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.
8,611 Q&As matching current filters · page 117 of 173
Best Execution
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
Post-sale reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - 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
Post-sale reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - 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
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Supplementary transfers when using the sale of business tool
Directive 2014/59/EU (BRRD) · Art. 38
Answered 2016-12-16
Implementation of the exemption from bail in for “liabilities” in a fiduciary context ((Article 44(2)(d)) BRRD)
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2016-12-09
Calculation of the predetermined amount for market making purposes
Regulation (EU) No 575/2013 (CRR) · Art. 78
Answered 2016-12-09
Calculation of the ratio variable to fixed remuneration
Directive 2013/36/EU (CRD) · Art. 94
Answered 2016-12-09
General credit risk adjustment (GCRA) inclusion into Tier 2 capital
Regulation (EU) No 575/2013 (CRR) · Art. 26, 62
Answered 2016-12-09
Classification of SME/Retail Corporates as 'Retail Deposits'
Regulation (EU) No 575/2013 (CRR) · Art. 411
Answered 2016-12-09
Including in the LCR calculation deposits from this category with residual maturities longer than 30 days
Regulation (EU) No 575/2013 (CRR) · Art. 422
Answered 2016-12-09
Correct application of credit conversion factors in relation to credit substitutes and shipping guarantees
Regulation (EU) No 575/2013 (CRR) · Art. 111, Annex 1
Answered 2016-12-09
Requirements regarding „control” by the resolution authority
Directive 2014/59/EU (BRRD) · Art. 40, 42
Answered 2016-12-09
Break clauses in capital requirements and Residual maturity
Regulation (EU) No 575/2013 (CRR) · Art. 384
Answered 2016-12-09
Exclusion of intragroup transactions from own funds requirements for CVA risk
Regulation (EU) No 575/2013 (CRR) · Art. 382
Answered 2016-12-09
Calculation and Application of incurred CVA per Article 273(6)
Regulation (EU) No 575/2013 (CRR) · Art. 273
Answered 2016-12-09
EBA Benchmarking 2016
Directive 2013/36/EU (CRD) · Art. 78
Answered 2016-12-02
Exemption from bail-in of emergency liquidity assistance provided by the central bank
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2016-12-02
Coverage of further losses following bail-in
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2016-12-02
Clarification on the applicable framework for public recapitalisation
Directive 2014/59/EU (BRRD) · Art. 32
Answered 2016-12-02
Exclusion of corporate deposits
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2016-11-25
Exclusion of securities guaranteed by an independent on-demand guarantee from bail-in
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2016-11-25
Additional implementation to Article 27(1)(d)
Directive 2014/59/EU (BRRD) · Art. 28
Answered 2016-11-25
Entity in resolution and purchaser not registered in the same Member State
Directive 2014/59/EU (BRRD) · Art. 38
Answered 2016-11-25
Preparation and approval of recovery plans of institutions which are members of an IPS
Directive 2014/59/EU (BRRD) · Art. 4
Answered 2016-11-25
FINREP template F 40.01 – Group Structure Listing - Entity by Entity
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-11-25
FINREP reporting requirements
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-11-25
FINREP Template 13.2 and 13.3
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-11-25
Investment limits
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-11-21
Investment limits
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-11-21
Average daily number of transactions (ADNT)
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Data disaggregation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-11-18
Data disaggregation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-11-18
Recalculation of ADNT
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Liquidity band for instruments trading in different currencies across trading venues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Data disaggregation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-11-18
Intervention to allow smaller tick size
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
PONV write-down leaving an institution failing or likely to fail
Directive 2014/59/EU (BRRD) · Art. 59
Answered 2016-11-18
Interpretation of consolidated prudential requirements
Directive 2014/59/EU (BRRD) · Art. 59
Answered 2016-11-18
Write down of capital in BRRD and CRR / CRDIV
Directive 2014/59/EU (BRRD) · Art. 59
Answered 2016-11-18
Treatment of retail exposures secured by property under IRB
Regulation (EU) No 575/2013 (CRR) · Art. 154
Answered 2016-11-18
Netting set treatment for trades with Specific Wrong Way Risk
Regulation (EU) No 575/2013 (CRR) · Art. 291
Answered 2016-11-18
Assigning Specific Credit Risk Adjustments for a group of exposures to the exposures within the group
Regulation (EU) No 575/2013 (CRR) · Art. 24, 111
Answered 2016-11-18
Exclusion of “financial services” from the exemption from bail-in
Directive 2014/59/EU (BRRD) · Art. 44
Answered 2016-11-18
Difference between the temporary public ownership tool and the bridge bank tool
Directive 2014/59/EU (BRRD) · Art. 40
Answered 2016-11-18
Application of Article 215(2)(b) of the CRR
Regulation (EU) No 575/2013 (CRR) · Art. 215
Answered 2016-11-18
Treatment of negative accrued interests in the foreign exchange risk
Regulation (EU) No 575/2013 (CRR) · Art. 352
Answered 2016-11-11
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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