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Jens-Hinrich Binder, Christos V. Gortsos, Klaus Lackhoff, Christoph Ohler - European Banking Union

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Jens-Hinrich Binder (ed.), Christos V. Gortsos (ed.), Klaus Lackhoff (ed.), Christoph Ohler (ed.)

European Banking Union

2022

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Art. 7 SRMR Division of tasks within the SRMThe views expressed by the author are strictly personal and do not engage the Single Resolution Board or the European Commission or its services in any way.... S. 506-518

„… rules on the division of tasks be-tween the Single Resolution Board and the National Resolution …” „… Single Resolution Board of17 December 2018 establishing the framework for the practical arrangements for …” „… the cooperation withinthe Single Resolution Mechanism between the Single Resolution Board and National …”

Art. 47 SRMR Independence Fabian Amtenbrink S. 968-973

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4I. Independence of the Single Resolution Board and of the national resolutionauthorities (Art …” „… . Duties of the Chair, Vice-Chair and the full-time members of the SingleResolution Board upon leaving the …” „… between the European Parliament andthe Single Resolution Board on the practical modalities of the exercise …”

Art. 49 SRMR Participation in plenary sessions Janina Heinz S. 975-980

„… definition in Recital 11 SRMR, the term Boardmeans Single Resolution Board, i.e. it refers to the agency as a …” „… Resolution (2016), at p. 121.2 Decision of the Single Resolution Board of 24 June 2020 adopting the Rules of …” „… Fund explicitly provides for the option that the Board establishes a com-10 Single Resolution Board …”

Art. 50 SRMR Tasks Janina Heinz S. 980-988

„… , based on a draft put forward by the Chair and shall transmit it12 Single Resolution Board, Multi-Annual …” „… Programme 2021-2023 - Work Programme 2021, published25 June 2021.13 Single Resolution Board, Work Programme …” „… 2017, at p. 10.14 Decision of the Single Resolution Board of 24 June 2020 adopting the Code of Conduct …”

Art. 75 SRMR Investments Georgios Psaroudakis S. 1123-1129

„… Institutional Analysis of the SingleSupervisory Mechanism and the Single Resolution Mechanism’, ELRev. 40 (2015 …” „… : Comment on UnitedKingdom v. Parliament and Council (Short-selling) and the Proposed Single Resolution …” „… . Gortsos, The Single Resolution Mechanism (SRM) and the Single Resolution Fund (SRF). Acomprehensive Review …”

Art. 53 SRMR Participation in the executive sessions Janina Heinz S. 997-1002

„… executive session1 (Rules of Procedure ES).1 Decision of the Single Resolution Board of 24 June 2020 …” „… within the Single Resolution Mechanism between the SingleResolution Board and national resolution …” „… institution is failing or likely to fail, and should be able to at least2.4 Single Resolution Board, Annual …”

Art. 30 SRMR Obligation to cooperate and information exchange within the SRM Christos Hadjiemmanuil S. 881-895

„… . 100–112.33 ‘Memorandum of Understanding between the Commission and the Single Resolution Board inrespect of …” „… Auditors, ‘Single Resolution Board: Work on a Challenging Banking Union TaskStarted, But Still a Long Way …” „… Single Resolution Board and the EuropeanCentral Bank in respect of Cooperation and Information Exchange …”

Art. 32 SRMR Consultation of, and cooperation with, non-participating Member States and third countries Georgios PsaroudakisConsultation of, and cooperation with, non-participating Member States S. 918-921

„… competence of the Board and its competence in cross-bordermatters see Gortsos, The Single Resolution …” „… confidentiality of3 SRB, Memorandum of Understanding between the Single Resolution Board and the European …” „… single_resolution_board_on_cooperation_and_information_exchange_2018_.pdf>.4 See also Haentjens, in: Moss, Wessels and Haentjens (eds), EU Banking and Insurance …”

Art. 99 SRMR Entry into force Christos V. Gortsos S. 1226-1254

„… Conduct of the Single Resolution BoardII 47 3Collateral challenges to SRB decisions– preliminary reference …” „… handover of the ongoingcontracts signed by the latter on behalf of the Board (see Single Resolution Roard …” „… – European Central Bank and Single ResolutionBoard I 17 SSM-FR 11– home-host cooperationI 8–17 SSM-FR 1 et …”

Art. 45 SRMR Accountability Fabian Amtenbrink S. 955-965

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5I. Accountability of the Single Resolution Board for the implementation of theSRM Regulation (Art …” „… closely linked to the institutional arrangements concerning theindependence of the Single Resolution Board …” „… the Agreement between the European Parliament and the SingleResolution Board on the practical …”

Art. 35 SRMR General investigations Klaus Lackhoff and Mikulas Prokop S. 932-935

„… /2016/07) and Decision of the Single Resolution Board of 17 December 2018 es-tablishing the framework for …” „… Single Resolution Board and National Resolution Authorities (SRB/PS/2018/15).Art. 35 SRMR General …” „… the Single Resolution Board of 17 December 2018 establishing the frameworkfor the practical …”

Art. 48 SRMR Seat Janina Heinz S. 973-975

„… the full-time members of theSingle Resolution Board upon leaving the service (Art. 47(4) SRMR)Art …” „… Administrative Law (2nd edn, Oxford University Press, Oxford 2012);Christos V. Gortsos, The Single Resolution …” „… Mechanism (SRM) and the Single Resolution Fund (SRF) – AComprehensive Review of the second main pillar of …”

Art. 74 SRMR Access to financial facility Christos V. Gortsos S. 1115-1123

„… (LFAs) . . . . 1B. Towards a “common backstop” to the (Single Resolution) Board for the SRF 5I. The …” „… non-participating ones.6B. Towards a “common backstop” to the (Single Resolution) Board forthe SRFI. The political …” „… is enough moneyif a bank needs to be unwound even if the financing in the Single Resolution Fund is …”

Art. 95 SRMR Amendment to Regulation (EU) No 1093/2010 Christos V. Gortsos S. 1219-1222

„… Single Resolution Board, established byRegulation (EU) No 806/2014, and the Council and the Commission …” „… scope of Directive 2014/59/EU, the Chair ofthe Single Resolution Board shall be an observer to the Board …” „… term “competent authorities” includes(also) the NRAs, the (Single Resolution) Board, as well as the …”

