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| | Recitals |
| | Part One General Provisions (arts. 1-8) |
| | Title I Subject matter, scope and definitions (arts. 1-4) |
Entered into force | Article 1 Subject matter and scope |
Entered into force | Article 2 Supervisory powers |
Entered into force | Article 3 Application of stricter requirements by investment firms |
Entered into force | Article 4 Definitions |
| | Title II Level of application of requirements (arts. 5-8) |
| | Chapter 1 Application of requirements on an individual basis (arts. 5-6) |
Entered into force | Article 5 General principle |
Entered into force | Article 6 Exemptions |
| | Chapter 2 Prudential consolidation and exemptions for an investment firm group (arts. 7-8) |
Entered into force | Article 7 Prudential consolidation |
Entered into force | Article 8 The group capital test |
| | Part Two Own funds (arts. 9-10) |
Entered into force | Article 9 Own funds composition |
Entered into force | Article 10 Qualifying holdings outside the financial sector |
| | Part Three Capital requirements (arts. 11-34) |
| | Title I General requirements (arts. 11-14) |
Entered into force | Article 11 Own funds requirements |
Entered into force | Article 12 Small and non-interconnected investment firms |
Entered into force | Article 13 Fixed overheads requirement |
Entered into force | Article 14 Permanent minimum capital requirement |
| | Title II K-Factor requirement (arts. 15-34) |
| | Chapter 1 General principles (art. 15) |
Entered into force | Article 15 K-factor requirement and applicable coefficients |
| | Chapter 2 RtC K-factors (arts. 16-20) |
Entered into force | Article 16 RtC K-factor requirement |
Entered into force | Article 17 Measuring AUM for the purpose of calculating K-AUM |
Entered into force | Article 18 Measuring CMH for the purpose of calculating K-CMH |
Entered into force | Article 19 Measuring ASA for the purpose of calculating K-ASA |
Entered into force | Article 20 Measuring COH for the purpose of calculating K-COH |
| | Chapter 3 RtM K-Factors (arts. 21-23) |
Entered into force | Article 21 RtM K-factor requirement |
Entered into force | Article 22 Calculating K-NPR |
Entered into force | Article 23 Calculating K-CMG |
| | Chapter 4 RtF K-factors (arts. 24-33) |
Entered into force | Article 24 RtF K-factor requirement |
| | Section 1 Trading counter par ty default (arts. 25-32) |
Entered into force | Article 25 Scopew |
Entered into force | Article 26 Calculating K-TCD |
Entered into force | Article 27 Calculation of exposure value |
Entered into force | Article 28 Replacement cost (RC) |
Entered into force | Article 29 Potential future exposure |
Entered into force | Article 30 Collateral |
Entered into force | Article 31 Netting |
Entered into force | Article 32 Credit valuation adjustment |
| | Section 2 Daily trading flow (art. 33) |
Entered into force | Article 33 Measuring DTF for the purpose of calculating K-DTF |
| | Chapter 5 Environmental and social objectives (art. 34) |
Entered into force | Article 34 Prudential treatment of assets exposed to activities associated with environmental or social objectives |
| | Part Four Concentration risk (arts. 35-42) |
Entered into force | Article 35 Monitoring obligation |
Entered into force | Article 36 Calculation of the exposure value |
Entered into force | Article 37 Limits with regard to concentration risk and exposure value excess |
Entered into force | Article 38 Obligation to notify |
Entered into force | Article 39 Calculating K-CON |
Entered into force | Article 40 Procedures to prevent investment firms from avoiding the K-CON own funds requirement |
Entered into force | Article 41 Exclusions |
Entered into force | Article 42 Exemption for commodity and emission allowance dealers |
| | Part Five Liquidity (arts. 43-45) |
Entered into force | Article 43 Liquidity requirement |
Entered into force | Article 44 Temporary reduction of the liquidity requirement |
Entered into force | Article 45 Client guarantees |
| | Part Six Disclosure by investment firms (arts. 46-53) |
Entered into force | Article 46 Scope |
Entered into force | Article 47 Risk management objectives and policies |
Entered into force | Article 48 Governance |
Entered into force | Article 49 Own funds |
Entered into force | Article 50 Own funds requirements |
Entered into force | Article 51 Remuneration policy and practices |
Entered into force | Article 52 Investment policy |
Entered into force | Article 53 Environmental, social and governance risks |
| | Part Seven Reporting by investment firms (arts. 54-55) |
Entered into force | Article 54 Reporting requirements |
Entered into force | Article 55 Reporting requirements for certain investment firms, including for the purposes of the thresholds referred to in Article 1(2) of this Regulation and in point (1)(b) of Article 4(1) of Regulation (EU) No 575/2013 |
| | Part Eight Delegated acts (art. 56) |
Entered into force | Article 56 Exercise of the delegation |
| | Part Nine Transitional provisons, reports, reviews and amendments (arts. 57-64) |
| | Title I Transitional provisions (arts. 57-59) |
Entered into force | Article 57 Transitional provisions |
Entered into force | Article 58 Derogation for undertakings referred to in point (1)(b) of Article 4(1) of Regulation (EU) No 575/2013 |
Entered into force | Article 59 Derogation for investment firms referred to in Article 1(2) |
| | Title II Reports and reviews (art. 60) |
Entered into force | Article 60 Review clause |
| | Title III Amendments to other regulations (arts. 61-64) |
Entered into force | Article 61 Amendment to Regulation (EU) No 1093/2010 |
ApplicableEntered into force | Article 62 Amendments to Regulation (EU) No 575/2013 |
Applicable | Article 63 Amendments to Regulation (EU) No 600/2014 |
Entered into force | Article 64 Amendment to Regulation (EU) No 806/2014 |
| | Part Ten Final provisions (arts. 65-66) |
Entered into force | Article 65 References to Regulation (EU) No 575/2013 in other Union legal acts |
Entered into force | Article 66 Entry into force and date of application |
| | Done at |
