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 119 of 173
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
Record keeping
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
Underwriting and placing
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - 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
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 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
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 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
Inducements
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
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Retail exposures above EUR 1m - definition and understanding
Regulation (EU) No 575/2013 (CRR) · Art. 123
Answered 2016-10-07
Calculation of the threshold for applying the Simplified approach for Additional Valuation Adjustment (AVA).
Regulation (EU) No 575/2013 (CRR) · Art. 105
Answered 2016-10-07
Mid-month reports
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-10-03
Application of the double volume mechanism to newly issued instruments
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-10-03
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
Regulated markets under the UCITS Directive
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management - Issuer concentration
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management - short-term MMF
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management EPM OTC EMIR
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
Use of financing arrangement for covering the gap between transferred assets and liabilities in case of application of the sale of business tool
Directive 2014/59/EU (BRRD) · Art. 101
Answered 2016-09-30
Liquid assets valuation in case of hedging with collateralized derivatives.
Regulation (EU) No 575/2013 (CRR) · Art. 418
Answered 2016-09-23
Exemption from cap of inflows per Article 33 (1) of the Commission Delegated Act 2015/61
Regulation (EU) No 575/2013 (CRR) · Art. 425
Answered 2016-09-23
Definition of a 'Deposit Broker'
Regulation (EU) No 575/2013 (CRR) · Art. 422
Answered 2016-09-23
Treatment of decreases of impairments in the calculation of the exposure value
Regulation (EU) No 575/2013 (CRR) · Art. 110, 111
Answered 2016-09-23
Extending the range of application system.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-09-23
857
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35
Answered 2016-09-19
Splitting exposures
Regulation (EU) No 575/2013 (CRR) · Art. 112, 147
Answered 2016-09-09
Information on performing and non-performing exposures
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-09-09
Validation rule v4421_s does not comply with validation rules v4117_m, v4118_m, v4119_m, v4120_m as it implies a negative sign for maturing long term funding
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-09-09
Funding plan for credit institutions: meaning of "maturing gros outflow"
Regulation (EU) No 575/2013 (CRR) · Art. 4 99
Answered 2016-09-09
Reporting of template C017.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-09-09
Validation error in CA4 (v3688_s)
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-09-09
Validation v1740_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2016-09-09
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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