Art. 76 SRMR Mission of the Fund Georgios Psaroudakis S. 1129-1136

„… resolution scheme, when applying the resolution tools to entities re-ferred to in Art. 2, the Board may use …” „… Single Resolution Mechanism’, ELR 40 (2015), 154; Emilios Avgouleasand Charles Goodhart, ‘Critical …” „… resolution scheme for which the Board may use the Fund. This list inArt. 76(1) SRMR is (long and quite …”

Art. 54 SRMR Tasks Janina Heinz S. 1002-1008

„… arrangements for the cooperation within the Single Resolution Mechanism between the SingleResolution Board and …” „… determi-nation by the Board.5 Single Resolution Board, Organisation Chart as of 1 April 2017.Art. 54 SRMR Tasks …” „… this Article, the Board shall:(a) prepare, assess and approve resolution plans for entities and groups …”

Titelei/Inhaltsverzeichnis

„… Significant InstitutionSNE Seconded national expertSPE Single point of entrySRB Single Resolution BoardSRB-FR …” „… SRB Financial RegulationSREP Supervisory review and evaluation processSRB Single Resolution BoardSRF …” „… . AuthorsXIIIKarl-Philipp WojcikDr. Karl-Philipp Wojcik has been the General Counsel to the EU Single ResolutionBoard in …”

Art. 18 SRMR Resolution procedureThe information and views set out in this publication are those of the author and do not necessarily reflect the official opinion of the Commission. The Commission doe... S. 666-690

„… (SSM), the Single Resolution Board (Board), NRAs, the Com-mission and the Council.This procedure has …” „… modification of the amount of the Fundprovided for in the resolution scheme of the Board.For the purposes of …” „… subparagraphshall be made by the Board, in its executive session, or, where applicable, by the na-tional resolution …”

Art. 83 SRMR Staff exchange Christos V. Gortsos S. 1156-1162

„… involvement of these teams in the drafting, see Single Resolution Board (2016): The SingleResolution Mechanism …” „… Board.3. The Board may establish internal resolution teams composed of its own staff andstaff of the …” „… authorities, where appropriate.4. Where the Board establishes internal resolution teams as provided for in …”

Art. 77 SRMR Use of the Fund Georgios Psaroudakis S. 1136-1140

„… (Oxford University Press, Oxford 2015), 56; Christos V. Gortsos, The Single ResolutionMechanism (SRM) and …” „… the Single Resolution Fund (SRF). A comprehensive Review of the second main pillarof the European …” „… Single ResolutionMechanism’, ELR 40 (2015), 154, at pp. 185–186.Art. 77 SRMR Use of the Fund1136 …”

Art. 19 SRMR State aid and Fund aid Seraina Neva Grünewald and Christos V. Gortsos S. 690-699

„… pp. 131-132.5 See Decision of the Single Resolution Board in its Executive Session of 7 June 2017 …” „… resolution action as proposed by the Board involves the useof the Fund, the Board shall notify the Commission …” „… Board shall reconsider its resolution scheme and prepare arevised resolution scheme.4. Where the …”

Art. 85 SRMR Appeal Panel Ann-Kathrin Kaufhold S. 1163-1173

„… .12 See SRB/EES/2017/08, Decision of the Single Resolution Board in its Executive Session of 7 …” „… Board, as wellas current staff of resolution authorities or other national or Union institutions,bodies …” „… Treaties (C.H. Beck/Hart/Nomos, Munich/Oxford/Baden-Baden 2014);Christos V. Gortsos, The Single Resolution …”

Art. 34 SRMR Requests for information Klaus Lackhoff and Mikulas Prokop S. 927-932

„… single_resolution_board_on_cooperation_and_information_exchange_2018_.pdf>.5 Art. 36 of Directive 2014/59/EU on valuation for the purposes of resolution is …” „… cooperation within the Single ResolutionMechanism between the Single Resolution Board and National Resolution …” „… by third countries, when it comes to reso-lution proceedings decided by the Board or an NRA.13Art. 34 …”

Art. 33 SRMR Recognition and enforcement of third-country resolution proceedings Georgios Psaroudakis S. 921-927

„… of third-country resolution proceedings is not governed by thatagreement.2. The Board shall assess …” „… Effectivenessof Resolution Actions’ (November 2015); Christos Gortsos, The Single Resolution Mechanism (SRM)and …” „… the Single Resolution Fund (SRF): Legal aspects of the second main pillar of the (European …”

Art. 55 SRMR Decision-making Janina Heinz S. 1008-1010

„… casting vote.Bibliography Danny Busch, ‘Governance of the Single Resolution Mechanism’, in: Danny Busch …” „… resolution authorities, would have a power of veto in the decision-making of the Board.5 The fact that the …” „… investment firms in the framework of a Single Resolution Mechanism and a Single ResolutionFund and amending …”

Art. 3 SSMR Cooperation Ann-Katrin Kaufhold S. 23-37

„… Memorandum of Understanding between the Single Resolution Board and the European CentralBank in Respect of …” „… SSMRCooperation1. The ECB shall cooperate closely with EBA, ESMA, EIOPA, and the EuropeanSystemic Risk Board (ESRB …” „… the purposes of this Regulation, the ECB shall participate in the Board ofSupervisors of EBA under the …”

Art. 1 SRMR Subject matter Jens-Hinrich Binder S. 453-461

„… procedure shall be applied by the SingleResolution Board established in accordance with Article 42 (the …” „… implications, resolution decisionswill be prepared and monitored centrally by a Single Resolution Board to …” „… Single Resolution Mechanism RegulationArt. 1 SRMRSubject matterThis Regulation establishes uniform …”

Art. 46 SRMR National parliaments Fabian Amtenbrink S. 965-968

„… Board within theframework of the Single Resolution Mechanism (Interinstitutional Agreement) solelycover …” „… Abwick-lungsmechanismus (Single Resolution Mechanism, SRM)’, in: Ulrich Hufeld and Christoph Ohler (ed),Europäisches …” „… democratic accountability and oversightover the exercise of the tasks conferred on the Single Resolution …”

