EU Financial Regulatory Q&A Database
Official Q&As published by EBA, ESMA, EIOPA and the ESA Joint Committee. Non-binding but treated as authoritative guidance by national competent authorities across the EU.
7,216 Q&As matching current filters · page 100 of 145
Reporting of assets sold short as a additional outflow for LCR under Delegated Act
Regulation (EU) No 575/2013 (CRR) · Art. Article 423(4) of Regulation (EU) No. 575/2013 (CRR)
Answered 2019-02-08
Complex trades
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Maturity Date, expiry date and termination date
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Maturity Date, expiry date and termination date
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Maturity Date, expiry date and termination date
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
MiFIR data reporting - LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Direct Electronic Access (DEA) and algorithmic trading - Article 19 of CDR 2017/565 - high frequency trading techniques tests
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-02-01
EBA ITS package for 2019 benchmarking exercise (Annex V, credit spread instruments)
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-02-01
Benchmarking - Market risk - instrument specification
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-02-01
Benchmarking - Market risk - Base currency unit
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-02-01
Annexes 14 and 15: Inside Information or Significant Event Information - Step-Up/Step-Down Coupon Value
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Use LDOR code in the field for ‘Current Interest Rate Index’ or ‘Revised Interest Rate Index’
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annexes 14 and 15: Inside Information or Significant Event Information - Perfection Of Sale: how should this be completed for CLO securitisations?
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Revision Margin and Revision Date fields
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annex 4: Underlying Exposures - Corporate - Collateral valuation fields for corporate and leveraged lending
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Use of the response option ‘OTHR’ (i.e. ‘Other’) in {LIST} fields.
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annexes 5 and 8: Underlying Exposures – Automobile and Leasing - Original Loan-To-Value
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annexes 6 and 7: Underlying Exposures - Credit Cards and Consumer - What level of the credit card receivable is the ‘underlying exposure’? The account or the product/card level?
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Primary Income Currency
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annex 4: Underlying Exposures - Corporate - Managed by CLO
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Legal Entity Identifier fields and the Global Legal Entity Identifier Foundation?
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Total Credit Limit
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Rounding numerical fields
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Differences in the same field vs. other existing templates
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Definition of ‘arrears’
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Purpose RREL27
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Reporting frequency for ABCP transactions
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Disclosures for public vs. private securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
How to provide the amount guaranteed for underlying exposures (collateral section)
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Change of the reporting entity and unique identifier fields Unique identifier: RREL1; CREL1; CRPL1; AUTL1; CMRL1; CCDL1; LESL1; ESTL1; IVSS1; IVAS1; IVAN1
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Scope of application of the Commission Delegated Regulations adopted under the BMR (ESMA70-145-114 Q&A_4.6)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2019-01-30
Schedule for the initial implementation of the systematic internaliser regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-01-30
Trusted Beneficiary exemption – Management of the exemption, information flows between PSPs in the payment transaction
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-01-25
On the access to names and surnames through the API
Directive 2015/2366/EU (PSD2) · Art. 4
Answered 2019-01-25
Mapping of SEC-ERBA credit quality steps
Regulation (EU) No 575/2013 (CRR) · Art. 270a, 271e
Answered 2019-01-18
Treatment of government bonds of a third country as Level 1 assets when the credit quality step 1 is assigned according to article 114(7) of Regulation (EU) 575/2013
Regulation (EU) No 575/2013 (CRR) · Art. 416
Answered 2019-01-18
Calculation of the ratio between fixed and variable components of the total compensation.
Directive 2013/36/EU (CRD) · Art. 94
Answered 2019-01-18
Compliance Function and Anti-Money Laundering tasks, Data Protection Officer or FATCA&CRS Responsible Officer, and Fraud Management
Directive 2013/36/EU (CRD) · Art. 74, 88
Answered 2019-01-18
Inclusion of interim profits in CET1 on consolidated basis
Regulation (EU) No 575/2013 (CRR) · Art. 26
Answered 2019-01-18
Inclusion of interim profits in CET1
Regulation (EU) No 575/2013 (CRR) · Art. 26
Answered 2019-01-18
Treatment of Value Added Tax (VAT) accounts opened for collection and payment of VAT
Regulation (EU) No 575/2013 (CRR) · Art. 422
Answered 2019-01-18
Offset of Additional Value Adjustments (AVA) against Expected Loss (EL) under Article 159
Regulation (EU) No 575/2013 (CRR) · Art. 158, 159
Answered 2019-01-18
Explicit consent required by the ASPSP from the PSU to enable the PSU to use the services provided by TPPs / Consenso esplicito richiesto dall’ASPSP al PSU per consentirgli di avvalersi dei servizi prestati dai TPP
Directive 2015/2366/EU (PSD2) · Art. 64
Answered 2019-01-11
Inconsistency in validation rule eba_v4721_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-01-11
Applicability of the low-value contactless exemption to contactless-only devices
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-01-11
Validation rule v6063_m in v2.7.0.1
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-01-11
Validation rule v2818
Regulation (EU) No 575/2013 (CRR) · Art. 99, 100
Answered 2019-01-11
DPM2.7.0.1 validation rules v5228_m,v5229_m,v_5231_m,v5235_m across template F18.00a, F04.04.1
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-01-11
Clarification “Other collateralized loans” template F 05.01
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-01-11
Validation rules on template F 18.00 comparing with F 04.04.1 and F 01.01
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-01-11
Source: EBA Single Rulebook Q&A, ESMA Q&A, EIOPA Q&A, ESA Joint Q&As. Updated weekly. Q&As are non-binding guidance.
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