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Chapter 1 Principles of prudential supervision (regs. 45-59) |
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Competence and duties of home and host Member States (regs. 45-59A) |
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Regulation 44A |
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Regulation 45 Competence of the Bank |
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Regulation 46 Collaboration concerning supervision |
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Regulation 47 Designation of branch of institution in State as significant |
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Regulation 48 Designation of branch of an institution in another Member State as significant |
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Regulation 49 Bank to establish college of supervisors for significant branches |
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Regulation 50 On-the-spot checking and inspection of branches established in another Member State |
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Regulation 50A Exchange of information with oversight bodies |
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Regulation 50B Transmission of information to international bodies |
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Regulation 51 Processing of personal data |
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Regulation 52 Duty of persons responsible for the legal control of annual and consolidated accounts |
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Regulation 52A Removal and replacement of auditor - removal notice |
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Regulation 52B Removal and replacement of auditor - application to court |
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Regulation 52C Matters ancillary to removal notice and removal order |
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Regulation 52D Reasoned decisions |
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Regulation 53 Administrative penalties and other administrative measures |
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Regulation 54 Administrative penalties and other administrative measures for breaches of authorisation requirements and requirements for acquisitions of qualifying holdings |
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Regulation 55 Other provisions on administrative penalties |
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Regulation 56 Publication of administrative penalties |
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Regulation 57 Exchange of information on penalties and maintenance of central database by EBA |
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Regulation 58 Effective application of penalties and exercise of powers to impose penalties by Bank |
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Regulation 59 Reporting of breaches |
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Regulation 59A Right of appeal |
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Chapter 2 Review Processes (regs. 60-98) |
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Internal capital adequacy assessment process (reg. 60) |
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Regulation 60 Internal Capital |
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Arrangements, processes and mechanisms of institutions (regs. 61-98) |
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General principles (regs. 61-63) |
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Regulation 61 Internal governance and recovery plans |
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Regulation 62 Resolution plans |
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Regulation 63 Oversight of remuneration policies |
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Technical criteria concerning the organisation and treatment of risks (regs. 64-75) |
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Regulation 64 Treatment of risks - risk committee and combined committee |
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Regulation 65 Internal approaches for calculating own funds requirements |
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Regulation 66 Supervisory benchmarking of internal approaches for calculating own funds requirements |
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Regulation 67 Credit and counterparty risk |
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Regulation 68 Residual risk |
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Regulation 69 Concentration risk |
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Regulation 70 Securitisation risk |
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Regulation 71 Market risk |
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Regulation 72 Interest risk arising from non-trading book activities |
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Regulation 73 Operational risk |
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Regulation 74 Liquidity risk |
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Regulation 75 Risk of excessive leverage |
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Governance (regs. 76-84) |
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Regulation 76 Governance arrangements |
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Regulation 77 Country-by-country reporting |
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Regulation 78 Public disclosure of return on assets |
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Regulation 79 Management body |
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Regulation 79A Removal of member of management body |
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Regulation 79B Removal notice |
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Regulation 79C Effect of removal notice |
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Regulation 79D Confirmation of removal notice |
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Regulation 79E Enforcement of removal notice |
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Regulation 79F Court's power to extend validity of removal notices |
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Regulation 79G Compliance with removal notice |
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Regulation 80 Remuneration policies |
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Regulation 81 Institutions that benefit from government intervention |
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Regulation 82 Variable elements of remuneration |
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Regulation 83 Remuneration committee |
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Regulation 84 Maintenance of website on corporate governance and remuneration |
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Supervisory review and evaluation process (regs. 85-89) |
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Regulation 85 Supervisory review and evaluation |
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Regulation 86 Technical criteria for the supervisory review and evaluation |
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Regulation 87 Supervisory examination programme |
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Regulation 88 Supervisory stress testing |
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Regulation 89 Ongoing review of the permission to use internal approaches |
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Supervisory measures and powers (regs. 90-95) |
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Regulation 90 Supervisory measures |
