and other administrative measures for breaches of authorisation requirements and requirements for acquisitions of qualifying holdings |
In force | Regulation 55 Other provisions on administrative penalties |
In force | Regulation 56 Publication of administrative penalties |
In force | Regulation 57 Exchange of information on penalties and maintenance of central database by EBA |
In force | Regulation 58 Effective application of penalties and exercise of powers to impose penalties by Bank |
In force | Regulation 59 Reporting of breaches |
In force | Regulation 59A Right of appeal |
| | Chapter 2 Review Processes (regs. 60-98) |
| | Internal capital adequacy assessment process (reg. 60) |
In force | Regulation 60 Internal Capital |
| | Arrangements, processes and mechanisms of institutions (regs. 61-98) |
| | General principles (regs. 61-63) |
In force | Regulation 61 Internal governance and recovery plans |
Deleted | Regulation 62 Resolution plans |
In force | Regulation 63 Oversight of remuneration policies |
| | Technical criteria concerning the organisation and treatment of risks (regs. 64-75) |
In force | Regulation 64 Treatment of risks - risk committee and combined committee |
In force | Regulation 65 Internal approaches for calculating own funds requirements |
In force | Regulation 66 Supervisory benchmarking of internal approaches for calculating own funds requirements |
In force | Regulation 67 Credit and counterparty risk |
In force | Regulation 68 Residual risk |
In force | Regulation 69 Concentration risk |
In force | Regulation 70 Securitisation risk |
In force | Regulation 71 Market risk |
In force | Regulation 72 Interest risk arising from non-trading book activities |
In force | Regulation 73 Operational risk |
In force | Regulation 74 Liquidity risk |
In force | Regulation 75 Risk of excessive leverage |
| | Governance (regs. 76-84) |
In force | Regulation 76 Governance arrangements |
In force | Regulation 77 Country-by-country reporting |
In force | Regulation 78 Public disclosure of return on assets |
In force | Regulation 79 Management body |
In force | Regulation 79A Removal of member of management body |
In force | Regulation 79B Removal notice |
In force | Regulation 79C Effect of removal notice |
In force | Regulation 79D Confirmation of removal notice |
In force | Regulation 79E Enforcement of removal notice |
In force | Regulation 79F Court's power to extend validity of removal notices |
In force | Regulation 79G Compliance with removal notice |
In force | Regulation 80 Remuneration policies |
In force | Regulation 81 Institutions that benefit from government intervention |
In force | Regulation 82 Variable elements of remuneration |
In force | Regulation 83 Remuneration committee |
In force | Regulation 84 Maintenance of website on corporate governance and remuneration |
| | Supervisory review and evaluation process (regs. 85-89) |
In force | Regulation 85 Supervisory review and evaluation |
In force | Regulation 86 Technical criteria for the supervisory review and evaluation |
In force | Regulation 87 Supervisory examination programme |
In force | Regulation 88 Supervisory stress testing |
In force | Regulation 89 Ongoing review of the permission to use internal approaches |
| | Supervisory measures and powers (regs. 90-95) |
In force | Regulation 90 Supervisory measures |
Deleted | Regulation 91 Application of supervisory measures to institutions with similar risk profiles |
In force | Regulation 92 Supervisory powers |
In force | Regulation 92A Additional own funds requirement |
In force | Regulation 92B Guidance on additional own funds |
In force | Regulation 92C Cooperation with resolution authorities |
In force | Regulation 93 Specific liquidity requirements |
In force | Regulation 94 Specific publication requirements |
In force | Regulation 95 Consistency of supervisory reviews, evaluations and supervisory measures |
| | Level of application (regs. 96-98) |
In force | Regulation 96 Internal capital adequacy assessment process |
In force | Regulation 97 Institutions' arrangements, processes and mechanisms |
In force | Regulation 98 Review and evaluation and supervisory measures |
| | Chapter 3 Supervision on a consolidated basis (regs. 99-114) |
| | Principles for conducting supervision on a consolidated basis (regs. 99-106) |
In force | Regulation 99 Determination of consolidating supervisor |
In force | Regulation 100 Coordination of supervisory activities by consolidating supervisor |
In force | Regulation 101 Joint decisions on institution-specific prudential requirements |
In force | Regulation 102 Information requirements in emergency situations |
In force | Regulation 103 Coordination and cooperation arrangements |
In force | Regulation 104 Colleges of supervisors |
In force | Regulation 105 Cooperation obligations |
In force | Regulation 106 Checking information concerning entities in other Member States |
| | Financial holding companies, mixed-financial holding companies and mixedactivity holding companies (regs. 107-114) |
In force | Regulation 107 Inclusion of holding companies in consolidated supervision |
In force | Regulation 108 Supervision of mixed-financial holding companies |
In force | Regulation 109 Qualification of directors |
In force | Regulation 110 Requests for information and inspections |
In force | Regulation 111 Supervision |
In force | Regulation 112 Exchange of information |
In force | Regulation 113 Cooperation |
In force | Regulation 114 Assessment of equivalence of third countries' consolidated supervision |
| | Chapter 4 Capital Buffers (regs. 115-130) |
| | Buffers (regs. 115-124) |
In force | Regulation 115 Definitions |
