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 113 of 148
Inconsistent validation rules of asset encumbrance templates (F 32.01, F 32.04, F 36.01)
Regulation (EU) No 575/2013 (CRR) · Art. 100
Answered 2017-04-07
Reporting of cash collaterals included in repurchase agreements in F 08.01
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Reporting of % values in LE reports
Regulation (EU) No 575/2013 (CRR) · Art. 394
Answered 2017-04-07
Classification of institution in LR5
Regulation (EU) No 575/2013 (CRR) · Art. 430
Answered 2017-04-07
Derivatives not shown in the Balance Sheet and Derivates shown as Liabilities
Regulation (EU) No 575/2013 (CRR) · Art. 430
Answered 2017-04-07
Reference period for items reported on a cumulative basis
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2017-04-07
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Best Execution
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2017-04-04
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-04-04
Organized Trading facilities OTFs - Difference with MTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Direct Electronic Access (DEA) and algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs -
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Field 23 – Seniority of the Bond
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-04-03
Systematic internaliser
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
DEA users - HFT technique
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
High-Frequency Trading (HFT) technique - Identification and authorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Replay functionality of surveillance systems
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Algorithmic trading - OTC trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Business Case: Inflation Indexed bond
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-04-03
Transparency - Trading venues
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs - Liquidity of sovereign debt instruments
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Transparency - OTC transactions reported to APA - outsourcing post-transparency reporting requirement
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 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-04-03
Transparency - pre-trade quote publication and ISIN
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-04-03
Additional national requirements
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-03-31
Netting of Exposures arising from CIUs
Regulation (EU) No 575/2013 (CRR) · Art. 348, 350
Answered 2017-03-31
Gross-up calls on Tier 2
Regulation (EU) No 575/2013 (CRR) · Art. 63
Answered 2017-03-31
Treatment of negative accrued interests in the credit risk
Regulation (EU) No 575/2013 (CRR) · Art. 34, 105, 111
Answered 2017-03-31
Definition of low default portfolios for 2017 supervisory benchmarking exercise: Missing Portfolio ID for exposures assigned to both the exposure class ‘institutions’ and to the sector of counterparty ‘general governments’
Directive 2013/36/EU (CRD) · Art. 78
Answered 2017-03-24
Annex VI, template C 108.00, Definition of P&L
Directive 2013/36/EU (CRD) · Art. 78
Answered 2017-03-24
Use ‘AND’ or ‘OR’ rule to identify the exposure of the individual counterparties?
Directive 2013/36/EU (CRD) · Art. 78
Answered 2017-03-24
Clarification on the exclusion of calculation of credit spread portfolio in cases where only approval for general risk of debt instruments is granted
Directive 2013/36/EU (CRD) · Art. 78
Answered 2017-03-24
Clarification on Type of Facility to be used for Template C 102.00
Directive 2013/36/EU (CRD) · Art. 78
Answered 2017-03-24
Collateral value
Directive 2013/36/EU (CRD) · Art. 78
Answered 2017-03-24
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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