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Chapter 1 Principles of prudential supervision (arts. 12-24) |
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Section 1 Competences and duties of home and host Member States (arts. 12-14) |
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Article 12 Competence of the competent authorities of the home and host Member State |
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Article 13 Cooperation between competent authorities of different Member States |
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Article 14 On-the-spot checking and inspection of branches established in another Member State |
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Section 2 Professional secrecy and duty to report (arts. 15-17) |
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Article 15 Professional secrecy and exchange of confidential information |
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Article 16 Cooperation arrangements with third countries for the exchange of information |
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Article 17 Duties of persons responsible for the control of annual and consolidated accounts |
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Section 3 Sanctions, investigatory powers and right of appeal (arts. 18-23) |
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Article 18 Administrative sanctions and other administrative measures |
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Article 19 Investigatory powers |
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Article 20 Publication of administrative sanctions and other administrative measures |
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Article 21 Reporting sanctions to EBA |
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Article 22 Reporting of breaches |
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Article 23 Right of appeal |
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Chapter 2 Review process (arts. 24-45) |
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Section 1 Internal capital adequacy assessment process and internal risk-assessment process (art. 24) |
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Article 24 Internal capital and liquid assets |
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Section 2 Internal governance, transparency, treatment of risks and remuneration (arts. 25-35) |
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Article 25 Scope of application of this Section |
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Article 26 Internal governance |
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Article 27 Country-by-country reporting |
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Article 28 Role of the management body in risk management |
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Article 29 Treatment of risks |
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Article 30 Remuneration policies |
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Article 31 Investment firms that benefit from extraordinary public financial support |
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Article 32 Variable remuneration |
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Article 33 Remuneration committee |
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Article 34 Oversight of remuneration policies |
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Article 35 EBA report on environmental, social, and governance risks |
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Section 3 Supervisory review and evaluation process (arts. 36-37) |
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Article 36 Supervisory review and evaluation |
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Article 37 Ongoing review of the permission to use internal models |
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Section 4 Supervisory measures and powers (arts. 38-45) |
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Article 38 Supervisory measures |
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Article 39 Supervisory powers |
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Article 40 Additional own funds requirement |
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Article 41 Guidance on additional own funds |
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Article 42 Specific liquidity requirements |
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Article 43 Cooperation with resolution authorities |
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Article 44 Publication requirements |
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Article 44a Accessibility of information on the European single access point |
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Article 45 Obligation to inform EBA |
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Chapter 3 Supervision of investment firm groups (arts. 46-56) |
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Section 1 Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test (arts. 46-50) |
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Article 46 Determination of the group supervisor |
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Article 47 Information requirements in emergency situations |
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Article 48 Colleges of supervisors |
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Article 49 Cooperation requirements |
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Article 50 Verification of information concerning entities located in other Member States |
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Section 2 Investment holding companies, mixed financial holding companies and mixed-activity holding companies (arts. 51-56) |
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Article 51 Inclusion of holding companies in supervision of compliance with the group capital test |
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Article 52 Qualifications of directors |
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Article 53 Mixed-activity holding companies |
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Article 54 Sanctions |
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Article 55 Assessment of third-country supervision and other supervisory techniques |
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Article 56 Cooperation with third-country supervisory authorities |
