(Text with EEA relevance)

TITLE I SUBJECT MATTER, SCOPE AND DEFINITIONS TITLE II COMPETENT AUTHORITIES TITLE III INITIAL CAPITAL TITLE IV PRUDENTIAL SUPERVISION CHAPTER 1 Principles of prudential supervision Section 1 Competences and duties of home and host Member States Section 2 Professional secrecy and duty to report Section 3 Sanctions, investigatory powers and right of appeal CHAPTER 2 Review process Section 1 Internal capital adequacy assessment process and internal risk ‐ assessment process Section 2 Internal governance, transparency, treatment of risks and remuneration Section 3 Supervisory review and evaluation process Section 4 Supervisory measures and powers CHAPTER 3 Supervision of investment firm groups Section 1 Supervision of investment firm groups on a consolidated basis and supervision of compliance with the group capital test Section 2 Investment holding companies, mixed financial holding companies and mixed ‐ activity holding companies TITLE V PUBLICATION BY COMPETENT AUTHORITIES TITLE VI DELEGATED ACTS TITLE VII AMENDMENTS TO OTHER DIRECTIVES TITLE VIII FINAL PROVISIONS Done at Strasbourg, 27 November 2019. For the European Parliament The President D. M. SASSOLI For the Council The President T. TUPPURAINEN

← on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU · All articles · Preamble →

Source: EUR-Lex CELLAR · retrieved 2026-09-05 · Text as adopted (Official Journal); later amendments are not incorporated in this text.