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 16 of 28 · View all sources
Interest rate reset interval for certain fixed rate products
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 6 and 7: Underlying Exposures - Credit Cards and Consumer - Pool Addition Date
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annex 4: Underlying Exposures - Corporate - Market Value
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annex 3: Underlying Exposures - Commercial Real Estate - Index Determination Date
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Percentage of Prepayments Allowed Per Year
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Definition of ‘default’, where not specified
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Reporting of risk retention information for ABCP securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Reporting of further loans in the underlying exposure templates
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Obligor Basel III Segment
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Interest Collections In The Period
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Primary Income Verification
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Reporting information for private securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Clarifications for field Defaulted Exposures
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Questions relating to principal and interest recoveries.
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annex 3: Underlying Exposures - Commercial Real Estate - Prepayment Interest Excess / Shortfall
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annex 3: Underlying Exposures - Commercial Real Estate - Covenant Breach / Trigger
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annex 3: Underlying Exposures - Commercial Real Estate - Prepayment Terms Description – make-whole payments
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Origination Channel
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annex 3: Underlying Exposures - Commercial Real Estate - Total Other Amounts Outstanding
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
First date at which ESMA will receive an STS notification
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 14 and 15. How should fields relating to interest rate swaps be completed in the event of multiple interest rate swaps in the securitisation? What about currency swaps that are in the same situation?
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 14 and 15. Fields SSPE Value (SESS10), SSPE Principal Value (SESS11), Note Principal Balance (SESS13) – how should these fields be completed in the event of multiple currencies in the pool of underlying exposures?
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Reporting provisions for Master Trust securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Timing of reporting of Inside Information and Significant Event Information
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Use of ‘No Data’ options in Annex 11
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Clarifications for field Securitisation Excess Spread and Excess Spread Trapping Mechanism
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Use of proxy data in the disclosure technical standards
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Validation of information in an STS Notification
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
ESMA’s register of administrators (ESMA70-145-114_Q&A 8.5)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2019-05-23
Defined List of Instruments
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-04-08
Third country trading venue request access to an EU CCP in the absence of an equivalence decision
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-04-02
Multilateral and bilateral systems - Systematic internalisers
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-04-01
Multilateral and bilateral systems - Systematic internalisers - “risk-facing activity”
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-04-01
Emission allowances market participants (EAMPs) - Meaning of ‘parent’ and ‘related undertaking’ in Article 17(2) of MAR
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Emission allowances market participants (EAMPs) - Disclosure of inside information concerning emission allowances, referring to installations of other undertakings of the group of the EAMP
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Emission allowances market participants (EAMPs) - Disclosure of inside information concerning emission allowances, referring to installations of other undertakings of the group of the EAMP
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Potential cases of inside information in relation to collective investment undertakings voluntarily admitted to trading or traded on a trading venue
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Third-country firms marketing directly
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Updating information in a registration document before it is part of a prospectus (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-03-27
Disclosure of inside information by collective investment undertakings without legal personality voluntarily admitted to trading or traded on a trading venue
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-20
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
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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