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THE EUROPEAN COMMISSION,Having regard to the Treaty on the Functioning of the European Union,Having regard to 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/EUnote, and in particular Article 57(4) thereof,Whereas:
(1)Commission Implementing Regulation (EU) 2022/389note lays down templates for the publication of the information that competent authorities have to disclose pursuant to Article 57(1) of Directive (EU) 2019/2034. That information concerns the composition of own funds and the own funds requirements by type of requirement, but is limited to investment firms that do not qualify as small and non-interconnected investment firms.
(2)As small and non-interconnected investment firms can be numerous in certain Member States, the absence of publicly available information on the composition of own funds and the own funds requirements of those investment firms may distort a meaningful comparison of aggregated requirements by type across different Member States. Therefore, the templates laid down in Part 1 of Annex IV to Implementing Regulation (EU) 2022/389 should also refer to the data on the composition of own funds and own funds requirements by type of requirement for those investment firms that do qualify as small and non-interconnected.
(3)Implementing Regulation (EU) 2022/389 should therefore be amended accordingly.
(4)This Regulation is based on the draft implementing technical standards submitted to the Commission by the European Banking Authority after having consulted the European Securities and Markets Authority.
(5)The necessary amendments to Implementing Regulation (EU) 2022/389 do not involve significant changes in substantive terms nor additional reporting burden on investment firms. In accordance with Article 15(1), second subparagraph, of Regulation (EU) No 1093/2010 of the European Parliament and of the Councilnote, the European Banking Authority has not conducted open public consultations, nor analysed the potential related costs and benefits, considering that it would be highly disproportionate in relation to the scope and impact of the draft implementing technical standards concerned,
HAS ADOPTED THIS REGULATION:
Article 1#
Annex IV to Implementing Regulation (EU) 2022/389 is amended in accordance with the Annex to this Regulation.
Article 2#
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
In Annex IV to Implementing Regulation (EU) 2022/389, Part 1 is replaced by the following:
‘PART 1Individual data per competent authority (year 20XX)| Reference to reporting template | Data || Number and size of investment firms | | |010 | Number of investment firms | | [Value]020 | Total assets of all investment firms in the Member State (in MEUR) | | [Value]| Number and size of third country investment firms | |030 | From third countries | Number of branches | | [Value]040 | Number of subsidiaries | | [Value]| | | || Own funds composition with respect to own funds requirements | | Data, in millions euro | Data, as percentage of total own funds requirements%050 | Total Common Equity Tier 1 | I 01.00 row 0030 and I 01.01 row 0030 | [Value] | [Value]060 | Total Additional Tier 1 | I 01.00 row 0300 and I 01.01 row 0300 | [Value] | [Value]070 | Total Tier 2 capital | I 01.00 row 0420 and I 01.01 row 0420 | [Value] | [Value]080 | Total own funds | I 01.00 row 0010 and I 01.01 row 0010 | [Value] | [Value]| Total own funds requirement by type | | Data, in millions euro | Data, as percentage of the total own funds requirements %090 | Data on own funds requirements | Fixed overheads requirement | I 02.01 row 0030 and I 02.03 row 0030 | [Value] | [Value]100 | Permanent minimum capital requirement | I 02.01 row 0020 and I 02.03 row 0020 | [Value] | [Value]110 | K-factor requirement | I 02.01 row 0040 | [Value] | [Value]120 | of which Risk-to-Client (RtC) | I 04.00 row 0020 | [Value] | [Value]130 | of which Risk-to-Market (RtM) | I 04.00 row 0090 | [Value] | [Value]140 | of which Risk-to-Firm (RtF) | I 04.00 row 0120 | [Value] | [Value]
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