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.
8,822 Q&As matching current filters · page 106 of 177
Validation rule v4886_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-22
Application of MiFID II after 3 January 2018, including issues of ‘late transposition’
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-18
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Reference price waiver and multi-listed shares
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-12-18
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Spot month
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Value assigned to liabilities arising from derivative contracts
Directive 2014/59/EU (BRRD) · Art. 103
Answered 2017-12-15
Authorisation and registration vis-à-vis the applicability of the requirements of the BMR (ESMA70-145-114_Q&A 7.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-12-14
Written plans for cessation or material changes of a benchmark (ESMA70-145-114_Q&A 8.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-12-14
Emission allowances market participants (EAMPs) - Time span for the calculation of the CO2 equivalent emissions and the rated thermal input
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-12-14
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-12-14
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-12-14
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-12-14
Organisational requirements: Record keeping
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-12-14
Treatment of expected loss amounts in validation rule v4772_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-08
Template C 17.00 (OPR Details) - Reporting on loss adjustments
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-08
Incorrect validation rules v4779_m and v4782_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-08
New EBA Validation rule (taxonomy 2.6) v4786_m about the comparison between the risk weighted exposure amount and the exposure value for Equity in CR GB IRB
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-08
C 09.02 - validation rules v4776_m, v4777_m, v4778_m, v4780_m and v4781_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-12-08
Scope of bail-in tool: Clarification on Article 44(2)(f)
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2017-12-01
Transactions with maturities longer than 10 years
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2017-12-01
C 17.01 – Total gross losses and loss adjustments (v6127_h and v6128_h)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-24
Reporting of credit risk adjustments according to Article 110 of CRR
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-24
Classification as off-balance sheet items of a committed reverse repo facility or other committed credit facilities where drawing under the facility is conditional upon purchasing or receiving eligible collateral
Regulation (EU) No 575/2013 (CRR) · Art. 166
Answered 2017-11-24
CCF for uncommitted lines
Regulation (EU) No 575/2013 (CRR) · Art. 111
Answered 2017-11-24
Presentation of IRB floor (Article 500 CRR) in COREP templates
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-24
Connected Clients and Control Relationship
Regulation (EU) No 575/2013 (CRR) · Art. 4
Answered 2017-11-24
LRCalc – Reporting of SFT Exposures according to Article 429 (5) (d), 429 (8) and 429b (1) CRR
Regulation (EU) No 575/2013 (CRR) · Art. 429
Answered 2017-11-24
Groups of connected clients when a client is connected through various criteria (interconnection through control and / or economic interconnection)
Regulation (EU) No 575/2013 (CRR) · Art. 4
Answered 2017-11-24
Types of transactions by PDMRs prohibited during closed periods
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-11-21
Trading during closed periods and prohibition of insider dealing
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-11-21
How should credit-linked notes be treated, for example which is their product category for the purposes of the MRM calculation?
PRIIPs
Answered 2017-11-20
Regarding the correction for risk neutrality in Annex II, 22(c) of the Delegated Regulation - each of the 10,000 simulated returns needs a correction to ensure that the simulated average return is equ
PRIIPs
Answered 2017-11-20
The Delegated Regulation uses terms “biometric risk premium” and “insurance premium”. Do these terms have the same meaning?
PRIIPs
Answered 2017-11-20
How does the information on the underlying options of a MOP need to be provided?
PRIIPs
Answered 2017-11-20
Is a KID always required when an investment product is listed on a regulated market?
PRIIPs
Answered 2017-11-20
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-11-17
Protection of securities of participants and those of their clients
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-11-17
Inconsistency in validation rule v5016_s for C 05.01
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-17
International Organisations allocated to the 'Institutions' exposure class
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-17
Validation rule e4901_n
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-17
Foreign Exchange Risk– Off-balance sheet items in C 22.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-17
Reporting requirements for template C 33.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-17
Validations between F 13.01 and F 05.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-11-17
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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