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 116 of 170
Application level of materiality threshold for assessing the materiality of extensions and changes to the IMA
Regulation (EU) No 575/2013 (CRR) · Art. 363
Answered 2017-01-20
Reporting of inflows for term deposits with option for early withdrawal
Regulation (EU) No 575/2013 (CRR) · Art. 425
Answered 2017-01-20
Offset of Additional Value Adjustments (“AVA”) against Expected Loss (“EL”) under Article 159
Regulation (EU) No 575/2013 (CRR) · Art. 110, 159
Answered 2017-01-20
Recognition of minorities arising from an intermediate financial holding company
Regulation (EU) No 575/2013 (CRR) · Art. 81, 84
Answered 2017-01-06
Risk weighting under the Standardised Approach for credit risk for an exposure secured by a mortgage on a residential property which is a second home (for instance, a holiday home).
Regulation (EU) No 575/2013 (CRR) · Art. 125
Answered 2017-01-06
Exposure secured by immovable property vs. secured by mortgages on immovable property
Regulation (EU) No 575/2013 (CRR) · Art. 126, 154, 164
Answered 2017-01-06
Risk weight of exposures with QCCPs
Regulation (EU) No 575/2013 (CRR) · Art. 107, 305
Answered 2017-01-06
Eligibility of unconditional Financial Letters of Credit as eligible financial collateral
Regulation (EU) No 575/2013 (CRR) · Art. 197
Answered 2017-01-06
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Applicability of ESMA’s Guidelines on Alternative Performance Measures (APMs) to prospectuses comprising documents published before and on/after 3 July 2016
Transparency Directive (TD) Directive 2004/109/EC
Answered 2016-12-20
Threshold calculation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Price of gifts, donation and inheritance
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Notification of shares received as part of remuneration package
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Communications containing purely factual information
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Identification of derivatives in investment recommendations
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Communications on previously disseminated investment recommendations
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Recommendation on derivatives traded solely outside a trading venue
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Non-EU entities above position limits
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Automated Order Router (AOR) and algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Applicability of position limits
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Position limits - net positions held by clearing members
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Does trading activity in C6 contracts which takes place on OTFs after 3 January 2018 need to be counted towards the ancillary thresholds prior to that date?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Order book - Tick size regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Authorisation for dealing in commodity derivatives
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Economically Equivalent OTC contracts
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
disclosure of cost on return
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Underwriting and placing
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
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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