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| | Recitals |
| | Title I Subject matter, scope and definitions (arts. 1-3) |
Entered into force | Article 1 Subject matter |
Entered into force | Article 2 Scope |
Entered into force | Article 3 Definitions |
| | Title II Competent authorities (arts. 4-8) |
Entered into force | Article 4 Designation and powers of the competent authorities |
Entered into force | Article 5 Discretion of competent authorities to subject certain investment firms to the requirements of Regulation (EU) No 575/2013 |
Entered into force | Article 6 Cooperation within a Member State |
Entered into force | Article 7 Cooperation within the European System of Financial Supervision |
Entered into force | Article 8 Union dimension of supervision |
| | Title III Initial capital (arts. 9-11) |
Entered into force | Article 9 Initial capital |
Entered into force | Article 10 References to initial capital in Directive 2013/36/EU |
Entered into force | Article 11 Composition of initial capital |
| | Title IV Prudential supervision (arts. 12-56) |
| | Chapter 1 Principles of prudential supervision (arts. 12-24) |
| | Section 1 Competences and duties of home and host Member States (arts. 12-14) |
Entered into force | Article 12 Competence of the competent authorities of the home and host Member State |
Entered into force | Article 13 Cooperation between competent authorities of different Member States |
Entered into force | Article 14 On-the-spot checking and inspection of branches established in another Member State |
| | Section 2 Professional secrecy and duty to report (arts. 15-17) |
Entered into force | Article 15 Professional secrecy and exchange of confidential information |
Entered into force | Article 16 Cooperation arrangements with third countries for the exchange of information |
Entered into force | Article 17 Duties of persons responsible for the control of annual and consolidated accounts |
| | Section 3 Sanctions, investigatory powers and right of appeal (arts. 18-23) |
Entered into force | Article 18 Administrative sanctions and other administrative measures |
Entered into force | Article 19 Investigatory powers |
Entered into force | Article 20 Publication of administrative sanctions and other administrative measures |
Entered into force | Article 21 Reporting sanctions to EBA |
Entered into force | Article 22 Reporting of breaches |
Entered into force | Article 23 Right of appeal |
| | Chapter 2 Review process (arts. 24-45) |
| | Section 1 Internal capital adequacy assessment process and internal risk-assessment process (art. 24) |
Entered into force | Article 24 Internal capital and liquid assets |
| | Section 2 Internal governance, transparency, treatment of risks and remuneration (arts. 25-35) |
Entered into force | Article 25 Scope of application of this Section |
Entered into force | Article 26 Internal governance |
Entered into force | Article 27 Country-by-country reporting |
Entered into force | Article 28 Role of the management body in risk management |
Entered into force | Article 29 Treatment of risks |
Entered into force | Article 30 Remuneration policies |
Entered into force | Article 31 Investment firms that benefit from extraordinary public financial support |
Entered into force | Article 32 Variable remuneration |
Entered into force | Article 33 Remuneration committee |
| | Article 34 Oversight of remuneration policies |
Entered into force | Article 35 EBA report on environmental, social, and governance risks |
| | Section 3 Supervisory review and evaluation process (arts. 36-37) |
Entered into force | Article 36 Supervisory review and evaluation |
Entered into force | Article 37 Ongoing review of the permission to use internal models |
| | Section 4 Supervisory measures and powers (arts. 38-45) |
Entered into force | Article 38 Supervisory measures |
Entered into force | Article 39 Supervisory powers |
Entered into force | Article 40 Additional own funds requirement |
Entered into force | Article 41 Guidance on additional own funds |
Entered into force | Article 42 Specific liquidity requirements |
Entered into force | Article 43 Cooperation with resolution authorities |
Entered into force | Article 44 Publication requirements |
Entered into force | Article 45 Obligation to inform EBA |
| | Chapter 3 Supervision of investment firm groups (arts. 46-56) |
| | Section 1 Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test (arts. 46-50) |
Entered into force | Article 46 Determination of the group supervisor |
Entered into force | Article 47 Information requirements in emergency situations |
Entered into force | Article 48 Colleges of supervisors |
Entered into force | Article 49 Cooperation requirements |
Entered into force | Article 50 Verification of information concerning entities located in other Member States |
| | Section 2 Investment holding companies, mixed financial holding companies and mixed-activity holding companies (arts. 51-56) |
Entered into force | Article 51 Inclusion of holding companies in supervision of compliance with the group capital test |
Entered into force | Article 52 Qualifications of directors |
Entered into force | Article 53 Mixed-activity holding companies |
Entered into force | Article 54 Sanctions |
Entered into force | Article 55 Assessment of third-country supervision and other supervisory techniques |
Entered into force | Article 56 Cooperation with third-country supervisory authorities |
| | Title V Publication by competent authorities (art. 57) |
Entered into force | Article 57 Publication requirements |
| | Title VI Delegated acts (art. 58) |
Entered into force | Article 58 Exercise of the delegation |
| | Title VII Amendments to other Directives (arts. 59-64) |
Entered into force | Article 59 Amendment to Directive 2002/87/EC |
Entered into force | Article 60 Amendment to Directive 2009/65/EC |
Entered into force | Article 61 Amendment to Directive 2011/61/EU |
Entered into force | Article 62 Amendments to Directive 2013/36/EU |
Entered into force | Article 63 Amendments to Directive 2014/59/EU |
Entered into force | Article 64 Amendments to Directive 2014/65/EU |
| | Title VIII Final Provisions (arts. 65-69) |
Entered into force | Article 65 References to Directive 2013/36/EU in other Union legal acts |
Entered into force | Article 66 Review |
Entered into force | Article 67 Transposition |
Entered into force | Article 68 Entry into force |
Entered into force | Article 69 Addressees |
| | Done at |
