European Securities and Markets Authority Q&A Database
Official Q&As published by the European Securities and Markets Authority on MiFID II, EMIR, UCITS, AIFMD, and other EU securities regulations.
1,400 final Q&As · page 12 of 28 · View all sources
Annex 2 Underlying Exposures - Residential Real Estate - Removal of collateral item supporting an RMBS loan
Securitisation Regulation (EU) 2017/2402
Answered 2021-02-26
Annexes 12 and 13: Investor Reports - Principal and Interest Collections in The Period
Securitisation Regulation (EU) 2017/2402
Answered 2021-02-26
Annexes 14 and 15: Inside Information or Significant Event Information - For which counterparties should information be reported?
Securitisation Regulation (EU) 2017/2402
Answered 2021-02-26
Use of Special Purpose Vehicles (SPV)
Regulation 2020/1503 - European crowdfunding service providers for business · Art. point (44) of Article 4(1) of MIFID II
Answered 2021-02-25
Use of Special Purpose Vehicles (SPV)
Regulation 2020/1503 - European crowdfunding service providers for business · Art. point (2) of Article 1 of Regulation (EU) No 1075/2013 of the European Central Bank
Answered 2021-02-25
Use of Special Purpose Vehicles (SPV)
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2021-02-25
Use of Special Purpose Vehicles (SPV)
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 3(6)
Answered 2021-02-25
Use of Special Purpose Vehicles (SPV)
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2021-02-25
Direct Electronic Access (DEA) and algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2021-02-03
Multilateral and bilateral systems - Systematic internalisers - Matched Principal Trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2021-02-03
How to determine which annexes of Commission Delegated Regulation 2019/980 apply when drawing up a prospectus (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2021-01-28
Reporting of past modifications
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2021-01-28
Update of a Trade State Report belonging to an SFT
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2021-01-28
Reporting of SFTs by the FC on behalf of a SME-NFC pursuant to the Article 4(3) SFTR
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2021-01-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-12-21
Identification of profit forecasts in prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2020-11-09
Choice of TD home Member State after the end of the UK’s transition period for leaving the EU
Transparency Directive (TD) Directive 2004/109/EC
Answered 2020-11-09
Transitional provisions applicable to EU index providers that provides a benchmark that has been recognised as a critical benchmark in accordance with Article 20 of the BMR (ESMA70-145-114 QAs on BMR Q&A 9.4)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2020-11-06
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-11-06
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-11-06
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-11-06
Reporting of trading venue for cleared and non-cleared SFTs
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2020-11-05
Reporting of zero collateral for margin lending
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2020-11-05
Frequency of reports
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP · Art. Article 4
Answered 2020-11-05
Reporting of repos initially collateralised on a transaction basis and subsequently on a net exposure basis
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2020-11-05
Account Status RREL69; CREL136; CRPL79; AUTL70; CMRL55; CCDL37; LESL57; ESTL55.
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Dilutions
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
COVID-related debt moratoria RREL22; CREL14; CRPL32; AUTL22; CMRL20; CCDL18; LESL21
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Special Scheme RREL22; CREL14; CRPL32; AUTL22; CMRL20; CCDL18; LESL21
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Principal Grace Period End Date RREL36, CREL88, CRPL47, AUTL33, CMRL33, CCDL25, LESL32, ESTL32
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Payment Due RREL39; CREL105; CRPL50; AUTL37; CMRL36; CCDL28; LESL35; ESTL35
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Annex 2: Underlying Exposures - Residential Real Estate - Pari Passu Underlying Exposures RREL32
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2020-09-28
Systematic internaliser regime - Transparency - Internaliser Thresholds
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2020-07-08
Buy-in timeframes
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2020-07-08
Multilateral and bilateral systems - Authorisation as trading venue for a system facilitating the multilateral interaction of trading interests in securities financing transactions
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2020-05-29
Annex 4: Underlying Exposures - Corporate - Obligor Basel III Segment
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annexes 5 and 8: Underlying Exposures – Automobile and Leasing - Residual Value
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annexes 5 and 8: Underlying Exposures – Automobile and Leasing - Manufacturer and Model
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 10: Underlying Exposures - Non-Performing Exposures
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Residual maturity
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Current Principal Balance
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Geographic Region fields for ABCP securitisation
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Underlying Exposure Identifiers
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Consolidated ABCP reporting involving more than one ABCP programme and/or more than one ABCP transaction
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Number of underlying exposures of this exposure type being securitised
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Debt To Income Ratio
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Current Loan-To-Value
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Restructured Exposures (New Arrears)
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Scheduled Principal and Interest Payment Frequency Above One Month
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Source: European Securities and Markets Authority. Updated weekly. Q&As are non-binding guidance published under the ESA Single Rulebook Q&A process.
📋 Track EU financial regulation continuously
Forseti monitors EU financial regulation and delivers personalised alerts anchored to verified official sources.
14-day free trial. No credit card required.