Capital Requirements (MIFIDPRU)

 

Record and demonstrate compliance with your firm’s MIFID Capital Requirements:

  • SNI MIFIDPRU Investment Firms

  • Actions for Damages

  • Requirements on a Consolidated Basis

  • The Group Capital Test

  • Own Funds Requirements

  • Initial Capital (Common Equity Tier 1 Capital, K-Factors, etc.)

  • Concentration Risk (K-CON)

  • Basic Liquid Assets Requirement

  • Governance and Risk Management

  • ICARA Assessments

  • Capital and Liquidity Planning, Stress Testing, and Wind-Down Planning

  • Supervisory Review and Evaluation Process (SREP)

  • Disclosure

  • Reporting