EBA欧洲银行-2019-01-24-EBA-Request-for-revised-deadlines-in-the-IFR-and-IFD_5页_265kb

报告摘要

总结：EBA 对 IFR/IFD 技术标准提交期限的修订请求

核心内容

欧洲银行管理局（EBA）向欧盟理事会和欧洲议会提交了一份关于修订《投资公司条例》（IFR）和《投资公司指令》（IFD）中技术标准提交期限的正式请求。EBA 认为当前的期限设置过于紧凑，可能影响技术标准的质量和监管工作的有效性。

主要观点

当前期限问题
EBA 指出，按照欧盟委员会、欧洲议会和欧盟理事会的提案，技术标准的提交期限通常设定为进入生效后 9 个月。然而，这种压缩时间表难以满足监管工作的复杂性，影响监管产品的质量。
建议修订期限
为确保监管工作的质量，EBA 建议将技术标准的提交期限分为三个阶段，分别设定为 12、18 和 24 个月。这一调整旨在为投资公司、监管机构和成员国提供足够的时间来实施和评估新要求。
监管实施的复杂性
EBA 强调，投资公司需要时间适应新要求，监管机构需评估新监管框架的有效性，成员国需将指令转化为国内法律，同时监管机构还需升级IT基础设施以支持新标准的实施。
联合监管产品的问题
EBA 提议限制联合监管产品（Joint Regulatory Products）的使用，仅在特殊情况下采用。这将有助于减少审批流程中的延误，提高效率。
对现有指南的审查
EBA 建议在 IFR/IFD 生效后 3 年内，对所有适用的投资公司指南进行一次全面审查，并明确该审查的期限。

关键信息

技术标准提交期限建议

文件	条款	段落	任务描述	原始期限	EBA 建议期限
IFR	7	4	RTS on prudential consolidation	6 months after EIF	12 months after EIF
IFR	9	2 (e) (v)	Monitoring and publication of eligible own funds instruments	No deadline	No deadline
IFR	13	4	RTS to specify the calculation of the fixed overheads requirement	9 months after EIF	12 months after EIF
IFR	15	5	RTS to specify the methods for measuring the K-factors and adjusting their coefficients	No deadline	12 months after EIF
IFR	15	5	RTS on the definition of segregated account	9 months after EIF	12 months after EIF
IFR	15	5	RTS on the inclusion of advice in K-AUM	9 months after EIF	12 months after EIF
IFR	23	2	RTS to specify the calculation of the initial margin for K-CMG	9 months after EIF	12 months after EIF
IFR	43	2a	GL on exceptional circumstances for reducing liquid assets	No deadline	No deadline
IFR	48	2	RTS to specify templates for own funds disclosures	9 months after EIF	18 months after EIF
IFR	51a	3	RTS to specify templates for investment policy disclosures	9 months after EIF	18 months after EIF
IFR	52	3	ITS on supervisory reporting	9 months after EIF	12 months after EIF
IFR	53	4	RTS on the information related to the thresholds for credit institutions	January 1st 2019	12 months after EIF
IFD	4a	-	RTS on the criteria for subjecting certain investment firms to the CRR	9 months after EIF	12 months after EIF
IFD	11	6	RTS on information exchange between CAs in different member states	6 months after EIF	2 years after EIF
IFD	11	7	ITS to establish standard forms, templates and procedures for the supervisory information sharing	6 months after EIF	2 years after EIF
IFD	23	6	RTS to specify the eligibility criteria for small and non-interconnected investment firms	9 months after EIF	12 months after EIF
IFD	24	4	RTS to specify the content of the application of governance arrangements	12 months after EIF	18 months after EIF
IFD	28	4	RTS to specify appropriate criteria to identify individuals with material impact on risk profile	9 months after EIF	18 months after EIF
IFD	30	6	RTS to specify instruments for variable remuneration convertible into CET1	9 months after EIF	18 months after EIF
IFD	32	1	Annual report on remuneration trends and practices	No deadline	No deadline
IFD	32	3	GL on sound and gender neutral remuneration policies	No deadline	No deadline
IFD	32	4	GL on supervisory information on high earners	No deadline	No deadline
IFD	32a	-	Report and (if appropriate GL) of technical criteria related to exposures with substantial ESG for SREP	2 years after EIF	2 years after EIF
IFD	34	4	GL on benchmarking of internal models	No deadline	No deadline
IFD	37	6	RTS on Pillar 2 add-ons	9 months after EIF	18 months after EIF
IFD	41	2	GL on procedures and methodologies for the SREP	No deadline	No deadline
IFD	44	8	RTS on the conditions for the establishment of a college of supervisors	9 months after EIF	2 years after EIF
IFD	53	4	ITS on supervisory disclosure	9 months after EIF	12 months after EIF