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Commission Delegated Regulation (EU) 2018/959Dangos y teitl llawn
Commission Delegated Regulation (EU) 2018/959of 14 March 2018supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards of the specification of the assessment methodology under which competent authorities permit institutions to use Advanced Measurement Approaches for operational risk(Text with EEA relevance)
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Changes over time for: Article 5
Changes to legislation:
Commission Delegated Regulation (EU) 2018/959, Article 5 is up to date with all changes known to be in force on or before 04 February 2026. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
EUR 2018 No. 959 may be subject to amendment by EU Exit Instruments made by both the Prudential Regulation Authority and the Financial Conduct Authority under powers set out in The Financial Regulators’ Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1115), regs. 2, 3, Sch. Pt. 4. These amendments are not currently available on legislation.gov.uk. Details of relevant amending instruments can be found on their website/s.
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Changes and effects yet to be applied to Article 5:
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1 3
Article 5U.K.Operational risk events related to financial transactions including those related to market risk
Competent authorities shall confirm that at least the following events, and the related losses, are classified as operational risk when assessing that an institution identifies, collects and treats data on operational risk events and losses that are related to financial transactions and market risk for the purposes of both management of operational risk and calculation of the AMA own funds requirement:
(a)
events due to operational and data entry errors, including the following:
(i)
failures and errors during the introduction or execution of orders;
(ii)
loss of data or misunderstanding of the data flow from the front to the middle and back offices of the institution;
(iii)
errors in classification;
(iv)
incorrect specification of deals in the term-sheet, including errors related to the transaction amount, maturities and financial features.
(b)
events due to failures in internal controls, including the following:
(i)
failures in properly executing an order to unwind a market position in case of adverse price movements;
(ii)
unauthorised positions taken in excess of allocated limits, irrespective of the type of risk they relate to.
(c)
events due to inadequate data quality and unavailability of IT environment, including technical unavailability of access to the market resulting in an inability to close contracts.
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