Vorschlag für eine Verordnung des Europäischen Parlaments und des Rates zur Änderung der Verordnung (EU) Nr. 575/2013 in Bezug auf die Verschuldungsquote, die strukturelle Liquiditätsquote, Anforderungen an Eigenmittel und berücksichtigungsfähige Verbindlichkeiten, das Gegenparteiausfallrisiko, das Marktrisiko, Risikopositionen gegenüber zentralen Gegenparteien, Risikopositionen gegenüber Organismen für gemeinsame Anlagen, Großkredite, Melde- und Offenlegungspflichten und zur Änderung der Verordnung (EU) Nr. 648/2012 (Text von Bedeutung für den EWR) (130366/EU XXV.GP)

COM: COM(2016) 850 PUBLIC
23.11.2016
deutsch
Frist: 24.03.2017

EU-V: Verordnungsentwürfe

Vorschlag für eine Verordnung des Europäischen Parlaments und des Rates zur Änderung der Verordnung (EU) Nr. 575/2013 in Bezug auf die Verschuldungsquote, die strukturelle Liquiditätsquote, Anforderungen an Eigenmittel und berücksichtigungsfähige Verbindlichkeiten, das Gegenparteiausfallrisiko, das Marktrisiko, Risikopositionen gegenüber zentralen Gegenparteien, Risikopositionen gegenüber Organismen für gemeinsame Anlagen, Großkredite, Melde- und Offenlegungspflichten und zur Änderung der Verordnung (EU) Nr. 648/2012 (Text von Bedeutung für den EWR)

Erstellt am 23.11.2016

Eingelangt am 26.01.2017, Europäische Kommission - Österr. Parlament

COM: COM(2016) 850 final PDF

Linkart	Link
COM	COM(2015) 587
COM	COM(2016) 510
COM	SWD(2016) 377
COM	SWD(2016) 378
INT	2016/0360 (COD)
RAG	Verkehr
ABL	ABl. L 11 vom 17.1.2015, S. 1
ABL	ABl. L 124 vom 20.5.2003, S. 36
ABL	ABl. L 168 vom 27.6.2002, S. 43
ABL	ABl. L 173 vom 12.6.2014, S. 190
ABL	ABl. L 174 vom 1.7.2011, S. 1
ABL	ABl. L 176 vom 27.6.2013, S. 1
ABL	ABl. L 176 vom 27.6.2013, S. 338
ABL	ABl. L 182 vom 29.6.2013, S. 19
ABL	ABl. L 191 vom 28.6.2014, S. 1
ABL	ABl. L 225 vom 30.7.2014, S. 1
ABL	ABl. L 302 vom 17.11.2009, S. 32
ABL	ABl. L 319 vom 5.12.2007, S. 1
ABL	ABl. L 321 vom 26.6.2013, S. 6
ABL	ABl. L 329 vom 14.12.2010, S. 3
ABL	ABl. L 390 vom 31.12.2004, S. 38
EMP	2003/361/EG
RIL	2001/24/EG
RIL	2001/34/EG
RIL	2002/47/EG
RIL	2002/65/EG
RIL	2002/87/EG
RIL	2003/41/EG
RIL	2004/109/EG
RIL	2004/25/EG
RIL	2004/39/EG
RIL	2005/56/EG
RIL	2005/60/EG
RIL	2006/43/EG
RIL	2006/48/EG
RIL	2006/49/EG
RIL	2007/36/EG
RIL	2007/64/EG
RIL	2009/138/EG
RIL	2009/65/EG
RIL	2010/76/EU
RIL	2011/35/EU
RIL	2011/61/EU
RIL	2012/30/EU
RIL	2013/34/EU
RIL	2013/36/EG
RIL	2013/36/EU
RIL	2014/49/EU
RIL	2014/59/EU
RIL	2014/65/EU
RIL	78/660/EWG
RIL	82/891/EWG
RIL	83/349/EWG
RIL	86/635/EWG
RIL	93/22/EWG
RIL	95/46/EG
RIL	97/5/EG
RIL	97/7/EG
RIL	98/26/EG
RMI	Staats- und Regierungschefs
VER	1060/2009
VER	1093/2010
VER	1095/2010
VER	1606/2002
VER	2001/24
VER	2002/47
VER	2002/87
VER	2004/25
VER	2005/56
VER	2006/48
VER	2006/49
VER	2007/2008
VER	2007/36
VER	2009/65
VER	2011/35
VER	2012/30
VER	2013/36
VER	2014/59
VER	2015/61
VER	36/2013
VER	515/2013
VER	575/2013
VER	648/2012
VER	680/2014
VER	806/2014
VER	82/89

