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.
8,465 Q&As matching current filters · page 112 of 170
Short positions in financial institution capital instruments
Regulation (EU) No 575/2013 (CRR) · Art. 36, 45
Answered 2017-06-30
Written Credit Derivatives Add-On MR/NR Netting
Regulation (EU) No 575/2013 (CRR) · Art. 429d
Answered 2017-06-30
CVA Standardised Method for Securities Financing Transactions (SFTs)
Regulation (EU) No 575/2013 (CRR) · Art. 384
Answered 2017-06-30
Private ownership of a bridge institution or an asset management tool
Directive 2014/59/EU (BRRD) · Art. 40, 42
Answered 2017-06-23
O-SII buffer / Capital conservation buffer application
Directive 2013/36/EU (CRD) · Art. 131, 141a
Answered 2017-06-16
Calculation of the Countercyclical Capital Buffer
Directive 2013/36/EU (CRD) · Art. 140
Answered 2017-06-16
Reporting of assets lending on an unsecured basis
Regulation (EU) No 575/2013 (CRR) · Art. 425
Answered 2017-06-16
Appropriateness Complex Financial Instruments
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-06-06
Access to CSDs
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-06-02
Assignment of MICs to APAs
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Commission Delegated Regulation (EU) 2017/587 (RTS 1) and Regulation 2017/583 (RTS 2)
Answered 2017-05-31
“Continuous” assessment and monitoring of market and credit risk in Article 17(2) of RTS 6
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-05-31
Calculation of the “current volume weighted spread reflected in the order book” for negotiated transactions
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-05-31
Blanket cancellation of orders policy
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-05-30
AVA calculation and tax effects
Regulation (EU) No 575/2013 (CRR) · Art. 8, 34
Answered 2017-05-25
Impact of EMIR on UCITS - Exemption for intra-group transactions under EMIR
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2017-05-24
Outflows associated with Payment Institutions' escrow accounts
Regulation (EU) No 575/2013 (CRR) · Art. 422, 460
Answered 2017-05-12
Market risk capital requirement for CIUs where a look-through approach is applied
Regulation (EU) No 575/2013 (CRR) · Art. 350
Answered 2017-05-12
Valuation of immovable property performed by statistical model
Regulation (EU) No 575/2013 (CRR) · Art. 208, 229
Answered 2017-05-12
Definition of "managerial (internal business) purposes" in terms of re-developed IRB model application.
Regulation (EU) No 575/2013 (CRR) · Art. 179
Answered 2017-05-12
Implementation of default definition - retail portfolio
Regulation (EU) No 575/2013 (CRR) · Art. 178
Answered 2017-05-12
Own estimates of CCF in the retail exposure class
Regulation (EU) No 575/2013 (CRR) · Art. 159, 166, 166
Answered 2017-05-05
Deduction from CET1 of significant holdings in financial sector entities (FSE) and protection acquired to limit downside investment exposure
Regulation (EU) No 575/2013 (CRR) · Art. 36
Answered 2017-04-21
Basis of risk exposures to take in consderation for calculation of the countercyclical buffer (CcyB)
Directive 2013/36/EU (CRD) · Art. 130, 140
Answered 2017-04-21
Cross-Product Netting
Regulation (EU) No 575/2013 (CRR) · Art. 429c
Answered 2017-04-21
Risk weighting attributed to gold bullion coins
Regulation (EU) No 575/2013 (CRR) · Art. 134
Answered 2017-04-21
Other items
Regulation (EU) No 575/2013 (CRR) · Art. 134
Answered 2017-04-21
C 12.00 - v0519_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Validation rule v1384_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Validation rule on Leverage ratio templates - v4462_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Hedging derivatives
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Repurchase Agreements in template F 08.01 versus assets encumbered in template F 15.00 – EBA validation v0912_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
FinRep validation rules v3079_m and v3080_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Own Credit Spread
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Exposures towards QCCPs under CRR Art. 306(c) under standardised method
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Template C 47.00, rows 270 and 280 (Validation rule v4452_s) – treatment of Cash Flow Hedge reserves
Regulation (EU) No 575/2013 (CRR) · Art. 430
Answered 2017-04-07
Thresholds for Common Equity Tier 1
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
v2819_m - Cross-check between FINREP and Asset Encumbrance
Regulation (EU) No 575/2013 (CRR) · Art. 99, 100
Answered 2017-04-07
Treatment of CCP Default fund contributions in Leverage Ratio reports
Regulation (EU) No 575/2013 (CRR) · Art. 430
Answered 2017-04-07
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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