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L.S. 370.25 Regolamenti dwar CRD (Pieni Amministrattivi, Miżuri u Setgħat Investigatorji)

CRD (ADMINISTRATIVE PENALTIES MEASURES AND INVESTIGATORY POWERS) [ S.L.370.25 1 SUBSIDIARY LEGISLATION 370.25 CRD (ADMINISTRATIVE PENALTIES, MEASURES AND INVESTIGATORY POWERS) REGULATIONS 24th January

Article 394

(1)of the CRR; (e) an investment firm fails to report or provides incomplete or inaccurate information on liquidity to the

Article 415

(1)and
(2)of the CRR; (f) an investment firm fails to report information or provides incomplete or inaccurate information on the leverage ratio to the

Article 430

(1)of the CRR; (
  1. g)an investment firm repeatedly or persistently fails to hold liquid assets in breach of Article 412 of the CRR; (
  2. h)an investment firm incurs exposure in excess of the limits set out in Article 395 of the CRR; (
  3. i)an investment firm is exposed to the credit risk of a securitisation position without satisfying the conditions set out in Article 405 of the CRR; (
  4. j)an investment firm fails to disclose information or provides incomplete or inaccurate information in breach of Article 431
(1),
(2)and
(3)or Article 451
(1)of the CRR; (
  1. k)an investment firm makes payments to holders of instruments included in the own funds of the investment firm in breach of the Investment Services Rules transposing Article 141 of the CRD or in cases where Articles 28, 51 or 63 of the CRR prohibit such payments to holders of instruments included in own funds; (
  2. l)an investment firm is found liable for a serious breach of the Prevention of Money Laundering Act and the regulations issued thereunder; (
  3. m)an investment firm allows one or more persons not complying with Article 91 of the CRD to become or remain a member of the management body. 7 8 [ S.L.370.25 S.L. 370.15. CRD (ADMINISTRATIVE PENALTIES MEASURES AND INVESTIGATORY POWERS) (
  4. n)a parent institution, a parent financial holding company or a parent mixed financial holding company fails to take any action that may be required to ensure compliance with the prudential requirements set out in Part Three, Four, Six and Seven of the CRR or imposed under point (
  5. a)of Article 104
(1)or Article 105 of the CRD as transposed in the Investment Services Act (Supervisory Review) Regulations on a consolidated or subconsolidated basis.

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AI explanation based on the official legal text. Indicative, not a substitute for legal advice.