Prudential regulation of investment firms in the European Union (ZIFO nr. 32) 2021/9.2.1:9.2.1 Categorization

Prudential regulation of investment firms in the European Union (ZIFO nr. 32) 2021/9.2.1

9.2.1 Categorization

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362. The CRD 2013 and CRR regimes differentiate between at least 11 different types of investment firms.1 As such, investment firms are currently obliged to navigate through a very complex set of prudential requirements to identify the applicable rules. To simplify this difficult differentiation in the CRD 2013 and CRR regime, the IFR and IFD categorize investment firms in three distinct Classes. As of the publication of the first Presidency Compromise for the IFR2 and IFD3 on 4 January 2019 and the second and final Presidency Compromise of the IFR4 and IFD5 on 19 March 2019, however, this new categorisation in the IFR has become much more complicated, as there are now two additional sub-classes of investment firms within the original Class 1, so-called Class 1a and Class 1b. The following sections will discuss this categorisation and the changes made in Class 1 in the presidency compromise of the IFR and IFD.

9.2.1.1 Class 1 investment firms9.2.1.2 Critique on Class 1 investment firms9.2.1.3 Class 1a and 1b investment firms9.2.1.4 Critique on Class 1a and 1b investment firms9.2.1.5 Class 2 and 3 investment firms

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