Financial services 40 minute briefings

Prudential regime for investment firms

Event Details


London | November 06, 2019

In the FCA’s Business Plan for 2019/20 the regulator stated that the new EU prudential regime for MiFID II investment firms was one of its sector priorities for the investment management sector.

The new EU regime is intended to introduce more appropriate requirements for investment firms’ business models than those currently under the CRD IV regime. It will be aligned to the EU Investment Firms Directive and Regulation, expected to be in operation for Q1 2021. But with new rules come new challenges, and firms should be taking time now to assess the impact these rules will have on their capital, liquidity, remuneration and disclosures. Some firms may be hit hard by the requirements to maintain greater levels of capital, although smaller firms previously in-scope of the CRD IV remuneration rules may be happier with the more proportionate remuneration regime suggested.

In this webinar, we will discuss the proposed approach to the prudential classification of investment firms and the new capital requirements methodology. We will then look at the new reporting requirements and remuneration provisions.

  • Firm classification
  • The K-factor formula
  • Disclosure and reporting requirements
  • Remuneration

Who should register?

The webinar is likely to be of particular value to senior and middle management within financial institutions with responsibility for compliance, capital markets, investment management, legal, risk, HR and trading.


COD points will be available if required.