lexiara

The Capital Requirements Regulations 2013

law · United Kingdom · uksi/2013/3115

306 provisions

Defined terms · All instruments

1 Citation, commencement and expiry
1
2
3
2 Interpretation
1
2
3
2A Interpretation: regulators' rules
1
2
3 Capital Requirements Regulations 2006: revocation
4 Main provisions of the capital requirements regulation and Directive 2013/36/EU UK law
5 Capital buffers and Article 458 of the capital requirements regulation
6 Co-operation within the European System of Financial Supervision
7 Co-operation with EBA
8 Information gathering, planning and co-ordination duties
9 Requirement to consult other competent authorities: major sanctions or exceptional measures
10 Emergency situations: notification requirements
11 Collaboration concerning supervision of cross-border institutions
12 On-the-spot checks and inspections: during CRD transitional period
13 On-the-spot checks or inspections: after CRD transitional period
14 On-the-spot checks and inspections: powers of EEA competent authorities
15 Significant branches: UK is the host EEA State
16 Significant branches: UK is the home EEA State or EEA consolidating supervisor
17 Duties to notify EBA and EIOPA
18 General disclosures required of PRA and FCA
19 Specific disclosures required of PRA and FCA
20 Determination of the consolidating supervisor
21 Assessment of equivalence of consolidated supervision by supervisory authorities in third countries
1
2
3
4
5
6
22 Co-ordination and co-operation arrangements
23 Co-ordination of supervisory activities by the EEA consolidating supervisor
24 The Bank's general duties
25 Exchange of information
26 Obtaining information already disclosed
27 Verification of information by a competent authority in another EEA State
28 Requirement to establish list of holding companies
29 Joint decisions on own funds: PRA or FCA is the EEA consolidating supervisor
30 Joint decisions on own funds: PRA or FCA is not the EEA consolidating supervisor
31 Joint decision on liquidity: PRA or FCA is the EEA consolidating supervisor
32 Joint decision on liquidity: PRA or FCA is not the EEA consolidating supervisor
33 Colleges of supervisors
34 Supervisory powers: own funds
1
2
3
3A
4
34A Supervisory review and evaluation process
1
2
3
34B Ongoing review of the permission to use internal approaches
1
2
3
4
5
6
7
8
35 Specific liquidity requirements
35A Application of supervisory measures to institutions with similar risk profiles
35B Supervisory powers
35C Specific publication requirements
1
2
36 Employee remuneration
1
2
37 Diversity practices
38 Consultation with EBA: supervisory benchmarking of internal approaches for calculation own funds requirements
39 Meaning of “permission” and “protected item” in this Part
1
2
40 Applications for permissions: process, information and documents
1
2
3
4
5
6
7
41 Decisions: written notices
1
2
3
42 Appeals
1
2
3
43 Publication of written notices
1
2
3
4
5
44 Transitional provision for matters done before commencement
1
2
45 Misleading the PRA or FCA
46 Amendments and revocations
1
2
1
2
3
4
5
6
4
5
6
7
8
9
10
10
11
12
13
14
15
1
2
3
4
5
6
7
8
9
10
16
7
7A
17
10
18
19
20
1
2
3
21
1
2
3
22
4A
23
1
2
3
4
5
6
24
25
6
26
11
27
28
29
1
2
3
4
5
6
7
8
9
10
30
31 Superannuation Act 1972
32 Consumer Credit Act 1974
33 Judicial Pensions Act 1981
34 Building Societies Act 1986
36 Judicial Pensions and Retirement Act 1993
37 Criminal Justice Act 1993
38 Bank of England Act 1998
1
2
3
40 Terrorism Act 2000
1
2
3
41 Proceeds of Crime Act 2002
1
2
3
4
5
42 Companies Act 2006
1
2
3
43 Banking (Special Provisions) Act 2008
1
2
3
44 Counter-Terrorism Act 2008
1
2
3
4
45 Banking Act 2009
1
2
3
35
5A
5B
5C
39
46 Credit Institutions (Protection of Depositors) Regulations 1995
47 Cash Ratio Deposits (Eligible Liabilities) Order 1998
48 Financial Markets and Insolvency (Settlement Finality) Regulations 1999
49 Competition Act 1998 (Small Agreements and Conduct of Minor Significance) Regulations 2000
50 Competition Act 1998 (Determination of Turnover for Penalties) Order 2000
51 Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
1
2
3
52 Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
1
2
3
53 Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001
54 Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001
55 Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
1
2
3
4
56 Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
1
2
3
4
57 Financial Services and Markets Act 2000 (Gibraltar) Order 2001
1
2
3
58 Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001
1
2
3
4
59 Uncertificated Securities Regulations 2001
60 Enterprise Act 2002 (Merger Fees and Determination of Turnover) Order 2003
61 Financial Collateral Arrangements (No. 2) Regulations 2003
62 Conduct of Employment Agencies and Employment Businesses Regulations 2003
63 Credit Institutions (Reorganisation and Winding Up) Regulations 2004
1
2
3
64 Financial Conglomerates and Other Financial Groups Regulations 2004
1
2
3
4
5
6
65 Building Societies Act 1986 (Modification of the Lending Limit and Funding Limit Calculations) Order 2004
66 Gambling (Operating Licence and Single-Machine Permit Fees) Regulations 2006
67 Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007
68 Money Laundering Regulations 2007
1
2
3
4
69 Regulated Covered Bonds Regulations 2008
1
2
3
70 Payment Services Regulations 2009
1
2
3
4
5
6
71 Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009
72 Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009
73 Provision of Services Regulations 2009
74 Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010
75 Electronic Money Regulations 2011
1
2
3
4
76 Recognised Auction Platforms Regulations 2011
77 Financial Services and Markets Act 2000 (Prescribed Financial Institutions) Order 2013
78 Financial Services and Markets Act 2000 (PRA-regulated Activities) Order 2013
79 Bank of England Act 1998 (Macro-prudential Measures) Order 2013
80 Alternative Investment Fund Managers Regulations 2013