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.
7,361 Q&As matching current filters · page 108 of 148
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
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-03
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
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
Suitability checks and controls of DEA provider
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
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
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
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
Systematic internaliser
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-03
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-10-03
Tick size regime - In case of simultaneous dual listing
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-10-03
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-10-03
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-10-03
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-10-03
Ongoing monitoring of collateral requirements (old CCP question 22 dated 2/10/2017)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 46 of EMIR and Article 37 of the RTS on CCP requirements - old CCP question 22 dated 2/10/2017
Answered 2017-10-02
Provision of banking-type ancillary services
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-10-02
Family of benchmarks (ESMA70-145-114 Q&A_5.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-09-29
Exemption on single reference price (ESMA70-145-114 Q&A_4.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-09-29
Use of a benchmark (ESMA70-145-114 Q&A_5.2)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-09-29
Application of the Regulation to EU and third country central banks (ESMA70-145-114_Q&A 4.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-09-29
Delayed inside information that lost the feature of the price sensitivity
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-09-29
Permission for delta models for back-to-back positions
Regulation (EU) No 575/2013 (CRR) · Art. 329, 352, 358
Answered 2017-09-22
Reporting of Pillar 2 requirements in C 03.00 (follow-up to Q&As 2015_2302 and 2016_2699)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-09-22
Risk weight for the credit risk for third countries with supervisory and regulatory arrangements at least equivalent to those applied in the Union according to Article 114(7) CRR
Regulation (EU) No 575/2013 (CRR) · Art. 114
Answered 2017-09-22
Netting between depositary receipts and underlying equities
Regulation (EU) No 575/2013 (CRR) · Art. 327
Answered 2017-09-22
LCR treatment of cash pooling services
Regulation (EU) No 575/2013 (CRR) · Art. 420, 422
Answered 2017-09-22
Aircraft loans as collateral for covered bonds
Regulation (EU) No 575/2013 (CRR) · Art. 129
Answered 2017-09-22
Validation rule v0786_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-09-22
Subject of the insider list requirements
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-09-01
Issuer’s responsibility in case of delegation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-09-01
OSII capital buffer
Directive 2013/36/EU (CRD) · Art. 131
Answered 2017-09-01
Treatment of inflows from credit facilities in LCR
Regulation (EU) No 575/2013 (CRR) · Art. 425, 460
Answered 2017-08-25
High income OECD countries and Liquid asset classifications
Regulation (EU) No 575/2013 (CRR) · Art. 114, 137
Answered 2017-08-25
Liquid assets underlying sold call options
Regulation (EU) No 575/2013 (CRR) · Art. 417
Answered 2017-08-25
Does “as appropriate” in Point 7 of Annex III mean that the wording of the elements A-J can be amended? Or should the manufacturer remove an entire text element if it is not suitable for a specific PR
PRIIPs
Answered 2017-08-18
Should the 10% threshold for calculating credit risk in Annex II, part 2, Point 35 be applied per instrument or per exposure?
PRIIPs
Answered 2017-08-18
Can an appropriate benchmark or proxy continue to be used once sufficient data becomes available?
PRIIPs
Answered 2017-08-18
What is meant by factors not observed in the market as stated in Annex II, Part 1, Point 7?
PRIIPs
Answered 2017-08-18
In accordance with Annex II, Part 2, Point 42 the credit quality step shall be adjusted to the maturity or recommended holding period of the PRIIP. Should the maturity to be used for this adjustment b
PRIIPs
Answered 2017-08-18
Can a credit assessment assigned to a group be used for the assessment of the credit risk of the relevant obligor?
PRIIPs
Answered 2017-08-18
How should the CRM be calculated when the credit risk needs to be assessed only for a part of the assets of the PRIIP? For example if there are both individual investment holdings representing 10% or
PRIIPs
Answered 2017-08-18
What are the implications of Point 53 of Annex II, Part 3 in terms of the monitoring of data? In particular, is it necessary to calculate the MRM on a daily basis?
PRIIPs
Answered 2017-08-18
Does the categorisation of a retail investor depend on the definition in Directive 2014/65/EU?
PRIIPs
Answered 2017-08-18
When performance fees or exit costs are not applicable for a product - does the format of Table 2 Composition of costs allow that the manufacturer to mention ‘n.a.’ instead of ‘0%’ in the table?
PRIIPs
Answered 2017-08-18
Which annual cost impact is shown in table 2 (composition of costs)? For insurance-based investment products, the table shows the impact of the different types of costs on the investment return the in
PRIIPs
Answered 2017-08-18
Validation rule v4795_m, C 13.00 - Securitisations
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-08-04
V4835_m - C 19.00 column 610 calculation
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-08-04
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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