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You are viewing the version of the document as on 2022-09-30.

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MIFIDPRU 5.6 Obligations for a firm that exceeds the concentration risk soft limit

MIFIDPRU 5.6.1R

1For as long as a firm exceeds the concentration risk soft limit for one or more clients or groups of connected clients, it must calculate the K-CON requirement.

MIFIDPRU 5.6.2R

1When a firm exceeds the concentration risk soft limit for a client or group of connected clients, it must notify the FCA without delay of the amount of the EVE, and the name of the individual client or group of connected clients.

MIFIDPRU 5.6.3R

1A firm must make the notification referred to in MIFIDPRU 5.6.2R by completing Part A of the form in MIFIDPRU 5 Annex 1R and submitting it using the online notification and application system.