EU Weighs Supervising Prudential Rules For Investment Cos.

By Najiyya Budaly (November 19, 2021, 2:41 PM GMT) -- Europe's financial watchdogs have floated guidelines to help national regulators supervise investment firms to ensure that they are meeting new blocwide prudential rules consistently.

The European Securities and Markets Authority and the European Banking Authority published guidance on Thursday with common ways for national regulators to review and evaluate investment firms' compliance with the Investment Firms Regulation and Directive.

The rules, which came into force across the European Union on June 26, require investment companies to maintain sufficient capital and have adequate risk controls.

The draft supervisory review and evaluation process, or SREP, proposed by the EU authorities will allow regulators...

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