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 103 of 148
Cash penalties: joint penalty mechanism
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Application of the exemption for transactions to trusted beneficiaries to Face-to-Face transactions
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2018-09-21
Appropriate Risk Weight for purchased defaulted assets
Regulation (EU) No 575/2013 (CRR) · Art. 34, 105, 111
Answered 2018-09-21
Application of the definition of ‘speculative immovable property financing’ under the Standardised Approach
Regulation (EU) No 575/2013 (CRR) · Art. 4, 128
Answered 2018-09-21
Recalculation of thresholds of Article 48 CRR due to IFRS 9 transitional arrangements (Art. 473a)
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-08-24
IFRS 9 Transitional arrangements - Definition of ‘t’
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-08-03
Calculation of the sf factor as per Article 473a(7)(b) of Regulation (EU) No 575/2013 (CRR)
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-08-03
Computing the amounts mentioned in Article 473a(2)(b) CRR, in case of the credit-impaired financial assets measured at amortised cost.
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-08-03
Reporting of cash flows related to collateral management transactions in which collateral to be delivered/received is defined using the participants netting exposure
Regulation (EU) No 575/2013 (CRR) · Art. 422, 425
Answered 2018-08-03
Reporting of Assets received as collateral in GC pooling transactions
Regulation (EU) No 575/2013 (CRR) · Art. 416
Answered 2018-08-03
Investment firms’ exposures to credit institutions
Regulation (EU) No 575/2013 (CRR) · Art. 119
Answered 2018-08-03
General and specific credit risk adjustments
Regulation (EU) No 575/2013 (CRR) · Art. 34, 105, 111
Answered 2018-08-03
Structured finance products
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 2018-07-30
Securitised derivatives
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 2018-07-30
Validation rule v5548_h (FINREP template F 11.01 IFRS 9)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-07-27
Column 100 of the C 25.00 - CVA RISK template
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-07-27
How to report data in c230 and c240 of C 07.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-07-27
Template 17 for a financial conglomerate , that elects that none of its entities operating in the insurance sector apply IFRS 9 for financial years beginning before 2021.
Regulation (EU) No 575/2013 (CRR) · Art. Article 99
Answered 2018-07-27
Under Substitution Approach, How to report the covered part of the exposure where collateral is Covered Bond.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-07-27
Does the KID need to be published on the public section of a website?
PRIIPs
Answered 2018-07-19
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-07-12
Provision of investment services and activities by third country firms
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-07-12
Regulated data benchmarks (ESMA70-145-114 Q&A_5.7)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-07-11
Calculation agents (ESMA70-145-114 Q&A_5.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-07-11
Other
(EU) No 2017/2358 - product oversight and governance requirements for insurance
Answered 2018-07-10
Depositaries as counterparties in a transaction of assets that they hold in custody
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-07-01
UCITS investing in other UCITS with different investment policies
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-07-01
Supervision of branches
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-07-01
Funding Reliances - Table 2A1 - Insured and unsinsured deposits and uninsured deposit-like financial instruments (P 02.01)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-06-15
Reporting of funding, obtained to supply credit to the real economy, and validation rule v4137_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2018-06-15
IFRS 9 Transitional arrangements - Distinction between defaulted and non-defaulted exposures for the calculation provided for in Article 473a(5)
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-06-08
IFRS 9 Transitional arrangements – Reference date for the regulatory expected loss in Article 473a(5)(c)
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2018-06-08
Original maturity for off balance sheet items
Regulation (EU) No 575/2013 (CRR) · Art. 111
Answered 2018-06-08
Multiplier of 1.25 to the asset value correlation
Regulation (EU) No 575/2013 (CRR) · Art. 153
Answered 2018-06-08
Existing contracts
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 2018-06-01
Clients established outside the Union and non-Union nationals
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 2018-06-01
CFDs referencing futures
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 2018-06-01
Binary options
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 2018-06-01
Monetary benefits
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 2018-06-01
Aggregate liability
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 2018-06-01
Margin close-out protection
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 2018-06-01
Guaranteed stop loss orders
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 2018-06-01
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-05-29
Easy-to-borrow list and locate arrangement
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-05-28
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Application of disclosure requirements on remuneration to delegates
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-05-25
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Initiation at own initiative
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
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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