Art. 79 SRMR Use of deposit guarantee schemes in the context of resolution Georgios Psaroudakis S. 1141-1148

„… decisions tobe made by the Board.Art. 79 SRMRUse of deposit guarantee schemes in the context of resolution1 …” „… participating Member States. If the Board is also the group-level reso-lution authority, then it is clear that …” „… the Board will decide on this allocation. If howeverthe group-level resolution authority is that of …”

Art. 37 SRMR Authorisation by a judicial authority Klaus Lackhoff and Mikulas ProkopOn-site inspections/Authorisation by a judicial authority S. 936-941

„… Single Reso-lution Board of 17 December 2018 establishing the framework for the practical arrange-ments …” „… for the cooperation within the Single Resolution Mechanism between the SingleResolution Board and …” „… Decision of the Single Resolution Board of 17 December 2018 establishing the framework for thepractical …”

Art. 29 SRMR Implementation of decisions under this Regulation Christos Hadjiemmanuil S. 854-881

„… arrangements for the cooperation within the Single ResolutionMechanism between the Single Resolution Board and …” „… national resolution authority has not applied or has not complied with adecision by the Board pursuant to …” „… efficientimplementation of the resolution scheme, the Board may order an institution underresolution:(a) in the event of …”

Art. 31 SRMR Cooperation within the SRM Christos Hadjiemmanuil S. 895-918

„… cooperation within the Single Resolution Mechanismbetween the Single Resolution Board and National Resolution …” „… Single Resolution Mechanism between the SingleResolution Board and national resolution authorities …” „… Single Resolution Mechanism between the Single Resolution Board and NationalResolution Authorities …”

Art. 20 SRMR Valuation for the purposes of resolution Christos V. Gortsos S. 699-717

„… resolution and further work by the Single Resolution Boardand the EBA …” „… of Resolution” . . . . . . . . . . . . . . . . . . . . . . . . 48I. The Board “Framework for …” „… regulatory framework governing valuation forthe purposes of resolution and further work by the Single …”

Art. 11 SRMR Simplified obligations for certain institutions Matthias Haentjens S. 562-573

„… Resolution Board pursuant to Article 85 Single Resolution Mechanism Regulation’,ECFR 15/1 (2018), 123; World …” „… obligations shall not in itself affect the Board'spower to take any resolution action.6. Where simplified …” „… Board, on its own initiative after consulting a national resolution authority orupon proposal by a …”

Art. 27 SRMR Bail-in tool Christos Hadjiemmanuil S. 767-847

„… Decisions of the Single Resolution Board Pursuant to Article 85Single Resolution Mechanism Regulation …” „… resolvability of entitiesand groups, the Board shall instruct the national resolution authorities to limit,in …” „… relevant national resolution authority shall provide the Board with its assess-ment of the plan. Within one …”

Art. 70 SRMR Ex-ante contributions Christos V. Gortsos S. 1100-1109

„… delegated act.Bibliography Olina Capolino, ‘The Single Resolution Mechanism: Authorities and Proceedings …” „… . 70(4) SRMR.5 See at: single-resolution-fund>.6 Art. 3(1)(34) SRMR.7 …” „… regardto ex ante contributions to the Single Resolution Fund, OJ L 15, 22.1.2015, pp. 1-7.31 Art. 4 of …”

Art. 10 SRMR Assessment of resolvability Matthias Haentjens S. 537-552

„… of resolvability1. When drafting and updating resolution plans in accordance with Article 8, theBoard …” „… resolution plan, the Board shall assess the extent to which suchan entity is resolvable in accordance with …” „… composed of more than one resolution group, the Board shallassess the resolvability of each resolution …”

Art. 34 SSMR Entry into force Christos V. Gortsos S. 451-453

„… the SingleResolution Board established in accordance with Article 42 (the ‘Board’), togetherwith the …” „… Council and the Commission and the national resolution authorities withinthe framework of the single …” „… resolution mechanism (‘SRM’) established by this Regu-lation. The SRM shall be supported by a single …”

Art. 16 SRMR Resolution of financial institutions and parent undertakings Jens-Hinrich Binder S. 648-653

„… and parent undertakings1. The Board shall decide on a resolution action in relation to a financial …” „… consolidating supervision.2. The Board shall take a resolution action in relation to a parent …” „… Board may decide on a resolution action with regardto that parent undertaking where it is a resolution …”

Art. 21 SRMR Write-down and conversion of capital instruments or eligible liabilities Andreas Witte S. 717-732

„… Andreas WitteThe Board shall ensure that before national resolution authorities exercise the powerto write …” „… is under resolution. The provision isthus, ultimately, another embodiment of the “single point of …” „… SingleResolution Fund may contribute monies.Paras. 8 and 9 are of little substantive content. In effect, they …”

Art. 5 SRMR Relation to Directive 2014/59/EU and applicable national law Jens-Hinrich Binder S. 483-497

„… Com-mission’s authorisation for actions of the Board taken in its capacity as ‘national resolu-tion authority …” „… firms in theframework of a Single Resolution Mechanism and a Single Resolution Fund and amending …” „… ) ; Financial Stability Board, ‘KeyAttributes of Effective Resolution Regimes for Financial …”

Art. 8 SRMR Resolution plans drawn up by the Board Matthias Haentjens S. 518-534

„… Art. 8 SRMRResolution plans drawn up by the Board1. The Board shall draw up and adopt resolution …” „… . The Board shall draw up the resolution plans, after consulting the ECB or therelevant national …” „… submit to the Board draft resolution plans and thegroup-level resolution authority to prepare and submit …”

Art. 4 SRMR Participating Member States Christoph Ohler S. 479-483

„… parallelism between SSM and SRM is that the resolutionmechanism applied by the Single Resolution Board (Board …” „… Single Resolution Fund of 21 May 2014. Hereunder, the Fundwill initially consist of ‘national …” „… 2014/59/EU are to be performed or exercised by thenational resolution authority, the Board shall, for the …”

