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.
7,372 Q&As matching current filters · page 102 of 148
Review of Security Measures - Auditors expertise
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Review of the security measures: Audit report
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Responsibility of national authority with regards to audit reports
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
On the access to trusted beneficiaries lists (RTS Art 13) by TPPs in write mode
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Accessing payment account online in web browser shall exceed not 5 minutes without acitvity
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Criteria for the application of the transaction risk analysis (TRA) exemption – Application of the TRA exemption at the level of individual brand, product or scheme
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
EMV cards and EMV terminals supporting online authentication
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Persistent authentication for wearable devices
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Criteria for the application of the transaction risk analysis (TRA) exemption – Application of the TRA exemption by authorized PSPs other than the issuer and the acquirer
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-26
Small bank: bail-in or liquidation
Directive 2014/59/EU (BRRD) · Art. 31
Answered 2018-10-26
Obligatory nature of the SCA and exemption based on transaction risk analysis
Directive 2015/2366/EU (PSD2) · Art. Article 98 - RTS on SCA and CSC
Answered 2018-10-19
Does transaction monitoring need to be real time?
Directive 2015/2366/EU (PSD2) · Art. Article 95 - Management of operational and security risks
Answered 2018-10-05
Qualification of SMS OTP as an authentication factor
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-05
Display of incorrect authentication factors in case of failed authentication attempts
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-10-05
Article 473a(2) – Consideration of accounting provisions for FVOCI debt instruments
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-10-05
Inconsistencies in validation rules v1974_h, v5447_m, v5475_m and v5443_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Follow-up to Q&A 2016_2609 - Template C 71.00
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-10-05
Finrep. Validation rule v5443_m and others
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Validation rule v3129_m (FINREP template 18 and 19 IFRS 9)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Validation rule v2707_m (FINREP template 18 IFRS 9)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
2.7 - Incorrect rules v0985_m and v0986_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Discrepancies between annotated table layout and EBA validation rules (e.g. v5351_m)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Validation rules EBA_V4399 and EBA_V4400 warning on the tables P 02.04 and P 02.05
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Label of column 140 in C07.00 and validation rule v0008_h
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-10-05
Incentives to be provided under stressed market conditions by the trading venues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Market making agreement for payment received from a trading venue
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Can a market operator or an investment firm operating an MTF apply for a single segment of the MTF to be registered as an SME growth market?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Order-counting methodology for bulk quotes
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Provisions of Article 17(6) of MiFID II and of Chapter IV of RTS 6
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Can a trading venue use its trading systems and platforms to arrange transactions that are then reported and ultimately executed on another trading venue?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Investment advice on an independent basis
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2018-10-03
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-10-03
Delayed disclosure of inside information under Article 17(5) of MAR: assessment of the relevant conditions
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-10-01
Delayed disclosure of inside information under Article 17(5) of MAR: notification of the expected duration
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-10-01
Delayed disclosure of inside information under Article 17(5) of MAR: NCA’s denial of consent
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-10-01
Rolling spot forex
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. ESMA Decision 2018/795; ESMA Decision 2019/796
Answered 2018-09-28
Language of the benchmark statement (ESMA70-145-114_Q&A 7.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Family of benchmarks in the application for endorsement (ESMA70-145-114_Q&A 7.2)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Written plans under Article 28(2) (ESMA70-145-114_Q&A 8.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Written plans under Article 28(2) (ESMA70-145-114_Q&A 8.2)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
NAV of investment funds (ESMA70-145-114_Q&A 5.10)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Use of benchmarks in certificates (ESMA70-145-114 Q&A_5.9)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Financial instruments and systematic internalisers (ESMA70-145-114_Q&A 5.8)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Book-entry form
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Cash penalties: joint penalty mechanism
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Organisational requirements: general
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Interest Rate Swaps reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
Field 14 and Field 17 – Total issued nominal amount
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
Interest Rate Swaps reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
FIRDS fields 8 to 11
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
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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