UK Statutory Instrument
2013
United Kingdom
Capital Requirements Regulations 2013
At a glance
Enforced by
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Schedules
Browse 81 other Schedules — structural / supplementary
FSMA is amended as follows.
In section 184 (disregarded holdings) — (a) for subsection (8)(a)...
In section 186(b) (assessment criteria) after “the reputation”, insert “...
In section 188 (assessment: consultation with EC competent authorities) in...
In section 190(4)(b)(v) (requests for further information) for “banking consolidation...
In section 191G(1) (interpretation) , in paragraph (a) of the...
After section 194A (contravention by relevant EEA firm with UK...
In section 199 — (a) for subsection (7) substitute—
In section 301E (disregarded holdings) — (a) for subsection (8)(a)...
In section 301M(1) (interpretation) in paragraph (a) of the definition...
In section 313D (interpretation of part 18A) in paragraph (c)...
In section 1H(8) (further interpretative provisions for sections 1B to...
(1) Section 342 (information given by auditor or actuary to...
(1) Section 343 (information given by auditor or actuary to...
In section 391 (publication) , after subsection (4) insert—
After section 391 insert— Publication: special provisions relating to certain...
In section 417(1) (definitions) , at the appropriate places, insert—...
In section 422 (controller) — (a) in subsection (5)(a)(v) for...
In section 422A (disregarded holdings) — (a) for subsection (8)(a)...
In section 425(1)(a) (expressions relating to authorisation elsewhere in the...
In section 425A(7) (consumers: regulated activities etc carried on by...
(1) Schedule 3 (EEA passport rights) is amended as follows....
In section 3M (directions relating to consolidated supervision of groups)...
In paragraph 8(6) of Schedule 11A (transferrable securities) for “Article...
Superannuation Act 1972
Consumer Credit Act 1974
Judicial Pensions Act 1981
Building Societies Act 1986
In paragraph 23 of Schedule 2 to the Building Societies...
Judicial Pensions and Retirement Act 1993
Criminal Justice Act 1993
Bank of England Act 1998
For section 41 (general interpretation) substitute— General interpretation In this Act— “the Bank” means the Bank of England;...
In section 39(8) (exemption of appointed representatives) for “banking consolidation...
Terrorism Act 2000
Proceeds of Crime Act 2002
Companies Act 2006
Banking (Special Provisions) Act 2008
Counter-Terrorism Act 2008
Banking Act 2009
Credit Institutions (Protection of Depositors) Regulations 1995
Cash Ratio Deposits (Eligible Liabilities) Order 1998
Financial Markets and Insolvency (Settlement Finality) Regulations 1999
Competition Act 1998 (Small Agreements and Conduct of Minor Significance) Regulations 2000
In section 55J(6A) (variation or cancellation on initiative of regulator)...
Competition Act 1998 (Determination of Turnover for Penalties) Order 2000
Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001
Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
Financial Services and Markets Act 2000 (Gibraltar) Order 2001
Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001
Uncertificated Securities Regulations 2001
In section 55R (persons connected with an applicant) , after...
Enterprise Act 2002 (Merger Fees and Determination of Turnover) Order 2003
Financial Collateral Arrangements (
Conduct of Employment Agencies and Employment Businesses Regulations 2003
Credit Institutions (Reorganisation and Winding Up) Regulations 2004
Financial Conglomerates and Other Financial Groups Regulations 2004
Building Societies Act 1986 (Modification of the Lending Limit and Funding Limit Calculations) Order 2004
Gambling (Operating Licence and Single-Machine Permit Fees) Regulations 2006
Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007
Money Laundering Regulations 2007
Regulated Covered Bonds Regulations 2008
In section 55Z2 (notification of EBA) —
Payment Services Regulations 2009
Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009
Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009
Provision of Services Regulations 2009
Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010
Electronic Money Regulations 2011
Recognised Auction Platforms Regulations 2011
Financial Services and Markets Act 2000 (Prescribed Financial Institutions) Order 2013
Financial Services and Markets Act 2000 (PRA-regulated Activities) Order 2013
Bank of England Act 1998 (Macro-prudential Measures) Order 2013
After section 55Z2 insert— Notification of the European bodies A regulator must notify the European Commission and the European...
Alternative Investment Fund Managers Regulations 2013
In section 86(10)(a) (exempt offers to the public) for “banking...
Browse 52 other sections — procedural / definitional / commencement
Citation, commencement and expiry
Interpretation
Interpretation: regulators' rules
Capital Requirements Regulations 2006: revocation
Main provisions of the capital requirements regulation and Directive 2013/36/EU UK law
Capital buffers and Article 458 of the capital requirements regulation
Co-operation within the European System of Financial Supervision
Co-operation with EBA
Information gathering, planning and co-ordination duties
Requirement to consult other competent authorities: major sanctions or exceptional measures
Emergency situations: notification requirements
Collaboration concerning supervision of cross-border institutions
On-the-spot checks and inspections: during CRD transitional period
On-the-spot checks or inspections: after CRD transitional period
On-the-spot checks and inspections: powers of EEA competent authorities
Significant branches: UK is the host EEA State
Significant branches: UK is the home EEA State or EEA consolidating supervisor
Duties to notify EBA and EIOPA
General disclosures required of PRA and FCA
Specific disclosures required of PRA and FCA
Determination of the consolidating supervisor
Assessment of equivalence of consolidated supervision by supervisory authorities in third countries
Co-ordination and co-operation arrangements
Co-ordination of supervisory activities by the EEA consolidating supervisor
The Bank's general duties
Exchange of information
Obtaining information already disclosed
Verification of information by a competent authority in another EEA State
Requirement to establish list of holding companies
Joint decisions on own funds: PRA or FCA is the EEA consolidating supervisor
Joint decisions on own funds: PRA or FCA is not the EEA consolidating supervisor
Joint decision on liquidity: PRA or FCA is the EEA consolidating supervisor
Joint decision on liquidity: PRA or FCA is not the EEA consolidating supervisor
Colleges of supervisors
Supervisory powers: own funds
Supervisory review and evaluation process
Ongoing review of the permission to use internal approaches
Specific liquidity requirements
Application of supervisory measures to institutions with similar risk profiles
Supervisory powers
Specific publication requirements
Employee remuneration
Diversity practices
Consultation with EBA: supervisory benchmarking of internal approaches for calculation own funds requirements
Meaning of “permission” and “protected item” in this Part
Applications for permissions: process, information and documents
Decisions: written notices
Appeals
Publication of written notices
Transitional provision for matters done before commencement
Misleading the PRA or FCA
Amendments and revocations
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
Prudential Regulation Authority
Part of the Bank of England. Prudentially regulates and supervises around 1,292 banks, building societies, credit unions, insurers, and major investment firms. …
Explore more
Browse legislation
Find other UK business legislation with related guidance.
Regulators
Learn more about the bodies that enforce this legislation.