Art. 56 SRMR Appointment and tasks Janina Heinz S. 1010-1016

„… full-time members, while theSRMR refers to the Single Resolution Board as “Board”, see definition in Recital …” „… referred to in Arti-cle 45 with a section on the resolution activities of the Board and a section …” „… relating to the Single Resolution Fund andLegal & Corporate Services comprising the following …”

Art. 3 SRMR Definitions Christos V. Gortsos S. 463-479

„… Single Resolution Board (SRB or Board)established in accordance with Art. 42 SRMR, the Council, the …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43VII. Definitions relating to the Single Resolution Fund (SRF …” „… worth noting that unlike the term SSM, which is defined in Art. 2(9) SSMR, theterm “Single Resolution …”

Art. 17 SSM Framework Regulation Right of establishment and exercise of the freedom to provide services in relation to non-participating Member States Framework Regulation S. 260-264

„… cooperate with the SRM’s Single ResolutionBoard in conducting an assessment of the extent to which banks and …” „… finan-cial support,8 and to notify the Single Resolution Board of a supervised entity requiringresolution.9 …” „… investment firms in the framework of a Single Resolution Mechanism and a Single Bank Reso-lution Fund and …”

Art. 6 SRMR General Principles Jens-Hinrich Binder S. 497-506

„… expressed by the author are strictly personal and do not engage the Single Resolution Boardor the European …” „… Principles1. No action, proposal or policy of the Board, the Council, the Commission or anational resolution …” „… policy of the Board, the Council, the Commission, orof a national resolution authority in the framework …”

Art. 12k SRMR Transitional and post-resolution arrangements Minimum Requirements S. 589-608

„… Skauradszun, ‘Legal Protection against decisions of the Single Resolution Boardpursuant to Article 85 Single …” „… or is likely to fail, in accordance with Article 18.2. The Board, resolution authorities and …” „… Resolution Board, available at:

Art. 2 SRMR Scope Jens-Hinrich Binder S. 461-463

„… .Bibliography Danny Busch, ‘Governance of the Single Resolution Mechanism’, in: Busch and Ferrarini(eds …” „… Kaltsouni, ‘The Single Resolution Mechanism in the European Banking Union: Legal Founda-Scope Art. 2 …” „… certain investment firms in theframework of a Single Resolution Mechanism and a Single Resolution Fund and …”

Art. 98 SRMR Start of the Board’s activities Christos V. Gortsos S. 1224-1226

„… contracts, including staff contracts.Bibliography Single Resolution Board, Annual Report 2015.A. The …” „… handover of the ongoingcontracts signed by the latter on behalf of the Board (see Single Resolution Roard …” „… available at: ).7 See Single Resolution …”

Art. 28 SRMR Monitoring by the Board Christos Hadjiemmanuil S. 847-854

„… the cooperation within the SingleResolution Mechanism between the Single Resolution Board and National …” „… purpose, the national resolution authoritiesshall:(a) cooperate with and assist the Board in the …” „… resolution tools and the exercise of the resolution powers, that might berequested by the Board, including on …”

Art. 90 SRMR Access to documents Christos V. Gortsos S. 1195-1199

„… ExecutiveSession of the Board of 9 February 2017 “on public access to the Single Resolution Boarddocuments” (SRB/ES …” „… accountability and oversight over the exercise ofthe tasks conferred on the Single Resolution Board within the …” „… framework of the SingleResolution Mechanism”5 (“EP-SRB Agreement”), the European Parliament must consultthe …”

Art. 67 SRMR General provisions Christos V. Gortsos S. 1088-1095

„… Agreement, the Contracting Parties concerned by resolution mayrequest the Board to temporarily make use of …” „… subject to resolution, that Party may request the Board to trans-13 Art. 7(1) SRF Agreement.14 Art. 7(2 …” „… contribution to a particular resolution case;Finally, the rules on decision making by the Board pursuant to …”

Introduction to Arts. 67–74 SRMR Christos V. Gortsos S. 1079-1088

„… Should Each Individual Bank Contribute?’, BBVA Research (2015); Olina Capolino, ‘TheSingle Resolution …” „… , Courts and International Law: The IntergovernmentalAgreement on the Single Resolution Fund in Context …” „… , ‘Bankenrestrukturierung undBankenabwicklung – Die Bankenabgabe im Rahmen des Single Resolution Mechanism’, in …”

Art. 87 SRMR Liability of the Board Ann-Kathrin Kaufhold S. 1178-1187

„… /2017/08, Decision of the Single Resolution Board in its Executive Session of 7 June 2017concerning the …” „… of the Board on simplified obligations in relation tothe drafting of resolution plans according to …” „… of foreign resolution proceedings.4. The Board shall compensate a national resolution authority for …”

Art. 94 SRMR Review Christos V. Gortsos S. 1209-1219

„… Single Resolution Board, established byRegulation (EU) No 806/2014, and the Council and the Commission …” „… between the Board and the national resolution authorities ofnon-participating Member States and the …” „… 2018, which were declared failing or likely to fail bythe ECB, but the Board found that resolution …”

Art. 93 SRMR Exercise of the delegation Christos V. Gortsos S. 1206-1209

„… to the administrative expenditures of the Single Resolution Board”,9adopted on the basis of Art. 65(5 …” „… strategy and rules for the administration ofthe Single Resolution Fund”,8 adopted on the basis of Art. 75(4 …” „… the Board, the Council and the Com-mission which must, each, provide a detailed written response (to …”

Art. 66 SRMR Anti-fraud measures Andreas Witte S. 1075-1079

„… Contribute?’, BBVA Research (2015); Olina Capolino, ‘TheSingle Resolution Mechanism: Authorities and …” „… IntergovernmentalAgreement on the Single Resolution Fund in Context’, Maastricht Journal of European & InternationalLaw 21 …” „… that large banks are moreof a concern for resolution authorities than small ones; (iii) on the basis of …”

Art. 25 SRMR Bridge Institution Tool Jens-Hinrich Binder S. 754-763

„… Relevance of the Resolution Tools Within the Single Resolution Mechanism’,in: Mario P. Chiti and Vittorio …” „… (2020), 453; Financial Stability Board, ‘Key Attributes ofEffective Resolution Regimes for Financial …” „… thatentity, the Board may request the national resolution authority to: (…) instruct a bridge institution …”