Datum	EU-Datenbanknr.	Dokument der EU-Vorlage	Sprache	Einstufung
23.11.2016	123980/EU XXV.GP	COM: COM(2016) 850 final PDF	englisch	PUBLIC	EU-Vorlage Verordnungsentwürfe Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 (Text with EEA relevance) Eingelangt am 24.11.2016, Europäische Kommission - Österr. Parlament

Interinstitutionelle Zahl	Link
2016/0360 COD	Legislative Observatory
2016/360 COD	Legislative Observatory

Dok.Nr.	Betreff
COM: SWD(2016) 377	Commission Staff Working Document/Impact Assessment/Accompanying the document Proposal amending: - Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms; - Directive 2013/36/EU on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms; - Directive 2014/59/EU establishing a framework for the recovery and resolution of credit institutions and investment firms; - Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund (123982/EU XXV.GP)
COM: SWD(2016) 378	Arbeitsunterlage der Kommissionsdienststellen/Zusammenfassung der Folgenabschätzung/Begleitunterlage zu den Vorschlägen zur Änderung der Verordnung (EU) Nr. 575/2013 über Aufsichtsanforderungen an Kreditinstitute und Wertpapierfirmen, der Richtlinie 2013/36/EU über den Zugang zur Tätigkeit von Kreditinstituten und die Beaufsichtigung von Kreditinstituten und Wertpapierfirmen, der Richtlinie 2014/59/EU zur Festlegung eines Rahmens für die Sanierung und Abwicklung von Kreditinstituten und Wertpapierfirmen und der Verordnung (EU) Nr. 806/2014 des Europäischen Parlaments und des Rates vom 15. Juli 2014 zur Festlegung einheitlicher Vorschriften und eines einheitlichen Verfahrens für die Abwicklung von Kreditinstituten und bestimmten Wertpapierfirmen im Rahmen eines einheitlichen Abwicklungsmechanismus und eines einheitlichen Bankenabwicklungsfonds (130367/EU XXV.GP)

Dok.Nr.

Betreff

COM: SWD(2016) 377

Commission Staff Working Document/Impact Assessment/Accompanying the document Proposal amending: - Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms; - Directive 2013/36/EU on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms; - Directive 2014/59/EU establishing a framework for the recovery and resolution of credit institutions and investment firms; - Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund (123982/EU XXV.GP)

COM: SWD(2016) 378

Arbeitsunterlage der Kommissionsdienststellen/Zusammenfassung der Folgenabschätzung/Begleitunterlage zu den Vorschlägen zur Änderung der Verordnung (EU) Nr. 575/2013 über Aufsichtsanforderungen an Kreditinstitute und Wertpapierfirmen, der Richtlinie 2013/36/EU über den Zugang zur Tätigkeit von Kreditinstituten und die Beaufsichtigung von Kreditinstituten und Wertpapierfirmen, der Richtlinie 2014/59/EU zur Festlegung eines Rahmens für die Sanierung und Abwicklung von Kreditinstituten und Wertpapierfirmen und der Verordnung (EU) Nr. 806/2014 des Europäischen Parlaments und des Rates vom 15. Juli 2014 zur Festlegung einheitlicher Vorschriften und eines einheitlichen Verfahrens für die Abwicklung von Kreditinstituten und bestimmten Wertpapierfirmen im Rahmen eines einheitlichen Abwicklungsmechanismus und eines einheitlichen Bankenabwicklungsfonds (130367/EU XXV.GP)