Deleted | Regulation 116 Non-application of Chapter to certain investment firms |
In force | Regulation 116A Restrictions on use of Common Equity Tier 1 Capital maintained to meet the combined buffer requirement |
In force | Regulation 117 Requirement to maintain a capital conservation buffer |
In force | Regulation 118 Requirement to maintain institution-specific countercyclical capital buffer |
In force | Regulation 119 Transitional provisions for capital buffers |
Deleted | Regulation 120 Derogation from requirement to maintain certain buffers |
In force | Regulation 121 Global and other systemically important institutions |
In force | Regulation 122 Identification of O-SIIs |
In force | Regulation 123 G-SII and O-SII buffers |
In force | Regulation 123A Designation of authority for the systemic risk buffer |
In force | Regulation 123B Power to set systemic risk buffer |
In force | Regulation 123C Calculation of systemic risk buffer |
In force | Regulation 123D Systemic risk buffer of Common Equity Tier 1 capital |
In force | Regulation 123E Exposures to which systemic risk buffer may apply |
In force | Regulation 123F Systemic risk buffer requirements |
In force | Regulation 123G Obligations on Bank |
In force | Regulation 123H Notification prior to publication of decision under Regulation 123L |
In force | Regulation 123I Notification: SyRB less than 3 per cent |
In force | Regulation 123J Notification: SyRB between 3 and 5 per cent |
In force | Regulation 123K Notification: SyRB above 5 per cent |
In force | Regulation 123L Publication of SyRBs on website |
In force | Regulation 123M Additional measures |
In force | Regulation 123N Exposures in another Member State |
In force | Regulation 124 Recognition of systemic risk buffer rate |
| | Setting and calculating countercyclical capital buffers (regs. 125-128) |
In force | Regulation 125 Setting countercyclical buffer rates |
In force | Regulation 126 Recognition of countercyclical buffer rates in excess of 2.5 per cent |
In force | Regulation 127 Decision by Bank on third-country countercyclical buffer rates |
In force | Regulation 128 Calculation of institution-specific countercyclical capital buffer rates |
| | Capital conservation measures (regs. 129-130) |
In force | Regulation 129 Restrictions on distributions |
In force | Regulation 129A Failure to meet combined buffer requirement |
In force | Regulation 129B Restriction on distributions in case of failure to meet leverage ratio buffer requirement |
In force | Regulation 129C Failure to meet leverage ratio buffer requirement |
In force | Regulation 130 Capital conservation plan |
| | Part 7 Disclosure by competent authorities (regs. 131-132) |
In force | Regulation 131 General disclosure requirements |
In force | Regulation 132 Specific disclosure requirements |
| | Part 8 Transitional provisions (regs. 133-142) |
| | Chapter 1 Transitional provisions on the supervision of institutions exercising the freedom of establishment and the freedom to provide services (regs. 133-142) |
Revoked | Regulation 133 Reporting requirements - transitional |
Revoked | Regulation 134 Measures taken by competent authorities of home Member State in relation to activities carried out in host Member State - transitional |
Revoked | Regulation 135 Precautionary measures - transitional |
Revoked | Regulation 136 Responsibility of Bank - transitional |
Revoked | Regulation 137 Liquidity supervision - transitional |
Revoked | Regulation 138 Collaboration concerning supervision - transitional |
Revoked | Regulation 139 Designation of significant branches - transitional |
Revoked | Regulation 140 Designation of branch of an institution in another Member State as significant - transitional |
Revoked | Regulation 141 Bank to establish college of supervisors for significant branches - transitional |
Revoked | Regulation 142 On-the-spot checks - transitional |
In force | Regulation 142A Transitional provisions on approval of financial holding companies and mixed financial holding companies |
| | Part 9 Provisions from statutory instruments revoked by these Regulations (regs. 143-152) |
In force | Regulation 143 Application of certain enactments |
In force | Regulation 144 Bank not to be liable for losses incurred through insolvency or default of persons subject to supervision under these Regulations |
In force | Regulation 145 Bank to consult competent authorities of other Member States in certain circumstances |
In force | Regulation 146 Provision of services into another Member State |
In force | Regulation 147 Offence of providing false or misleading information - Regulations 10 to 25 |
In force | Regulation 148 Provision of false or misleading information - general |
In force | Regulation 149 Prosecution by Bank |
In force | Regulation 150 Offences by bodies corporate |
In force | Regulation 151 Continuation of contravention of Regulations |
In force | Regulation 152 Construction of licence holder in enactments |
| | Part 10 Consequential Amendments (regs. 153-158) |
In force | Regulation 153 Amendment of Central Bank Act 1942 |
In force | Regulation 154 Amendment of Central Bank Act 1971 |
In force | Regulation 155 Amendment of Central Bank Act 1989 |
In force | Regulation 156 Amendment of Building Societies Act 1989 |
In force | Regulation 157 Amendment of Trustee Savings Banks Act 1989 |
In force | Regulation 158 Amendment of Central Bank Act 1997 |
| | Part 11 Final provisions, revocations and saver (regs. 159-162) |
In force | Regulation 159 Service of notice or other document by Bank |
In force | Regulation 160 References to repealed Directives |
In force | Regulation 161 Revocations |
In force | Regulation 162 Saver |
In force | Schedule |
| | Given under |