Art. 24 SRMR Sale of business tool Jens-Hinrich Binder S. 741-754

„… Decision of the Single Resolution Board in its Executive Session of 7 June 2017 concerningthe adoption of a …” „… of the resolution schemefor (cross-border) groups, Art. 23 SRMR provides that the Board may establish …” „… . The resolution schemeAs of today, the Board has adopted only one resolution scheme.13 This is the case …”

Art. 92 SRMR Court of Auditors Christos V. Gortsos S. 1202-1206

„… , its Special Reportsno 23/2017: “Single Resolution Board: Work on a challenging Banking Union task …” „… start-ed, but still a long way to go”,12 and no 1/2021: “Resolution planning in the Single Reso-lution …” „… relates.4. Following consideration of the final accounts prepared by the Board in accordancewith Article …”

Art. 15 SRMR General principles governing resolution Jens-Hinrich Binder S. 631-648

„… application of resolution tools and the exercise of resolutionpowers, the Board shall instruct national …” „… meet the conditionsestablished in Article 18(1), the Board may decide on a resolution action with …” „… therelevant resolution group as a whole.Bibliography John Crawford, ‘“Single Point of Entry”: The Promise and …”

Art. 20 SSMR Accountability and reporting Fabian Amtenbrink S. 288-302

„… the selection procedure of theChair of the Supervisory Board.Bibliography Adina Maricut‐Akbik …” „… Chair of the ECB’s Supervisory Board.With this focus on the Chair of the Supervisory Board, Art. 20 SSMR …” „… procedure for the Chair of the Supervisory Board.”Section III of the Interinstitutional Agreement entitled …”

Art. 32 SSMR Review Christos V. Gortsos S. 428-445

„… resolutionThe Report notes that, since its establishment in January 2016, the (Single Resolu-tion) Board, as the …” „… Art. 5 SSMR are based on a complete draft proposed by the Superviso-ry Board.Division of tasks and …” „… the ECB may monitor the activities of formermembers of the Supervisory Board and members of staff in …”

Art. 58 SRMR Budget Andreas Witte S. 1023-1030

„… Decision of the Single Resolution Board of 17/01/2020 adopting the Financial Regulation of the …” „… SingleResolution Board (SRB/PS/2020/05). A consolidated version can be found on the website of the SRB …” „… intended only for the operating expenses of the Board but not resolution financing.This distinction matters …”

Art. 38 SRMR Fines Chryssa Papathanassiou S. 941-946

„… include the possible necessity of investigations in order to en-able the Board to adopt resolution …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7A. Direct sanctioning powers of the SRBThe direct sanctioning powers of the Single Resolution …” „… resolution authori-ty. In particular, as noted in Recital 93 of the SRB Regulation, in the context of …”

Art. 14 SSMR Authorisation Elke Gurlit S. 189-215

„… resolution lies with the SingleResolution Board (SRB).96 In practical terms, the need for cooperation between …” „… . 14 SSMRElke Gurlit 1893334the necessary remedial actions, including possible resolution measures, and …” „… implementation of or actions necessary for resolution or to maintainfinancial stability, they shall duly notify …”

Art. 26 SRMR Asset separation tool Jens-Hinrich Binder S. 763-767

„… . 13; Financial Stability Board,‘Key Attributes of Effective Resolution Regimes for Financial …” „… ., ‘The Relevance of the Resolution ToolsWithin the Single Resolution Mechanism’, in: Mario P. Chiti and …” „… ments to the Resolution Scheme pursuant to Art. 23(3) SRMR, or instructions to theNRAs pursuant to …”

Art. 41 SRMR Disclosure, nature, enforcement and allocations of fines and periodic penalty payments Chryssa PapathanassiouDisclosure, nature, enforcement and allocations of fines S. 948-950

„… allocatedto the Single Resolution Fund and thus benefit future resolutions.Disclosure, nature, enforcement and …” „… SRMRDisclosure, nature, enforcement and allocations of fines and periodicpenalty payments1. The Board shall …” „… disclosure could endanger the resolution ofthe entity concerned. The publication shall be on an anonymous …”

Art. 13 SRMR Early intervention Christos V. Gortsos S. 608-619

„… under the resolution procedure referred to in Article 18, the Board,the Council, the Commission, and …” „… authorities inaccordance with other Union law, the Board may prepare for the resolution of theinstitution or …” „… Board and the relevant nation-al resolution authorities shall ensure that the additional measure …”

Art. 52 SRMR General provisions on the decision-making process Janina Heinz S. 994-997

„… Resolution Board of 24 June 2020 adopting the Rules of Procedure of the Boardin its Plenary Session (SRB/PS …” „… Art. 52 SRMRGeneral provisions on the decision-making process1. The Board, in its plenary session …” „… the use of the financial means available in the Fund,shall be taken by a simple majority of the Board …”

Art. 15 SSMR Assessment of acquisitions of qualifying holdings Elke Gurlit S. 215-235

„… “context” of bank resolution.34 Lackhoff, Single Supervisory Mechanism (2017), at p. 172.35 Lackhoff …” „… ; Henning Berger, ‘Rechtsanwendung durch die EZB im Single Supervi-sory Mechanism (SSM)’, WM 2016, 2325 …” „… (Frankfurt School Verlag, Frankfurt2016), p. 223; Klaus Lackhoff, Single Supervisory Mechanism, European …”

Art. 21 SSMR National parliaments Fabian Amtenbrink S. 302-307

„… the case of the Single ResolutionBoard for which Art. 46(1) SRBR however introduces an obligation to …” „… arrangement can be found in theSRMR concerning the dialogue of the Chair of the Single Resolution Board with …” „… , theSupervisory Board or other bodies established pursuant to the SSMR.70Art. 21 SSMRNational parliaments1. When …”

Art. 65 SRMR Contributions to the administrative expenditures of the Board Andreas Witte S. 1069-1075

„… contributions to cover the administrative expenditures of the Single Resolution Boardduring the provisional …” „… administrative expenditures of the Board1. Entities referred to in Article 2 shall contribute to part I of the …” „… of theBoard to be balanced each year.3. The Board shall determine and raise, in accordance with the …”

