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 105 of 148
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-03-23
Authorisation and supervision of CSDs
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-03-23
Requirements for CSD links
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-03-23
Conduct of business rules
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-03-23
Article 16 during the transitional period (ESMA70-145-114_Q&A 6.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-03-22
Conditions for Early intervention
Directive 2014/59/EU (BRRD) · Art. 27
Answered 2018-03-09
Traitement des dettes subordonnées dans l'état C 68.00 et C 67.00 (Treatment of subordinated debt in templates C 68.00 and C 67.00)
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-09
Eligible asset classification for counterbalancing capacity C 71.00 – Concentration of Counterbalancing capacity by issuer / counterparty
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-09
Intervention of the resolution fund to cover for losses due to creditors / liabilities excluded from bail-in
Directive 2014/59/EU (BRRD) · Art. 44, 101
Answered 2018-03-02
Valuation in Article 36
Directive 2014/59/EU (BRRD) · Art. 36
Answered 2018-03-02
Other groups or colleges in Articles 88(6) and 89(4)
Directive 2014/59/EU (BRRD) · Art. 88, 89
Answered 2018-03-02
Clarification on the authority responsible for the DGS
Directive 2014/59/EU (BRRD) · Art. 88
Answered 2018-03-02
Enforce a third country resolution proceeding
Directive 2014/59/EU (BRRD) · Art. 94
Answered 2018-03-02
Reference to Chapter III in Article 96(3)(b)
Directive 2014/59/EU (BRRD) · Art. 96
Answered 2018-03-02
Deduction requirements in accordance with Article 36(1) (f), (h) and (i) CRR: Netting of long and short positions in intermediate entities in the context of Article 15e (7) of Delegated Regulation (EU) No 241/2014 (“RTS Own Funds”)
Regulation (EU) No 575/2013 (CRR) · Art. 36
Answered 2018-03-02
CIU Correlation Test
Regulation (EU) No 575/2013 (CRR) · Art. 350
Answered 2018-03-02
Calculation of original and residual maturities in the context of ALMM (C 66.01) for puttable bonds
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-02
Treatment of Credit Unions in C 68.00 ALMM Reporting
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-02
Reported currency by issuer/counterparty on a total level (in the Total sheet)
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-02
Treatment of cash provided as a collateral under issued guarantees and letters of credit
Regulation (EU) No 575/2013 (CRR) · Art. 421, 421, 422
Answered 2018-03-02
Can the same issuer / counterparty appear more than once in the top 10 of template C 71.00 based on currency?
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-02
Concentration of funding by counterparty (C 67.00) ranking
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-03-02
Minimum size of orders held in an order management facility for non-equity financial instruments
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Regulation 2017/583- RTS on transparency requirements in respect of non-equity financial instruments (RTS 2)
Answered 2018-02-07
Ancillary services
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-02-06
Commodity benchmarks (ESMA70-145-114 Q&A_4.5)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Definition of a benchmark in relation to investment funds (ESMA70-145-114 Q&A_5.5)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Definition of a benchmark in relation to investment funds (ESMA70-145-114 Q&A_5.6)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Definition of a benchmark in relation to investment funds (ESMA70-145-114 Q&A_5.4)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Shares - Covering a short sale with claims to as yet unissued shares (subscription rights, convertible bonds)
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-02-05
Reference to value in Article 48(2)
Directive 2014/59/EU (BRRD) · Art. 48
Answered 2018-01-26
Write down or convert bail-inable liabilities following Article 48(3)
Directive 2014/59/EU (BRRD) · Art. 48
Answered 2018-01-19
Calculation of the position for holdings of financial sector entities with the same underlying exposure
Regulation (EU) No 575/2013 (CRR) · Art. 45, 59, 69
Answered 2018-01-19
Calculation of general risk capital requirement for underwriting commitment regarding bond issuance and bond issuance programs under duration-based method specified in Article 340 of the CRR.
Regulation (EU) No 575/2013 (CRR) · Art. 340
Answered 2018-01-19
Recognition of non cash variation margin in the calculation for replacement cost of derivatives for Leverage Ratio
Regulation (EU) No 575/2013 (CRR) · Art. 429a
Answered 2018-01-19
Definition of 'carrying amount' for the purposes of templates C 67.00, C 68.00 and C 69.00
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
References to items covered by a Deposit Guarantee scheme in the instructions on r070 and r090 of C 68.00
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Coins and banknotes in counterbalancing capacity ALMM
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
C 67.00, Concentration of funding by counterparties- third party mandates
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
C 67.00 Concentration of funding by counterparties- Cash collateral received for derivatives
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
C 69.00, Prices for various lengths of funding - Spreads calculated in different currencies
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Difference between 'product type' and 'product category' and clarification on product type reporting (Annex XIX, part 1.3, template C 68.00)
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Template C 69.00 - Prices for the Various Lenghts of Funding - follow-up to Q&As 2015_1901 and 2015_2204
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Reporting of individuals/households names in template C 67.00
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
The treatment of Physical Stock balances
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Reporting of currency for undrawn committed facilities in Concentration of Counterbalancing Capacity template C 71.00
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Counterparty details for central bank eligible assets in Concentration of Counterbalancing Capacity template C 71.00
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Prices for Various Lengths of Funding-currency spreads
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2018-01-12
Cap on the own funds requirement for a net position
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-22
Validointissääntö e4900_n, C 07.00 Standardimenetelmän mukaiset pääomavaatimukset (Validation rule e4900_n: C 07.00 Capital requirements according to the standard method)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-22
Amended validation rule v3693_s in v2.6
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-22
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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