Competent Authority:

Free text

Investment firm name:

Free text

Reference date (DD/MM/YYYY)

Reference date for the information.

Submission date (DD/MM/YYYY):

Date when the information is being provided to the competent authorities of host Member State.

Information provided on consolidated basis (Yes/No)

Please indicate ‘Yes’ if information in this template is provided on a consolidated basis and not at the level of the investment firm group.

Contact person at the competent authorities of the home Member State

Name and contact details of a person providing information for any possible follow-up questions

Statement on the compliance of the investment firm with the own funds requirements laid down in Article 11 of Regulation (EU) 2019/2033, taking into account the transitional arrangements laid down in Article 57 of that Regulation

Legal reference: Article 3(1) of Delegated Regulation (EU) 2023/1117.

Free text answering the question on the reporting date.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

Please note that issues of non-compliance with minimum regulatory requirements and any supervisory measures taken by the competent authorities to address them shall be reported outside this template in regular exchange of information and in accordance with Article 1(2).

Statement on the compliance of the investment firm with any additional own funds requirements imposed in accordance with Article 39(2), point (a), of Directive (EU) 2019/2034

Statement on the compliance of the investment firm with any guidance on additional own funds imposed in accordance with Article 41 of Directive (EU) 2019/2034

The value of the own funds requirements laid down in Article 11 of Regulation (EU) 2019/2033

Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117.

Value from supervisory reporting.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

Statement whether the value provided in the previous line was set on the basis of Article 11(1), point (a), (b) or (c) of Regulation (EU) 2019/2033

Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117

Free text providing the basis for the calculation of own funds requirements.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

The value of any additional own funds requirements imposed in accordance with Article 39(2), point (a), of Directive (EU) 2019/2034, and the grounds for imposition

Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117.

Value from supervisory reporting.

Free text providing the grounds for the imposition of additional own funds requirements.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

The value of any guidance on additional own funds imposed in accordance with Article 41 of Directive (EU) 2019/2034.

Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117.

Value from supervisory reporting.

Free text providing the grounds for the imposition of additional own funds guidance.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

Statement on the compliance of the investment firm with the concentration risk requirements laid down in Part Four of Regulation (EU) 2019/2033

Legal reference: Article 4(1) of Delegated Regulation (EU) 2023/1117.

Free text answering the question on the reporting date.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

Please note that issues of non-compliance with minimum regulatory requirements and any supervisory measures taken by the competent authorities to address them shall be reported outside this template in regular exchange of information and in accordance with Article 1(3) of this Regulation.

Statement on the compliance of the investment firm with the liquidity requirements laid down in Part Five of Regulation (EU) 2019/2033, taking into account the transitional arrangements laid down in Article 57(1) of that Regulation

Legal reference: Article 4(3) of Delegated Regulation (EU) 2023/1117.

Free text answering the question on the reporting date.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

Please note that issues of non-compliance with minimum regulatory requirements and any supervisory measures taken by the competent authorities to address them shall be reported outside this template in regular exchange of information and in accordance with Article 1(3) of this Regulation.

Summary of the overall assessment of the competent authorities of the home Member State of an investment firm’s liquidity risk profile and risk management

Legal reference: Article 4(5) of Delegated Regulation (EU) 2023/1117.

Free text answering the question on the reporting date.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.

Summary assessment of any material risks as revealed by the supervisory review and evaluation carried out in accordance with Article 36 of Directive (EU) 2019/2034 or through any other supervisory activity carried out by the competent authorities of the home Member State

Legal reference: Article 7(1) of Delegated Regulation (EU) 2023/1117.

Free text answering the question on the reporting date.

Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.