Title VII Prudential Supervision (arts. 49-142)

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	Chapter 1 Principles of prudential supervision (arts. 49-72)
	Section I Competence and duties of home and host Member States (arts. 49-52)
Entered into force	Article 49 Competence of the competent authorities of the home and host Member States
Entered into force	Article 50 Collaboration concerning supervision
Amended	Article 51 Significant branches
Entered into force	Article 52 On-the-spot checking and inspection of branches established in another Member State
	Section II Exchange of information and professional secrecy (arts. 53-62)
Amended	Article 53 Professional secrecy
Entered into force	Article 54 Use of confidential information
Inserted	Article 54a
Entered into force	Article 55 Cooperation agreements
Amended	Article 56 Exchange of information between authorities
Amended	Article 57 Exchange of information with oversight bodies
Entered into force	Article 58 Transmission of information concerning monetary, deposit protection, systemic and payment aspects
Inserted	Article 58a Transmission of information to international bodies
Entered into force	Article 59 Transmission of information to other entities
Entered into force	Article 60 Disclosure of information obtained by on-the-spot checks and inspections
Entered into force	Article 61 Disclosure of information concerning clearing and settlement services
Entered into force	Article 62 Processing of personal data
	Section III Duty of persons responsible for the legal control of annual and consolidated accounts (art. 63)
Amended	Article 63 Duty of persons responsible for the legal control of annual and consolidated accounts
	Section IV Supervisory powers, powers to impose penalties and right of appeal (arts. 64-72)
Amended	Article 64 Supervisory powers and powers to impose penalties
Amended	Article 65 Administrative penalties, periodic penalty payments and other administrative measures
Amended	Article 66 Administrative penalties, periodic penalty payments and other administrative measures for breaches of authorisation requirements and requirements for acquisitions or divestiture of material holdings, material transfers of assets and liabilities, mergers or divisions
Amended	Article 67 Other provisions
Entered into force	Article 68 Publication of administrative penalties
Entered into force	Article 69 Exchange of information on penalties and maintenance of a central database by EBA
Amended	Article 70 Effective application of administrative penalties and other administrative measures, and exercise of powers to impose penalties by competent authorities
Entered into force	Article 71 Reporting of breaches
Entered into force	Article 72 Right of appeal
	Chapter 2 Review Processes (arts. 73-110)
	Section I Internal capital adequacy assessment process (art. 73)
Amended	Article 73 Internal Capital
	Section II Arrangements, processes and mechanisms of institutions (arts. 74-96)
	Sub-Section 1 General principles (arts. 74-75)
Amended	Article 74 Internal governance and recovery and resolution plans
Amended	Article 75 Oversight of remuneration policies
	Sub-Section 2 Technical criteria concerning the organisation and treatment of risks (arts. 76-87a)
Amended	Article 76 Treatment of risks
Amended	Article 77 Internal Approaches for calculating own funds requirements
Amended	Article 78 Supervisory benchmarking of approaches for calculating own funds requirements
Amended	Article 79 Credit and counterparty risk
Entered into force	Article 80 Residual risk
Amended	Article 81 Concentration risk
Entered into force	Article 82 Securitisation risk
Amended	Article 83 Market risk
Amended	Article 84 Interest risk arising from non-trading book activities
Amended	Article 85 Operational risk
Amended	Article 86 Liquidity risk
Entered into force	Article 87 Risk of excessive leverage
Inserted	Article 87a Environmental, social and governance risks
	Sub-Section 3 Governance (arts. 88-96)
Amended	Article 88 Governance arrangements
Amended	Article 89 Country-by-country reporting
Entered into force	Article 90 Public disclosure of return on assets
Amended	Article 91 Management body and suitability assessment
Inserted	Article 91a Key function holders and suitability assessment
Amended	Article 92 Remuneration policies
Entered into force	Article 93 Institutions that benefit from government intervention
Amended	Article 94 Variable elements of remuneration
Entered into force	Article 95 Remuneration Committee
