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Revised prudential framework for investment firms

12 February 2018

On 20 December 2017, the European Commission published proposals to revise the framework for the prudential regulation of investment firms.

The proposals were anticipated and are an attempt to “ensure that investment firms are subject to key prudential requirements and corresponding supervisory arrangements that are adapted to their risk profile and business model, without compromising financial stability”.

This note focuses on the proposals dealing with own funds, levels of minimum capital, concentration risk, liquidity and reporting and public disclosure for all investment firms that are not designated as "systemic".


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