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.
7,150 Q&As matching current filters · page 107 of 143
Timeline for approving connections to ARMs to NCAs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-15
Mandatory tick size regime for orders and quotes
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-15
Scope of the trading obligation for shares
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-11-15
Transparency - Trading venues
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 2017-11-15
EU trading venue through sub-delegated DEA and exemption offered under Article 2(1)(d) of MiFID II
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Regulation 2017/584- RTS on organisational requirements for trading venues (RTS 7)
Answered 2017-11-15
Client relationship between two counterparties that trade on a trading venue
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-15
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-11-14
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-11-14
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-11-14
1313
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 261
Answered 2017-11-14
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-13
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-13
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-13
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-13
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-13
Relevant Authorities
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-11-11
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-11-10
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-11-10
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-11-10
Difference between taking control and being able to exercise the control
Directive 2014/59/EU (BRRD) · Art. 63, 72
Answered 2017-11-10
On-site inspections by resolution authorities
Directive 2014/59/EU (BRRD) · Art. 63
Answered 2017-11-10
Powers of resolution authorities Article 63 and Article 38(1)(a)
Directive 2014/59/EU (BRRD) · Art. 38, 63
Answered 2017-11-10
Reference to Article 49 in Article 63(1)(k)
Directive 2014/59/EU (BRRD) · Art. 49, 63
Answered 2017-11-10
Difference between a reduction to zero and a cancelation
Directive 2014/59/EU (BRRD) · Art. 63
Answered 2017-11-10
Qualifying own funds included in consolidated own funds
Regulation (EU) No 575/2013 (CRR) · Art. 11, 82
Answered 2017-11-03
Commitment to buy newly issued shares and synthetic holding deduction
Regulation (EU) No 575/2013 (CRR) · Art. 36
Answered 2017-11-03
Deposits received and deposits posted as margin collateral for derivative exposures
Regulation (EU) No 575/2013 (CRR) · Art. 423
Answered 2017-11-03
Notification of model changes
Regulation (EU) No 575/2013 (CRR) · Art. 143
Answered 2017-11-03
Definition and basis of calculation; Paragraph 20 of the APM Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-10-30
Scope of the APM Guidelines; Paragraphs 17 to 19 of the APM Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-10-30
Definition of APMs; Paragraph 17 of the APM Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-10-30
Application of the Fair review principle to APMs; Paragraphs 6, 8 and 22 of the APM Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-10-30
Application of the scope exemption; Paragraph 19 of the APM Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-10-30
Reconciliation; Paragraph 26 and 28 of the APM Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-10-30
Section 3(a)(2) guarantees - eligibility for MREL
Directive 2014/59/EU (BRRD) · Art. 45b
Answered 2017-10-27
The question relates to systemic risk buffers and whether they can be additive
Directive 2013/36/EU (CRD) · Art. 134
Answered 2017-10-13
Record keeping
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2017-10-10
Documentary credits in which underlying shipment acts as collateral and other self-liquidating transactions
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-10-06
Minority Interests
Regulation (EU) No 575/2013 (CRR) · Art. 81, 84
Answered 2017-10-06
Capital requirements deduction for credit risk on exposures to SMEs
Regulation (EU) No 575/2013 (CRR) · Art. 501
Answered 2017-10-06
Treatment of an institution’s guarantees for investments into CIUs
Regulation (EU) No 575/2013 (CRR) · Art. 132, 152, Annex 1
Answered 2017-10-06
Deduction from own funds of items entered as assets that are not yet included within equity
Regulation (EU) No 575/2013 (CRR) · Art. 26
Answered 2017-10-06
Impact of SFTR on UCITS - Periodic reporting under Article 13 of SFTR for UCITS and AIFs
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2017-10-05
Financial instruments’ volatile attributes
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-10-05
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-10-05
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-10-05
C(10) category and ancillary activity calculations
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-04
Position management controls
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-04
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-03
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-10-03
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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