Entered into force	Article 96 Maintenance of a website on corporate governance and remuneration
	Section III Supervisory review and evaluation process (arts. 97-101)
Amended	Article 97 Supervisory review and evaluation
Amended	Article 98 Technical criteria for the supervisory review and evaluation
Amended	Article 99 Supervisory examination programme
Amended	Article 100 Supervisory stress testing
Amended	Article 101 Ongoing review of the permission to use internal approaches
	Section IV Supervisory measures and powers (arts. 102-107)
Entered into force	Article 102 Supervisory measures
Deleted	Article 103 Application of supervisory measures to institutions with similar risk profiles
Amended	Article 104 Supervisory powers
Amended	Article 104a Additional own funds requirement
Amended	Article 104b Guidance on additional own funds
Inserted	Article 104c Cooperation with resolution authorities
Amended	Article 105 Specific liquidity requirements
Amended	Article 106 Specific publication requirements
Entered into force	Article 107 Consistency of supervisory reviews, evaluations and supervisory measures
	Section V Level of application (arts. 108-110)
Amended	Article 108 Internal capital adequacy assessment process
Amended	Article 109 Institutions' arrangements, processes and mechanisms
Amended	Article 110 Review and evaluation and supervisory measures
	Chapter 3 Supervision on a consolidated basis (art. 110a-127)
	Section I Application of this Chapter to investment firm groups (art. 110a)
Inserted	Article 110a Scope of application to investment firm groups
	Section I Principles for conducting supervision on a consolidated basis (arts. 111-118)
Amended	Article 111 Determination of the consolidating supervisor
Entered into force	Article 112 Coordination of supervisory activities by the consolidating supervisor
Amended	Article 113 Joint decisions on institution-specific prudential requirements
Amended	Article 114 Information requirements in emergency situations
Amended	Article 115 Coordination and cooperation arrangements
Amended	Article 116 Colleges of supervisors
Inserted	Article 116a Accessibility of information on the European single access point
Amended	Article 117 Cooperation obligations
Entered into force	Article 118 Checking information concerning entities in other Member States
	Section II Financial holding companies, mixed financial holding companies and mixed-activity holding companies (arts. 119-127)
Amended	Article 119 Inclusion of holding companies in consolidated supervision
Amended	Article 120 Supervision of mixed financial holding companies
Amended	Article 121 Qualification of members of the management body
Entered into force	Article 122 Requests for information and inspections
Entered into force	Article 123 Supervision
Entered into force	Article 124 Exchange of information
Amended	Article 125 Cooperation
Entered into force	Article 126 Penalties
Entered into force	Article 127 Assessment of equivalence of third countries' consolidated supervision
	Chapter 4 Capital Buffers (arts. 128-142)
	Section I Buffers (arts. 128-134)
Amended	Article 128 Definitions
Amended	Article 129 Requirement to maintain a capital conservation buffer
Amended	Article 130 Requirement to maintain an institution-specific countercyclical capital buffer
Amended	Article 131 Global and other systemically important institutions
Deleted	Article 132 Reporting
Amended	Article 133 Requirement to maintain a systemic risk buffer
Amended	Article 134 Recognition of a systemic risk buffer rate
	Section II Setting and calculating countercyclical capital buffers (arts. 135-140)
Applicable	Article 135 ESRB guidance on setting countercyclical buffer rates
Amended	Article 136 Setting countercyclical buffer rates
Applicable	Article 137 Recognition of countercyclical buffer rates in excess of 2,5 %
Applicable	Article 138 ESRB recommendation on third country countercyclical buffer rates
Applicable	Article 139 Decision by designated authorities on third country countercyclical buffer rates
Applicable	Article 140 Calculation of institution-specific countercyclical capital buffer rates
	Section III Capital conservation measures (arts. 141-142)
Amended	Article 141 Restrictions on distributions
Inserted	Article 141a Failure to meet the combined buffer requirement
Amended	Article 141b Restriction on distributions in case of failure to meet the leverage ratio buffer requirement
Inserted	Article 141c Failure to meet the leverage ratio buffer requirement
Amended	Article 142 Capital Conservation Plan

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