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Regulation 91 Application of supervisory measures to institutions with similar risk profiles |
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Regulation 92 Supervisory powers |
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Regulation 92A Additional own funds requirement |
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Regulation 92B Guidance on additional own funds |
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Regulation 92C Cooperation with resolution authorities |
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Regulation 93 Specific liquidity requirements |
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Regulation 94 Specific publication requirements |
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Regulation 95 Consistency of supervisory reviews, evaluations and supervisory measures |
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Level of application (regs. 96-98) |
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Regulation 96 Internal capital adequacy assessment process |
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Regulation 97 Institutions' arrangements, processes and mechanisms |
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Regulation 98 Review and evaluation and supervisory measures |
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Chapter 3 Supervision on a consolidated basis (regs. 99-114) |
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Principles for conducting supervision on a consolidated basis (regs. 99-106) |
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Regulation 99 Determination of consolidating supervisor |
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Regulation 100 Coordination of supervisory activities by consolidating supervisor |
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Regulation 101 Joint decisions on institution-specific prudential requirements |
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Regulation 102 Information requirements in emergency situations |
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Regulation 103 Coordination and cooperation arrangements |
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Regulation 104 Colleges of supervisors |
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Regulation 105 Cooperation obligations |
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Regulation 106 Checking information concerning entities in other Member States |
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Financial holding companies, mixed-financial holding companies and mixedactivity holding companies (regs. 107-114) |
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Regulation 107 Inclusion of holding companies in consolidated supervision |
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Regulation 108 Supervision of mixed-financial holding companies |
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Regulation 109 Qualification of directors |
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Regulation 110 Requests for information and inspections |
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Regulation 111 Supervision |
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Regulation 112 Exchange of information |
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Regulation 113 Cooperation |
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Regulation 114 Assessment of equivalence of third countries' consolidated supervision |
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Chapter 4 Capital Buffers (regs. 115-130) |
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Buffers (regs. 115-124) |
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Regulation 115 Definitions |
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Regulation 116 Non-application of Chapter to certain investment firms |
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Regulation 116A Restrictions on use of Common Equity Tier 1 Capital maintained to meet the combined buffer requirement |
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Regulation 117 Requirement to maintain a capital conservation buffer |
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Regulation 118 Requirement to maintain institution-specific countercyclical capital buffer |
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Regulation 119 Transitional provisions for capital buffers |
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Regulation 120 Derogation from requirement to maintain certain buffers |
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Regulation 121 Global and other systemically important institutions |
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Regulation 122 Identification of O-SIIs |
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Regulation 123 G-SII and O-SII buffers |
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Regulation 123A Designation of authority for the systemic risk buffer |
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Regulation 123B Power to set systemic risk buffer |
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Regulation 123C Calculation of systemic risk buffer |
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Regulation 123D Systemic risk buffer of Common Equity Tier 1 capital |
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Regulation 123E Exposures to which systemic risk buffer may apply |
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Regulation 123F Systemic risk buffer requirements |
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Regulation 123G Obligations on Bank |
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Regulation 123H Notification prior to publication of decision under Regulation 123L |
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Regulation 123I Notification: SyRB less than 3 per cent |
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Regulation 123J Notification: SyRB between 3 and 5 per cent |
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Regulation 123K Notification: SyRB above 5 per cent |
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Regulation 123L Publication of SyRBs on website |
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Regulation 123M Additional measures |
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Regulation 123N Exposures in another Member State |
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Regulation 124 Recognition of systemic risk buffer rate |
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Setting and calculating countercyclical capital buffers (regs. 125-128) |
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Regulation 125 Setting countercyclical buffer rates |
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Regulation 126 Recognition of countercyclical buffer rates in excess of 2.5 per cent |
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Regulation 127 Decision by Bank on third-country countercyclical buffer rates |
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Regulation 128 Calculation of institution-specific countercyclical capital buffer rates |
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Capital conservation measures (regs. 129-130) |
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Regulation 129 Restrictions on distributions |
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Regulation 129A Failure to meet combined buffer requirement |
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Regulation 129B Restriction on distributions in case of failure to meet leverage ratio buffer requirement |
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Regulation 129C Failure to meet leverage ratio buffer requirement |
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Regulation 130 Capital conservation plan |
