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Chapter 1 Principles of prudential supervision (regs. 10-20) |
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Regulation 10 Competence of Bank and host Member State competent authority |
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Regulation 11 Cooperation between competent authorities |
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Regulation 12 On-the-spot checking and inspection of branches established in another Member State |
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Regulation 13 Professional secrecy and exchange of confidential information |
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Regulation 14 Cooperation arrangements with third countries for the exchange of information |
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Regulation 15 Duties of persons responsible for the control of annual and consolidated accounts |
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Regulation 16 Sanctions |
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Regulation 17 Publication of sanctions |
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Regulation 18 Reporting sanctions to EBA |
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Regulation 19 Reporting of breaches |
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Regulation 20 Right of appeal |
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Chapter 2 Review Process (regs. 21-41) |
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Regulation 21 Internal capital and liquid assets |
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Regulation 22 Scope of application of Regulations 23 to 31 |
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Regulation 23 Internal governance |
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Regulation 24 Country-by-country reporting |
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Regulation 25 Role of management body in risk management |
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Regulation 26 Treatment of risks |
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Regulation 27 Remuneration policies |
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Regulation 28 Investment firms that benefit from extraordinary public financial support |
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Regulation 29 Variable remuneration |
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Regulation 30 Remuneration committee |
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Regulation 31 Oversight of remuneration policies |
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Regulation 32 Supervisory review and evaluation |
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Regulation 33 Ongoing review of the permission to use internal models |
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Regulation 34 Supervisory measures |
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Regulation 35 Supervisory powers |
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Regulation 36 Additional own funds requirement |
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Regulation 37 Guidance on additional own funds |
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Regulation 38 Specific liquidity requirements |
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Regulation 39 Cooperation with resolution authorities |
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Regulation 40 Publication requirements |
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Regulation 41 Obligation to inform EBA |
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Chapter 3 Supervision of investment firm groups (regs. 42-50) |
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Regulation 42 Determination of the group supervisor |
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Regulation 43 Information requirements in emergency situations |
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Regulation 44 Colleges of supervisors |
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Regulation 45 Cooperation requirements |
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Regulation 46 Verification of information concerning entities located in other Member States |
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Regulation 47 Inclusion of holding companies in supervision of compliance with group capital test |
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Regulation 48 Qualifications of directors |
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Regulation 49 Mixed-activity holding companies |
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Regulation 50 Assessment of third-country supervision and other supervisory techniques |
