Financial Conglomerates Regulations (S.L. 330.6)

Inhalt

1. Art. 1 Citation and scope.
2. Art. 2 Interpretation.
3. Art. 3 Thresholds for identifying a financial conglomerate.
4. Art. 4 Identifying a financial conglomerate.
5. Art. 5 Scope of supplementary supervision of regulated entities.
6. Art. 6 Capital adequacy.
7. Art. 7 Risk concentration.
8. Art. 8 Intra-group transactions.
9. Art. 9 Internal control mechanisms and risk management processes.
10. Art. 10 Stress testing.
11. Art. 11 The coordinator.
12. Art. 12 Functions of the coordinator.
13. Art. 13 Cooperation and exchange of information betweencompetent authorities.
14. Art. 14 Cooperation and exchange of information with the Joint Committee.
15. Art. 15 Management body of mixed financial holdings.
16. Art. 16 Asset management companies.
17. Art. 17 Alternative investment fund managers.
18. Art. 18 Access to information.
19. Art. 19 Verification.
20. Art. 20 Necessary measures.
21. Art. 21 Additional powers of the Authority.
22. Art. 22 Appeals.
23. Art. 23 Penalties. Cap. 12.
24. Art. 24 Parent undertakings in a third country.
25. Art. 25 Cooperation with third-country competent authorities.
26. Art. 26 Application of the JointGuidelineson the convergence of supervisory practices.