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IFD — DIRECTIVE (EU) 2019/2034 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 27 November 2019 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 (Text with EEA relevance)

directive · European Union · 32019L2034

256 provisions · cited by 5 instruments we hold · 405 national measures recorded · 67 provisions hand work to national law

Defined terms · All instruments · capital market · disclosure of information · financial control · financial legislation · financial supervision · investment company · private-sector liquidity

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