Art. 4 SSMR Tasks conferred on the ECB Klaus Lackhoff and Andreas Witte S. 37-85

„… that certain resolutions are taken by themanagement board of the credit institutions.32 Under the …” „… respectively, depending on whether or not a State has cho-sen a single point of contact approach) in every …” „… disposal of qualifying holdingsin credit institutions, except in the case of a bank resolution, and subject …”

Art. 14 SRMR Resolution Objectives Jens-Hinrich Binder S. 619-631

„… Article 18, the Board,the Council, the Commission, and, where relevant, the national resolution …” „… ; Financial Stability Board,‘Key Attributes of Effective Resolution Regimes for Financial Institutions …” „… . 13(1) SRMR has been activated and the Board hasdecided to start preparing for the resolution of the …”

Art. 61 SRMR Establishment and implementation of the budget Andreas Witte S. 1041-1047

„… April 2015 adopting the Rules of Procedure of theSingle Resolution Board in its Plenary Session (SRB/PS …” „… draw up a draft budget of the Board,including a statement of estimates of the Board's revenue and …” „… Board’srevenue and expenditures” be a separate document; these figures can be incorporatedinto the budget itself …”

Art. 24 SSMR Administrative Board of Review René Smits S. 321-341

„… Board of 13 July 2020, Bulgaria and Croatia set to join the SingleResolution Mechanism, at …” „… which are not as easily overcome as by itsfellow review panel at the Single Resolution Board, which does …” „… : https://www.banking-supervision.europa.eu/press/pr/date/2019/html/ssm.pr190807_annex~1dd851a696.en.html, and the pressrelease of the Single Resolution …”

Art. 16 SSMR Supervisory powers Christos V. Gortsos S. 235-251

„… reasonable to argue that this provision applies to the Single Resolution Board as well.Art. 16 SSMR …” „… the management boardThe final governance-related supervisory power of the ECB (Art. 16(2)(m) SSMR),85 …” „… Institutions: A Legal Perspective’, EBOR 16 (2015), 467; ConcettaBrescia Morra, ‘From the Single Supervisory …”

Art. 26 SSMR Supervisory boardThis contribution should not be reported as representing the views of the European Central Bank (ECB). The views expressed are those of the author and do not necessarily ... S. 354-381

„… 368 Georg Gruber3536may invite other persons such as representatives of the Single Resolution Board83 …” „… ECB’s Supervisory Board Under the SingleSupervisory Mechanism (SSM): A Comparison with European Agencies …” „… Conduct adopted by the Supervisory Board in 2015 see Gortsos, The SingleSupervisory Mechanism (SSM) (2015 …”

Art. 2 SSMR Definitions Christos V. Gortsos S. 13-23

„… defined in point 36 of Arti-cle 4(1) of Regulation (EU) No 575/2013;(9) ‘Single supervisory mechanism …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1B. Single Supervision Mechanism …” „… constitute the single market element for the authorisation, themicro- and macro-prudential regulation and the …”

Art. 33 SSMR Transitional provisions Christos V. Gortsos S. 445-451

„… were com-pleted by the euro area Member States, by means of a unanimous resolution of theESM Board of …” „… , ‘Aggregate Report on the Comprehensive Assessment’ (2014);Christos Hadjiemmanuil, ‘Bank Resolution Financing …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . 74. Art. 33(6) SSMR: Transitional arrangement for voting in theSupervisory Board …”

Art. 62 SRMR Internal audit and control Andreas Witte S. 1047-1054

„… function is not supposed to opineon whether a resolution scheme which was adopted by the Board and not …” „… with the Board.Bibliography Richard G. Brody and D. Joran Lowe, ‘The New Role of the Internal Auditor …” „… the Boardwithin the meaning of Art. 43(1) SRMR; it means that the Board as a Union agency(Art. 42(1 …”

Art. 89 SRMR Data protection Christos V. Gortsos S. 1190-1195

„… framework of internal security incident investigations carried out by the SingleResolution Board (SRB/ES …” „… of the Board.Bibliography Carl Otto Lenz and Klaus-Dieter Borchardt (eds), EU-Verträge Kommentar …” „… spect is whether the last phrase “for the purposes of planning or carrying out a resolu-tion action …”

Art. 27 SSMR Professional secrecy and exchange of informationThis commentary is written in the private capacity of the author and should not be reported as representing the views of the ECB. The autho... S. 381-404

„… 180 by which the Ex-ecutive Board appoints the heads of work units to whom decision-making powers …” „… competences of the Executive Board for organisational issues and thecompetences of the Governing Council and …” „… Supervisory Board for supervisory matters.But the delegation of more than 50 % of all supervisory decisions …”

Art. 1 SSMR Subject matter and scope Christoph Ohler S. 1-13

„… constituted by the Single Resolution Mechanism(SRM) under Regulation (EU) No 806/2014 (SRMR).2II. Banking …” „… Single Supervisory Mechanism RegulationArt. 1 SSMRSubject matter and scopeThis Regulation confers …” „… regulatorylimits of the Single Supervisory Mechanism’ ECFR 24 (2016), 467; Henning Berger, ‘Der …”

Art. 5 SSMR Macro-prudential tasks and tools Kern Alexander S. 85-89

„… voting; the lack of voting power of theECB in the EBA Board of Supervisors is therefore not as relevant …” „… Board of Supervi-sors (Art. 40(1)(d) EBAR). The SSM is thus represented, in the Board of Supervisors …” „… positions ahead ofmeetings of the Board of Supervisors.180 There is thus a certain potential for the …”

Art. 25 SSMR Separation from monetary policy function Christos V. Gortsos S. 341-354

„… Board’,University of Cambridge Faculty of Law Research Papers No. 36 (2011), Board.The ECB should also ensure that the operation of the Governing Council (GC)is completely …” „… functional reporting to theChair and Vice Chair of the Supervisory Board.Finally, and by way of exception …”

Art. 9 SSMR Supervisory and investigatory powersThis contribution should not be reported as representing the views of the European Central Bank (ECB). The views expressed are those of the author and d... S. 146-158

