Article 53 › 1

Member States shall provide that, where the parent undertaking of an investment firm is a mixed‐activity holding company, the competent authorities responsible for the supervision of the investment firm may: (a) require that the mixed‐activity holding company supply them with any information that may be relevant for the supervision of that investment firm; (b) supervise transactions between the investment firm and the mixed‐activity holding company and the subsidiaries of the latter, and require the investment firm to have in place adequate risk management processes and internal control mechanisms, including sound reporting and accounting procedures to identify, measure, monitor and control those transactions.

1 national measure recorded under this provision, in 1 form — sign in to view the analysis.

← 53 · All articles · 2 →

Source: EUR-Lex CELLAR · retrieved 2026-09-05