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.

EBA 4,405 ESMA 1,526 EIOPA 2,635 Joint Committee 256

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7,372 Q&As matching current filters · page 106 of 148

Validation rule v4886_m

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2017-12-22

Reference price waiver and multi-listed shares

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets

ESMA Answer Published

Answered 2017-12-18

Suitability and appropriateness

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2017-12-18

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2017-12-18

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2017-12-18

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

ESMA Answer Published

Answered 2017-12-18

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2017-12-18

Position reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2017-12-15

Position reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2017-12-15

Position reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2017-12-15

Position reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2017-12-15

Spot month

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2017-12-15

Value assigned to liabilities arising from derivative contracts

Directive 2014/59/EU (BRRD) · Art. 103

EBA Final Q&A

Answered 2017-12-15

Written plans for cessation or material changes of a benchmark (ESMA70-145-114_Q&A 8.1)

Benchmarks Regulation (BMR) - Regulation 2016/1011

ESMA Answer Published

Answered 2017-12-14

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

ESMA Answer Published

Answered 2017-12-14

Organisational requirements: Record keeping

Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR

ESMA Answer Published

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

ESMA Answer Published

Answered 2017-12-14

Transaction reporting

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

Answered 2017-12-14

Transaction reporting

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

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

ESMA Answer Published

Answered 2017-12-14

Treatment of expected loss amounts in validation rule v4772_m

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2017-12-08

Template C 17.00 (OPR Details) - Reporting on loss adjustments

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2017-12-08

Incorrect validation rules v4779_m and v4782_m

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

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

EBA Final Q&A

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

EBA Final Q&A

Answered 2017-12-08

Scope of bail-in tool: Clarification on Article 44(2)(f)

Directive 2014/59/EU (BRRD) · Art. 44

EBA Final Q&A

Answered 2017-12-01

Transactions with maturities longer than 10 years

Regulation (EU) No 575/2013 (CRR) · Art. 415

EBA Final Q&A

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

EBA Final Q&A

Answered 2017-11-24

Reporting of credit risk adjustments according to Article 110 of CRR

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

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

EBA Final Q&A

Answered 2017-11-24

CCF for uncommitted lines

Regulation (EU) No 575/2013 (CRR) · Art. 111

EBA Final Q&A

Answered 2017-11-24

Presentation of IRB floor (Article 500 CRR) in COREP templates

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2017-11-24

Connected Clients and Control Relationship

Regulation (EU) No 575/2013 (CRR) · Art. 4

EBA Final Q&A

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

EBA Final Q&A

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

EBA Final Q&A

Answered 2017-11-24

Trading during closed periods and prohibition of insider dealing

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2017-11-21

Types of transactions by PDMRs prohibited during closed periods

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2017-11-21

Is a KID always required when an investment product is listed on a regulated market?

PRIIPs

Joint Committee Final

Answered 2017-11-20

How should credit-linked notes be treated, for example which is their product category for the purposes of the MRM calculation?

PRIIPs

Joint Committee Final

Answered 2017-11-20

How does the information on the underlying options of a MOP need to be provided?

PRIIPs

Joint Committee Final

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

Joint Committee Final

Answered 2017-11-20

The Delegated Regulation uses terms “biometric risk premium” and “insurance premium”. Do these terms have the same meaning?

PRIIPs

Joint Committee Final

Answered 2017-11-20

Protection of securities of participants and those of their clients

Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR

ESMA Answer Published

Answered 2017-11-17

Transaction reporting