• Investment Firms Directive
• Investment Firms Regulation

Prudential requirements:

• Delegated Regulation supplementing the IFR with RTS on measuring liquidity risk (Art. 42 (6) IFD) (EU) 2023/1651
• Delegated Regulation supplementing the IFR with RTS that specify adjustments to the K-factor “daily trading flow” (K-DTF) coefficients (EU) 2022/76
• Delegated Regulation supplementing the IFR with RTS that specify the methods for measuring the K-factors referred to in Article 15 of the IFR (EU) 2022/25
• Delegated Regulation supplementing the IFR with RTS specifying the amount of total margin for the calculation of the K-CMG (Art. 23 (3) IFR) (EU) 2022/244
• Delegated Regulation supplementing the IFR with RTS specifying the notion of segregated accounts to ensure client money’s protection in the event of an investment firm’s failure (EU) 2022/26
• Delegated Regulation supplementing the IFD with RTS specifying the criteria for subjecting certain investment firms to the requirements of Regulation (EU) 575/200 EU 2021/2153
• Delegated Regulation as regards own funds requirements for firms based on fixed overheads (EU) 241/2014
• Delegated Regulation supplementing the IFR with RTS specifying the calculation of the fixed overheads requirement and define the notion of a material change (Art. 13(4) IFR) (EU) 2022/1455
• Opinion of the EBA on appropriate supervisory and enforcement practices for the process of authorising investment firms as credit institutions under Article 8a of CRD IV
• CP on Draft Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under IFD (Draft)
• List of Instruments and Funds List (Art 9 (4) IFR)
• Guidelines on the criteria for the exemption of investment firms from liquidity requirements (Art.43 (4) IFR) EBA/GL/2022/10
• Draft RTS on the provision of information for the effective monitoring of thresholds for credit institutions (Art. 55 (5) IFR) (Draft)
• Draft RTS on the information to be provided by an undertaking in the application for authorization (Art. 8a (6) CRD) (Draft)
• Draft RTS on the methodology for calculating the threshold (EUR30 billion) above which an investment firm is required to apply for a credit institution authorisation (Art.8a (6) CRD) (Draft)
• Draft Guidelines on benchmarking of internal models (Art.37(4) IFD) (Draft)
• Draft RTS on prudential requirements for an investment firm (Art.7(5) IFR) (Draft)

Internal governance:

• Guidelines on internal governance (Art.26(4) IFD) EBA/GL/2021/14
• Guidelines on benchmarking of diversity practices, including diversity policies and gender pay gap, under Directive 2013/36/EU and Directive (EU) 2019/2034 EBA/GL/2023/08

Remuneration:

• Delegated Regulation supplementing the IFD with regard to RTS specifying appropriate criteria to identify categories of staff whose professional activities have a material impact on the risk profile of an investment firm or of the assets that it manages (EU) 2021/2154
• Delegated Regulation supplementing the IFD with regard to RTS specifying the classes of instruments that adequately reflect the credit quality of the investment firm as a going concern and possible alternative arrangements that are appropriate to be used for the purposes of variable remuneration (EU) 2021/2155
• Guidelines on sound remuneration policies for investment firms(Art. 34 (3) IFD) EBA/GL/2021/13
• Implementing Regulation supplementing the IFD with RTS specifying appropriate criteria to identify categories of staff whose professional activities have a material impact on the risk profile of an investment firm or of the assests that it matters (Art.30 (4) IFD) (EU) 2021/2154
• Guidelines on the benchmarking exercises on remuneration practices and the gender pay gap(Art. 34 (2) IFD) EBA/GL/2022/07
• Draft Guidelines on the data collection exercises regarding high earners (Art. 34 (4) IFD) (Draft)

Reporting and disclosure:

• Implementing Regulation amending the ITS laid down in Implementing Regulation (EU) 2022/398 regarding the content lists of the information on individual data to be disclosed by competent authorities (EU) 2023/2526
• Implementing Regulation supplementing the IFR with ITS on supervisory reporting and disclosures of investment firms (Art.54(3) IFR) (EU) 2021/2284
• Implementing Regulation supplementing the IFD with ITS on format, structure, content lists and annual publication date of the information to be disclosed by competent authorities (Art.57 (4) IFD) (EU) 2022/389
• Implementing Regulation supplementing the IFR with RTS on public disclosure of investment policy by investment firms (Art.52(3) IFR) (EU) 2022/1159 (Corrigendum)

ESG:

• Draft delegated regulation on ESG for investment firms (Draft)
• Report on incorporating ESG risks in the supervision of investment firms complementing EBA/REP/2021/18 EBA/REP/2022/26
• Report on management and supervision of ESG risks for credit institutions and investment firms EBA/REP/2021/18
• Report on technical criteria related to engagements with material ESG for SREP(Art. 35 IFD) (not available yet)
• Report on the regulatory treatment of assets exposed to activities related to ESG objectives (Art. 34 (2) IFR) (not available yet)

Supervisory cooperation:

• RTS on colleges of supervisors for investment firm groups (EU) 2023/1118
• RTS and ITS on information exchange between the competent authorities of home and host Member States (EU) 2023/1117
• Draft RTS on Pillar 2 (Art.40 (6) IFD) (Draft)
• EBA publishes aggregated information for SREP EBA/REP/2021/18
• The EBA reports to the European Parliament and the Council on the degree of convergence EBA/REP/2022/10
• Guidelines on common procedures and methodologies for the SREP EBA/GL/2022/09
• Draft Guidelines on the application of the group capital test for investment firm groups in accordance with Article 8 of Regulation (EU) 2019/2033
  (Consultation Paper available here)

• German Implementation Act (Wertpapierinstitutsgesetz - WpIG)
• Implementation of further IFD requirements
  
  • Investment Firms Holder Control Regulation (Wertpaperinstituts-Inhaberkontrollverordnung – WpI – InhKontrollV)
  • Investment Firms Remuneration Regulation (Wertpapierinstituts-Vergütungsverordnung – WpIVergV)
  • Investment firms audit report regulation (Wertpapierinstituts-Prüfungsberichtsverordnung – WpI-PrüfbV)
  • Investment firms notification regulation (Wertpapierinstituts-Anzeigenverordnung – WpI-AnzV)
• BaFin FAQ on the new German Implementation Act
• BaFin FAQ on capital requirements pursuant to Article 17 IFR (FAQ zu Eigenmittelanforderungen iSd Art. 17 IFR)