The rules, by template
Each rule in plain words, its code in brackets. Open one for what to do if your filing fails it. A rule that reads more than one template is listed under the first.
- Tier 1 capital must equal common equity Tier 1 capital plus additional Tier 1 capital (v10869_h)Warning
- Amount cannot be negative (v10873_s)Warning
- Amount cannot be more than zero (v10874_s)Warning
- Surplus or Deficit of CET 1 capital must equal common equity Tier 1 capital minus total own funds requirement times 0.56 (v11122_m)Warning
- Surplus or Deficit of Tier 1 capital must equal tier 1 capital minus total own funds requirement times 0.75 (v11123_m)Warning
- Surplus or Deficit of total capital must equal own funds minus total own funds requirement (v11124_m)Warning
- Additional Tier 1 capital must equal the sum of its four parts (v11127_m)Warning
- Tier 2 capital must equal the sum of its four parts (v11131_m)Warning
- Total deductions from Common equity Tier 1 must equal the sum of its seven parts (v11135_m)Warning
- Own funds must equal tier 1 capital plus tier 2 capital (v23598_h)Warning
- Own funds must equal the sum of its three parts (v23959_h)Warning
- Amount cannot be negative (v10999_s)Warning
- Liquidity requirement cannot be less than fixed overhead requirement times 1 divided by 3 (v11141_m)Warning
- Fixed expenses incurred on behalf of the investment firms by third parties cannot be more than total expenses of the previous year after distribution of profits (v11145_m)Warning
- Amount cannot be more than zero (v11198_s)Warning
- Intragroup part of the annual gross revenue cannot be more than zero (v11000_s)Warning
- Revenue from reception and transmission of orders cannot be more than combined total annual gross revenue (v11146_m)Warning
- Revenue from execution of orders cannot be more than combined total annual gross revenue (v11147_m)Warning
- Revenue from dealing on own account cannot be more than combined total annual gross revenue (v11148_m)Warning
- Revenue from portfolio management cannot be more than combined total annual gross revenue (v11149_m)Warning
- Revenue from investment advice cannot be more than combined total annual gross revenue (v11150_m)Warning
- Revenue from underwriting of financial instruments or placing on a firm commitment basis cannot be more than combined total annual gross revenue (v11151_m)Warning
- Revenue from placing without a firm commitment basis cannot be more than combined total annual gross revenue (v11152_m)Warning
- Revenue from operation of an MTF cannot be more than combined total annual gross revenue (v11153_m)Warning
- Revenue from operation of an OTF cannot be more than combined total annual gross revenue (v11154_m)Warning
- Revenue from safekeeping and administration of financial instruments cannot be more than combined total annual gross revenue (v11155_m)Warning
- Revenue from granting credits or loans to investors cannot be more than combined total annual gross revenue (v11156_m)Warning
- Revenue from advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating cannot be more than combined total annual gross revenue (v11157_m)Warning
- Revenue from foreign exchange services cannot be more than combined total annual gross revenue (v11158_m)Warning
- Investment research and financial analysis cannot be more than combined total annual gross revenue (v11159_m)Warning
- Revenue from services related to underwriting cannot be more than combined total annual gross revenue (v11160_m)Warning
- Investment services and ancillary activities related with the underlying of derivatives cannot be more than combined total annual gross revenue (v11161_m)Warning
- Combined total annual gross revenue cannot be less than the sum of 16 rows (v11162_m)Warning
- Total annual gross revenue must equal the sum of its two parts (v11163_m)Warning
Templates with no rule of their own
Rules on other templates can still read them.
- Capital ratios (Class 3 IF) (I 02.04)
Checks like this one, run at the point of submission, are the first step to real-time supervision. See every return on EBA validation rules in plain words.