Thema
Wirtschaft, Währung & Finanzen

Datum	Dok.Nr.	Art	Betreff
27.01.2017	COM: D(2017) 1846	EUUS	Übermittlungsschreiben/COM(2016) 850/Fristbeginn: 27.1.2017 (130531/EU XXV.GP)
23.11.2016	COM: SWD(2016) 377	EUB	Commission Staff Working Document/Impact Assessment/Accompanying the document Proposal amending: - Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms; - Directive 2013/36/EU on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms; - Directive 2014/59/EU establishing a framework for the recovery and resolution of credit institutions and investment firms; - Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund (123982/EU XXV.GP)
23.11.2016	COM: SWD(2016) 378	EUB	Arbeitsunterlage der Kommissionsdienststellen/Zusammenfassung der Folgenabschätzung/Begleitunterlage zu den Vorschlägen zur Änderung der Verordnung (EU) Nr. 575/2013 über Aufsichtsanforderungen an Kreditinstitute und Wertpapierfirmen, der Richtlinie 2013/36/EU über den Zugang zur Tätigkeit von Kreditinstituten und die Beaufsichtigung von Kreditinstituten und Wertpapierfirmen, der Richtlinie 2014/59/EU zur Festlegung eines Rahmens für die Sanierung und Abwicklung von Kreditinstituten und Wertpapierfirmen und der Verordnung (EU) Nr. 806/2014 des Europäischen Parlaments und des Rates vom 15. Juli 2014 zur Festlegung einheitlicher Vorschriften und eines einheitlichen Verfahrens für die Abwicklung von Kreditinstituten und bestimmten Wertpapierfirmen im Rahmen eines einheitlichen Abwicklungsmechanismus und eines einheitlichen Bankenabwicklungsfonds (130367/EU XXV.GP)
23.11.2016	COM: SWD(2016) 377	EUB	Commission Staff Working Document/Impact Assessment/Accompanying the document Proposal amending: - Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms; - Directive 2013/36/EU on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms; - Directive 2014/59/EU establishing a framework for the recovery and resolution of credit institutions and investment firms; - Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund (123982/EU XXV.GP)
10.03.2017	RAT: 7284/17	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 [doc. 14775/16 EF 351 ECOFIN 1096 CODEC 1948 CCG 12 - COM(2016) 850 final] and Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures [doc. 14776/16 EF 352 ECOFIN 1097 CODEC 1949 - COM(2016) 854 final] - Opinion on the application of the principles of subsidiarity and proportionality/Cover note from Sveriges riksdag (136476/EU XXV.GP)
23.01.2018	RAT: 5624/18	EUST	Capital Requirements Regulation (CRR) [doc: 14775/16 - COM (2016) 850 final] Single Resolution Mechanism Regulation (SRMR) [doc: 14779/16 - COM (2016) 851 final] Bank Recovery and Resolution Directive (BRRD) [doc: 14777/16 - COM (2016) 852 final] Ranking of Unsecured Debt. Instruments and Insolvency Hierarchy (BRRD-CR) [doc:14778/16 - COM (2016) 853 final] Capital Requirements Directive (CRD) [doc:14776/16 - COM (2016) 854 final] Recovery and Resolution of Central Counterparties (CCPRR) [doc: 14835/16 - COM (2016) 856 final] - opinion on the application of principles of subsidiarity and proportionality/Cover note from the Italian Senate (9024/EU XXVI.GP)
17.03.2017	RAT: 7470/17	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 [doc. 14775/16 EF 351 ECOFIN 1096 CODEC 1948 CCG 12 - COM(2016) 850 FINAL]; Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) no 806/2014 as regards loss-absorbing and Recapitalisation Capacity for credit institutions and investment firms [Doc. 14779/16 EF 355 ECOFIN 1100 CODEC 1952 - COM(2016) 851 FINAL]; Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2014/59/EU on loss-absorbing and recapitalisation capacity of credit institutions and investment firms and amending Directive 98/26/EC, Directive 2002/47/EC, Directive 2012/30/EU, Directive 2011/35/EU, Directive 2005/56/EC, Directive 2004/25/EC and Directive 2007/36/EC [Doc. 14777/16 EF 353 ECOFIN 1098 CODEC 1950 DRS 46 - COM(2016) 852 FINAL]; Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures [Doc. 14776/16 EF 352 ECOFIN 1097 CODEC 1949 - COM(2016) 854 FINAL] - Opinion on the application of the principles of subsidiarity and proportionality/Cover note from the Romanian Senate (137097/EU XXV.GP)
30.01.2017	RAT: CM 1368/17	EUCM	Consultation of the European Economic and Social Committee by the Council Consultation of the European Central Bank by the Council on a proposal for a Regulation of the European Parliament and of the Council amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 [ref. 2016/0360 (COD) - COM(2016) 850 final - 14775/16 + ADD 1] (130593/EU XXV.GP)
10.03.2017	RAT: 7284/17	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 [doc. 14775/16 EF 351 ECOFIN 1096 CODEC 1948 CCG 12 - COM(2016) 850 final] and Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures [doc. 14776/16 EF 352 ECOFIN 1097 CODEC 1949 - COM(2016) 854 final] - Opinion on the application of the principles of subsidiarity and proportionality/Cover note from Sveriges riksdag (136476/EU XXV.GP)
23.01.2018	RAT: 5624/18	EUST	Capital Requirements Regulation (CRR) [doc: 14775/16 - COM (2016) 850 final] Single Resolution Mechanism Regulation (SRMR) [doc: 14779/16 - COM (2016) 851 final] Bank Recovery and Resolution Directive (BRRD) [doc: 14777/16 - COM (2016) 852 final] Ranking of Unsecured Debt. Instruments and Insolvency Hierarchy (BRRD-CR) [doc:14778/16 - COM (2016) 853 final] Capital Requirements Directive (CRD) [doc:14776/16 - COM (2016) 854 final] Recovery and Resolution of Central Counterparties (CCPRR) [doc: 14835/16 - COM (2016) 856 final] - opinion on the application of principles of subsidiarity and proportionality/Cover note from the Italian Senate (9024/EU XXVI.GP)
17.03.2017	RAT: 7470/17	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 [doc. 14775/16 EF 351 ECOFIN 1096 CODEC 1948 CCG 12 - COM(2016) 850 FINAL]; Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) no 806/2014 as regards loss-absorbing and Recapitalisation Capacity for credit institutions and investment firms [Doc. 14779/16 EF 355 ECOFIN 1100 CODEC 1952 - COM(2016) 851 FINAL]; Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2014/59/EU on loss-absorbing and recapitalisation capacity of credit institutions and investment firms and amending Directive 98/26/EC, Directive 2002/47/EC, Directive 2012/30/EU, Directive 2011/35/EU, Directive 2005/56/EC, Directive 2004/25/EC and Directive 2007/36/EC [Doc. 14777/16 EF 353 ECOFIN 1098 CODEC 1950 DRS 46 - COM(2016) 852 FINAL]; Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures [Doc. 14776/16 EF 352 ECOFIN 1097 CODEC 1949 - COM(2016) 854 FINAL] - Opinion on the application of the principles of subsidiarity and proportionality/Cover note from the Romanian Senate (137097/EU XXV.GP)
22.03.2017	RAT: 7583/17	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 [doc. 14775/16 EF 351 ECOFIN 1096 CODEC 1948 CCG 12 - COM(2016) 850 final] Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 806/2014 as regards loss-absorbing and Recapitalisation Capacity for credit institutions and investment firms [doc. 14779/16 EF 355 ECOFIN 1100 - COM(2016) 851 final] Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2014/59/EU on loss-absorbing and recapitalisation capacity of credit institutions and investment firms and amending Directive 98/26/EC, Directive 2002/47/EC, Directive 2012/30/EU, Directive 2011/35/EU, Directive 2005/56/EC, Directive 2004/25/EC and Directive 2007/36/EC [doc. 14777/16 EF 353 ECOFIN 1098 DRS 46 - COM(2016) 852 final] Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on a framework for the recovery and resolution of central counterparties and amending Regulations (EU) No 1095/2010, (EU) No 648/2012, and (EU) 2015/2365 [doc. 14835/16 EF 360 ECOFIN 1116 CODEC 1735 - COM(2016) 856 final] - opinion on1 the application of the principles of subsidiarity and proportionality (137778/EU XXV.GP)

