Article 9 | Implementing Regulation 2024/3117 | judict

Updated 20/01/2025

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CRR Tool Implementing Regulation 2024/3117

Article 9

Article 9 - Reporting on own funds and own funds requirements for investment firms that are subject to Articles 95 and 96 of Regulation (EU) No 575/2013 on an individual basis

Article 9

Reporting on own funds and own funds requirements for investment firms that are subject to Articles 95 and 96 of Regulation (EU) No 575/2013 on an individual basis

1. Investment firms that are subject to Article 95 of Regulation (EU) No 575/2013 and that apply the transitional provisions set out in Article 57(3) of Regulation (EU) 2019/2033 shall, when they report information on own funds requirements, as required by Article 430(1), point (a), of Regulation (EU) No 575/2013, on an individual basis, with the exception of information on the leverage ratio, submit the information as specified in the templates C 01.00 to C 05.02 of Section 1 – ‘Reporting on own funds and own funds requirements’ of Annex I to this Regulation with a quarterly frequency.

2. Investment firms that are subject to Article 96 of Regulation (EU) No 575/2013 and that apply the transitional provisions set out in Article 57(3) of Regulation (EU) 2019/2033 shall, when they report information on own funds requirements, as required by Article 430(1), point (a), of Regulation (EU) No 575/2013, on an individual basis, submit the information referred to in Article 5, paragraphs 1 to 4, and Article 6(2) of this Regulation with the frequency laid down in those Articles as specified in Section 1 – ‘Reporting on own funds and own funds requirements’ of Annex I to this Regulation.

Table of contents

Recitals Article 1 - Submission of the information Article 2 - Reporting reference dates Article 3 - Reporting remittance dates Article 4 - Reporting thresholds – entry and exit criteria Article 5 - Reporting on own funds and own funds requirements on an individual basis – quarterly reporting Article 6 - Reporting on own funds and own funds requirements on an individual basis – semi-annual reporting Article 7 - Reporting on own funds and own funds requirements on a consolidated basis Article 8 - Reporting on own funds and own funds requirements – additional reporting requirements on individual and consolidated basis Article 9 - Reporting on own funds and own funds requirements for investment firms that are subject to Articles 95 and 96 of Regulation (EU) No 575/2013 on an individual basis Article 10 - Reporting on own funds and own funds requirements for groups that consist only of investment firms that are subject to Articles 95 and 96 of Regulation (EU) No 575/2013 on a consolidated basis Article 11 - Reporting on financial information on a consolidated basis for institutions subject to Regulation (EC) No 1606/2002 of the European Parliament and of the CouncilRegulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards (OJ L 243, 11.9.2002, p. 1, ELI: http://data.europa.eu/eli/reg/2002/1606/oj).Article 12 - Reporting on financial information on a consolidated basis for institutions applying national accounting frameworks Article 13 - Reporting, in accordance with Article 430a (1) of Regulation (EU) No 575/2013, on an individual and a consolidated basis, on losses stemming from lending collateralised by immovable property Article 14 - Reporting on large exposures on both an individual and a consolidated basis Article 15 - Reporting on leverage ratio on both an individual and a consolidated basis Article 16 - Reporting on the liquidity coverage on both an individual and a consolidated basis Article 17 - Reporting on stable funding on both an individual and a consolidated basis Article 18 - Reporting on additional liquidity monitoring metrics on both an individual and a consolidated basis Article 19 - Reporting on asset encumbrance on both an individual and a consolidated basis Article 20 - Supplementary reporting for the purposes of identifying G-SIIs and assigning G-SII buffer rates Article 21 - Reporting on interest rate risk in the banking book on both an individual and a consolidated basis Article 22 - IT solutions, reporting templates and instructions Article 23 - Data exchange formats and information accompanying submissions Article 24 - Transitional provisions Article 25 - Repeal of Implementing Regulation (EU) 2021/451 Article 26 - Entry into force and application