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.
7,150 Q&As matching current filters · page 118 of 143
‘Indirect holdings’ in capital instruments issued by financial sector entities (CRR Article 4 paragraph 1 subparagraph 114).
Regulation (EU) No 575/2013 (CRR) · Art. 4
Answered 2016-10-28
Operational Deposits Arising From The Provision of Operational Services (Clearing, Custody and Cash Management)
Regulation (EU) No 575/2013 (CRR) · Art. 422
Answered 2016-10-28
Market Risk Netting Under Article 331 (2)
Regulation (EU) No 575/2013 (CRR) · Art. 331
Answered 2016-10-28
Application of tools
Directive 2014/59/EU (BRRD) · Art. 31
Answered 2016-10-28
Determination of exhaustion of supervisory action by the resolution authority
Directive 2014/59/EU (BRRD) · Art. 32, 82
Answered 2016-10-28
Transfer to a recipient in full under a partial transfer
Directive 2014/59/EU (BRRD) · Art. 45c
Answered 2016-10-28
Reimbursement of shareholders and creditors
Directive 2014/59/EU (BRRD) · Art. 36, 46
Answered 2016-10-28
Final valuation lower than the initial valuation
Directive 2014/59/EU (BRRD) · Art. 36
Answered 2016-10-28
Same valuer for provisional and final valuation
Directive 2014/59/EU (BRRD) · Art. 36
Answered 2016-10-28
Consistency between Early intervention measures in BRRD and CRD IV
Directive 2014/59/EU (BRRD) · Art. 27
Answered 2016-10-28
Information implicitly recommending or suggesting an investment strategy
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Main business is not to produce investment recommendations
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Communications not referring to one or several issuers
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Exchange rate
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Communications made orally or via electronic means
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Appropriate risk weight for speculative immovable property financing
Regulation (EU) No 575/2013 (CRR) · Art. 128
Answered 2016-10-21
Treatment of cases spanning more than one year in Own Funds templates (Annex I - Reporting on own funds and own funds requirements) - Six month tables
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Group Solvency report: Reporting of the columns 300 to 350 and columns 360 to 400
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Group Solvency report: The content of the column 390 “Contributions to consolidated result” of the Group Solvency report
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
F 07.00: Validation Rules v0817_m, v0818_m, v0822_m, v0823_m, v0824_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Template F 22.01: Fee and commission income and expenses by activity
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Is validation rule v3897_s correct and shall be strictly adhered to?
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Template C 09.02 (CR GB2) – Row 040 Specialised lending under the slotting criteria
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
CA3 - rows 110 and 120
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
F 09.02 & F 13.01: Maximum amount of the guarantee that can be considered
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Validation Rule v0629_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Validation Rule v2245_h
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Validation Rules: v0219_m, v0221_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
FINREP - F 09.02 Loan commitments, financial guarantees and other commitments received
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Material holdings and deferred tax below the deduction threshold
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Deferred tax assets that rely on future profitability and that arise from temporary differences
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-10-14
Translation requirements in relation to the remuneration disclosure - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-12
Impact of SFTR on UCITS - Commencement of reporting under SFTR
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-12
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-12
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Record keeping
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
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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