„… chair of the board ofdirectors.Lackhoff, Single Supervisory Mechanism – A Practitioner’s Guide (2017 …” „… contribute to the Single Rulebook. Insofar, the different tasks in the internal sphere willalso be …” „… ) EBLR, 1001; Hen-ning Berger, ‘Rechtsanwendung durch die EZB im Single Supervisory Mechanism – Teil I …”

Arts. 103–105 SSM Framework Regulation Procedural provisions for the use of macro-prudential tools Kern Alexander S. 89-92

„… resolution tools, depositinsurance, and lender of last resort.20 In EU Member States, either central banks or …” „… SSM SupervisoryBoard. Other macro-prudential measures include liquidity tools that require …” „… standards, and ex post crisis management measures, such as liquidityand resolution tools, deposit insurance …”

Art. 19 SSMR Independence Fabian Amtenbrink S. 277-288

„… ‘Appointment of ECB representatives to the Supervisory Board’.Art. 19 SSMR Independence286 Fabian Amtenbrink …” „… Board and the steering committee shall act inde-pendently and objectively in the interest of the Union …” „… SupervisoryBoard, the Governing Council shall establish and publish a Code of Conduct for theECB staff and …”

Art. 18 SSMR Administrative penaltiesThe views expressed in this article are those of the author and do not necessarily reflect the views of the ECB. Chryssa Papathanassiou S. 264-277

„… relevantDirectives, and to any administrative penalties or measures to be imposed on mem-bers of the management board …” „… and Sanc-tioning Powers of the ECB in the Framework of the Single Supervisory Mechanism. Mapping the …” „… Lackhoff, Sin-gle Supervisory Mechanism, 2017; Klaus Lackhoff, ‘The Framework Regulation for the Single …”

Art. 64 SRMR Financial rules Andreas Witte S. 1061-1069

„… Regulation of the Single Resolution Board” and is cited in the presentcommentary as the SRB-FR; it has not …” „… request, information referred to in the Board’s accounts. This obligation can be seenas an avenue of …” „… , restricted by thewording that the requested information must be “referred to in the Board’s accounts …”

Art. 6 SSMR Cooperation within the SSM Christos V. Gortsos S. 92-133

„… Institutional Analysis of theSingle Supervisory Mechanism and the Single Resolution Mechanism’, ELR, Issue 2 …” „… crisis management measures, such as liquidityand resolution tools, deposit insurance and lender of last …” „… within the SSM1. The ECB shall carry out its tasks within a single supervisory mechanism com-posed of the …”

doi.org/10.5771/9783845278483

Ulrich Immenga, Torsten Körber - Beihilfenrecht in der Krise - Reform des Beihilfenrechts

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Ulrich Immenga (ed.), Torsten Körber (ed.)

Beihilfenrecht in der Krise - Reform des Beihilfenrechts

Series: Kartell- und Regulierungsrecht

Volume 8 2014

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Maxian Rusche Tim Stade aid control and banking Union S. 51-80

„… the single resolution board) and the creation of a resolution fund, which would function as lender of …” „… last resort. The responsibility of referring a bank to the single resolution board rests with the …” „… fail. The single resolution board then needs to develop a proposal as to how to resolve the bank. In …”

doi.org/10.5771/9783845255279

Frank Salzgeber - Die Grenzen des Bail-in-Prinzips im europäischen Bankenabwicklungsrecht

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Frank Salzgeber

Die Grenzen des Bail-in-Prinzips im europäischen Bankenabwicklungsrecht

Series: Studien zum Bank-, Börsen- und Kapitalmarktrecht

Volume 81 2022

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Literatur- und Quellenverzeichnis S. 355-382

„… Finance Law 2010, Seite 448-459. Single Resolution Board: Minimum Requirement for Own Funds and Eligible …” „… ). Single Resolution Board: Position Paper, Single Resolution Board expectations to ensure resolvability of …” „… : https://srb.europa.eu/sites/srbsite/files/brexit_position_paper.pd f (abgerufen am 25. September 2020). Single Resolution Board: Minimum Requirement for Own Funds …”

E. Das Bail-in-Instrument als zentrales Abwicklungsinstrument S. 128-208

„… . 2 lit. d) CRR. 608 Siehe: Art. 45b Abs. 1 lit. b), Abs. 4, 5, 7 BRRD; Single Resolution Board …” „… : Single Resolution Board, MREL: Approach taken in 2016 and next steps, undatiert, Rn. 44; später wurde ein …” „… strengerer Ansatz vertreten: Single Resolution Board, Minimum Requirement for Own E. Das Bail-in-Instrument …”

C. Ergebnis S. 302-303

„… Flexibilisierungsmöglichkeit verhindert, dass die Defizite des Bail-in-Prinzips eintre- C. 1351 Single Resolution Board …” „… . Dezember 2017, Rn. 42 f.; Single Resolution Board, Minimum Requirement for Own Funds and Eligible …” „… Liabilities (MREL), 2018 SRB Policy for the second wave of resolution plans, 16. Januar 2019, S. 16 f. 1352 …”

B. Entwicklung der Verfahren zur Bewältigung der Krise von Banken seit 2007 S. 44-54

„… Resolution Regimes for Financial Institutions des Financial Stability Board von 2011109 hervorbrachte. Ebenso …” „… , Erklärungspunkt 13. 109 Financial Stability Board, Key Attributes of Effective Resolution Regimes for Financial …” „… : Boos/Fischer/Schulte-Mattler/Fischer, KWG, CRR-VO, Einführung, Rn. 125. 121 Art. 99 Abs. 2 SRM‑VO. 122 Gortsos, The Single Resolution …”

A. Überblick zu dem Bail-in-Prinzip im europäischen Bankenabwicklungsrecht S. 28-33

„… 2020, S. 16. 28 Single Resolution Board: An extraordinary challenge: SRB actions to support efforts to …” „… überschätzen: Binder, Wunderkind is Walking? The Resolution of Banco Popular as a First Test for the Single …” „… Rijn/Louisse, How Single is the Single Resolution Mechanism?, EBI Working Paper Series 2019 – no. 30, 2. Januar …”

A. Anwendungsbereich des Abwicklungsrechts und Zuständigkeit S. 101-104

„… Abs. 7 SRM‑VO; siehe auch die Übersichtsgrafik bei Single Resolution Board, What is a bank resolution …”

