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 13 of 28 · View all sources
Annexes 12 and 13: Investor Reports - What type of tests/triggers need to be reported?
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Restructured Exposures
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
How to report various fields following default of an underlying exposure
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Time span for fields referring to cumulative amounts, or to fields that refer to past dates
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Processing of data queries by securitisation repositories
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-05-28
Methodology for Generating Unique identifiers (including for master trust securitisations)
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Provision of multiple underlying exposure XML files as part of a submission of information
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 4: Underlying Exposures - Corporate - Total Debt CRPL18
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Arrears Balance
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Number of Payments Before Securitisation
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Template for less-common underlying exposure types
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
Date of Restructuring
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
Annexes 12 and 13: Investor Reports - Trigger Measurements/Ratios
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Charge Type
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Reason for Default or Foreclosure
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annexes 12 and 13: Investor Reports - Revolving / Ramp-Up Period End Date
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annexes 12 and 13: Investor Reports - Principal and interest recovery and collection in period
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 11: Underlying Exposures - ABCP - Restructured Exposures (>3 years before transfer)
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
Insurance or Investment Provider
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annex 4: Underlying Exposures - Corporate - Fields relating to the financials of an obligor
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annexes 14 and 15: Inside Information or Significant Event Information - Counterparty information section – provision of Legal Entity Identifier information
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
Annexes 14 and 15: Inside Information or Significant Event Information - CLO sections of Annex 14
Securitisation Regulation (EU) 2017/2402
Answered 2020-05-28
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-02-18
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-02-18
Summaries (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2020-02-18
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-02-18
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-02-18
The length of summaries (multiple securities) (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2020-02-18
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-02-18
Access model (old CCP question 23 dated 7/01/2020)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
Answered 2020-01-07
Direct Electronic Access (DEA) and algorithmic trading - Trading systems - RTS 7
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2019-12-05
Multilateral and bilateral systems - Member preferencing functionalities and pre-arranged transactions
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2019-12-05
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-12-04
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-12-04
Application of the various annexes of Commission Delegated Regulation 2019/980 (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-12-04
Pro-forma summaries in base prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-12-04
Product intervention
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2019-12-04
Annual review of IOSCO principles for Oil Pricing Reporting Agencies (PRAs) (ESMA70-145-114_Q&A 7.6)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2019-12-03
Matching settlement instructions
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2019-12-03
Annexes 14 and 15: Inside Information or Significant Event Information - How to complete the Synthetic Coverage Information Section in Annex XIV
Securitisation Regulation (EU) 2017/2402
Answered 2019-11-19
Annex 3: Underlying Exposures - Commercial Real Estate - Total Shortfalls In Principal & Interest Outstanding
Securitisation Regulation (EU) 2017/2402
Answered 2019-11-15
Annex 3: Underlying Exposures - Commercial Real Estate - Liquidation Expense
Securitisation Regulation (EU) 2017/2402
Answered 2019-11-15
Annex 3: Underlying Exposures - Commercial Real Estate - Obligor Must Pay Breakage On Swap
Securitisation Regulation (EU) 2017/2402
Answered 2019-11-15
Anonymity and confidentiality; Obligor fields, Underlying exposure fields, Collateral fields, Tenant fields
Securitisation Regulation (EU) 2017/2402
Answered 2019-11-15
Annex 3: Underlying Exposures - Commercial Real Estate - Non-Payments on equal ranking Underlying Exposures
Securitisation Regulation (EU) 2017/2402
Answered 2019-11-15
Source: European Securities and Markets Authority. Updated weekly. Q&As are non-binding guidance published under the ESA Single Rulebook Q&A process.
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