Datum	Dok.Nr.	Art	Betreff
23.01.2017	RAT: 14775/16	EUST	Vorschlag für eine VERORDNUNG DES EUROPÄISCHEN PARLAMENTS UND DES RATES zur Änderung der Verordnung (EU) Nr. 575/2013 in Bezug auf die Verschuldungsquote, die strukturelle Liquiditätsquote, Anforderungen an Eigenmittel und berücksichtigungsfähige Verbindlichkeiten, das Gegenparteiausfallrisiko, das Marktrisiko, Risikopositionen gegenüber zentralen Gegenparteien, Risikopositionen gegenüber Organismen für gemeinsame Anlagen, Großkredite, Melde- und Offenlegungspflichten und zur Änderung der Verordnung (EU) Nr. 648/2012 (130323/EU XXV.GP)
21.11.2017	RAT: 14736/17	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 - Presidency Compromise (1963/EU XXVI.GP)
30.03.2017	RAT: 7792/17	EUST	Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 - Basel III: leverage ratio (138812/EU XXV.GP)
23.07.2020	RAT: 9882/20	EUST	Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 - list of working papers (WK) distributed (27902/EU XXVII.GP)

Dok.Nr.	Links
COM: COM(2016) 850	EUR-Lex IPEX

EU-V: Verordnungsentwürfe

EU-Vorlage Verordnungsentwürfe