D. Unzureichende Adressierung der Defizite durch MREL S. 256-264

„… auf die Anrechenbarkeit der Verbindlichkeiten von Kleinanlegern auf die MREL-Quote: Single Resolution …” „… resolution of credit institutions and investment firms and amending Council Directives 77/91/EEC and 82/891 …” „… Side of Bank Resolution: Counterparty Risk through Bail-in, European Banking Institute Working Paper …”

Titelei/Inhaltsverzeichnis S. 1-26

„… entry SRB Ausschuss für die einheitliche Abwicklung (Single Resolution Board) SREP Supervisory Review …” „… Finanzmarktstabilisierungsgesetz – 2. FMStG) vom 24. Februar 2012, BGBl. I 206 FSB Finanzstabilitätsrat (Financial Stability Board …” „… BRRD-Umsetzungsgesetzes, BGBl. I 2091 SoFFin Sonderfonds Finanzmarktstabilisierung sog. sogenannt SPE Single point of …”

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Elena Seiser - Sanierung und Abwicklung von Banken

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Elena Seiser

Sanierung und Abwicklung von Banken

2023

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Titelei/Inhaltsverzeichnis

„… einheitliche Abwicklung (Single Resolution Board) SRF = einheitlicher Abwicklungsfonds (Single Resolution Fund …” „… – Bankenrettung auf Kosten der Gläubiger, ZFR 2016, 536 Single Resolution Board, The Single Resolution Mechanism …” „… – Introduction into Resolu-tion Planning (2016) Single Resolution Board, List of other Cross-border Groups …”

Stichwortverzeichnis S. 225-227

„… Sanierungsverfahren 99 ff, 111, 115 ff, 167 f, 171, 183, 198 Single Resolution Board s Abwicklungs-ausschuss …” „… , Ausschuss für eine einheitli-che Abwicklung Single Resolution fund = SRF s Einheitli-cher Abwicklungsfonds …” „… Single Resolution Mechanism = SRM s Einheitlicher Abwicklungsmechanis-mus Single Supervisory Mechanism …”

III. Unionsrechtliche Grundlagen des BaSAG S. 23-76

„… Abwicklung277 (engl Single Resolution Board), dar.278 Dieser Ausschuss ist der we-sentliche Akteur bzw das …” „… 2013 vorgelegt.281 Die finale Fassung der SRM-VO282 _____________ 274 Single Resolution Board, The …” „… Vgl Single Resolution Board, Single Resolution Mechanism (2016) 19. 343 Vgl Art 10 Abs 7 lit a, b BRRD …”

I. Einleitung S. 1-6

„… einheitli-che Abwicklung (Single Resolution Board, iF SRB), eingerichtet wurde. Für alle direkt von der EZB …” „… Single Rulebooks wurde im Jahre 2014 die Bank Recovery and Resolution Directive10 (BRRD) auf Grundlage …” „… . Jänner 2016 in Kraft stehende Single Reso-lution Mechanism Verordnung11 (iF SRM-VO). Dieser einheitliche …”

doi.org/10.5771/9783214254773

Lukas Zöllner - Die Abwicklung von Banken nach Art. 18 SRM-VO

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Lukas Zöllner

Die Abwicklung von Banken nach Art. 18 SRM-VO

Series: Nomos Universitätsschriften - Recht

Volume 1008 2023

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Literaturverzeichnis S. 269-284

„… on the Governance Framework of the Single Resolution Board, JCMS 56 (2018), 646–655.Brescia Morra …” „… . 597–636.Single Resolution Board, Critical Functions: SRB Approach. Critical Functions: SRB Approach in …” „… 2017 and Next Steps, 2017.Single Resolution Board, Public Interest Assessment: SRB Approach, 2019 …”

Vierter Teil – Die Abwicklung nach der SRM‑VO S. 194-264

„… Insbesondere Véron, Taking stock of the Single Resolution Board, S. 16f.; Lastra/Russo/Bodellini, Stock take …” „… , Taking stock of the Single Resolution Board, S. 17.717 Véron, Taking stock of the Single Resolution Board …” „… Banca Popolare di Vicenza und Veneto Banca Véron, Taking stock of the Single Resolution Board, S. 17 …”

Zweiter Teil – Annäherung an den Untersuchungsgegenstand S. 28-111

„… Entscheidungen durch eine NRA angewiesen.Das Single Resolution BoardDie institutionelle Ausgestaltung des SRB …” „… Board“), der Fonds unter dem Kürzel SRF („Single Resolution Fund“). Das SRB und die NRAs wirken …” „… Gordon/Ringe, Columbia Law Review 115 (2015), 1297, 1343ff.138 Decision of the Single Resolution Board of 17 …”

Fünfter Teil – Schlussbetrachtung und Zusammenfassung in Thesen S. 265-268

„… , dem Single Resolution Board (SRB). Das Single Resolution Board verfügt über einen …”

Erster Teil – Einführung S. 19-27

„… für den englischen Namen „Single Resolution Board“, kurz „SRB“. Das SRB soll die Krisenbewältigung von …” „… Abwicklungsmechanismus“ („Single Resolution Mechanism“, abgekürzt „SRM“) für die Banken derjenigen Mitgliedstaaten vor …” „… Bezeichnung („Banking Recovery and Resolution Directive“) als „BRRD“ abgekürzt, gibt den Mitgliedstaaten auf …”

Titelei/Inhaltsverzeichnis S. 1-18

„… Single Resolution Board2. 50Plenarsitzunga) 50Präsidiumssitzungb) 52Materielles Abwicklungsrecht im SRM3 …”

Dritter Teil – Ziele und Gelingensbedingungen der Bankenabwicklung S. 112-193

„… delegated acts on critical functions and core business lines, EBA/Op/2015/05.460 Single Resolution Board …” „… : Claessens/Djankov/Mody, Resolution of Financial Distress, 65.377 Prägnant zu dieser Dichotomie Westbrook, in …” „… : Claessens/Djankov/Mody, Resolution of Financial Distress, 47, 56.Dritter Teil – Ziele und Gelingensbedingungen der …”

doi.org/10.5771/9783748936237

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