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.

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8,822 Q&As matching current filters · page 138 of 177

Operational risk

Regulation (EU) No 575/2013 (CRR) · Art. Art 95

EBA Final Q&A

Answered 2013-11-08

Artikel 115 (3) Zuordnung von Religiongemeinschaften zu Forderungsklasse/ Attribution of religious communities to an exposure class

Regulation (EU) No 575/2013 (CRR) · Art. 115

EBA Final Q&A

Answered 2013-11-08

Use of Core Market Participants Rule

Regulation (EU) No 575/2013 (CRR) · Art. 227

EBA Final Q&A

Answered 2013-11-08

Notifications of agents and subagents of credit institutions in the European Economic Area (EEA)

Directive 2013/36/EU (CRD) · Art. 35

EBA Final Q&A

Answered 2013-11-08

FINREP: Requirement to submit financial information

Regulation (EU) No 575/2013 (CRR) · Art. 99 reporting own funds / financial information

EBA Final Q&A

Answered 2013-10-31

Immovable property risk weights under the standardised approach (commercial)

Regulation (EU) No 575/2013 (CRR) · Art. 126

EBA Final Q&A

Answered 2013-10-31

Immovable property risk weights under the standardised approach (residential)

Regulation (EU) No 575/2013 (CRR) · Art. Article 124

EBA Final Q&A

Answered 2013-10-31

Treatment of Upper Tier 2 instruments under CRR

Regulation (EU) No 575/2013 (CRR) · Art. 62, 63

EBA Final Q&A

Answered 2013-10-31

Applicability of the re-securitisation definition to securitisation positions being subject to tranched credit protection according to Article 264(1) of Regulation (EU) No 575/2013 (CRR)

Regulation (EU) No 575/2013 (CRR) · Art. 249

EBA Final Q&A

Answered 2013-10-31

Which institution is responsible to provide the remuneration data if a subsidiary has been sold?

Directive 2013/36/EU (CRD) · Art. 75

EBA Final Q&A

Answered 2013-10-31

Preferential risk weight of covered bonds containing securitisation positions of sovereign exposures as cover pool assets

Regulation (EU) No 575/2013 (CRR) · Art. 129

EBA Final Q&A

Answered 2013-10-31

Applicability of Own Funds Reporting Requirements to Investment Firms Out of Scope

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2013-10-31

Local Regulations versus the CRR

Regulation (EU) No 575/2013 (CRR) · Art. 54

EBA Final Q&A

Answered 2013-10-31

Application of the Discretion outlined in Article 99 (6) of the CRR to non-IFRS institutions

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2013-10-31

Synthetic holdings

Regulation (EU) No 575/2013 (CRR) · Art. 28, 36

EBA Final Q&A

Answered 2013-10-31

Deferral of Tier 2 coupons

Regulation (EU) No 575/2013 (CRR) · Art. 52

EBA Final Q&A

Answered 2013-10-31

Grandfathering of own funds instruments

Regulation (EU) No 575/2013 (CRR) · Art. 486

EBA Final Q&A

Answered 2013-10-31

Grandfathering of own funds instruments

Regulation (EU) No 575/2013 (CRR) · Art. 483

EBA Final Q&A

Answered 2013-10-31

Direct / indirect funding of own shares

Regulation (EU) No 575/2013 (CRR) · Art. 28

EBA Final Q&A

Answered 2013-10-31

Application of article 95 (2) of Regulation (EU) No 575/2013

Regulation (EU) No 575/2013 (CRR) · Art. 95

EBA Final Q&A

Answered 2013-08-27

Applicable risk weights for agricultural properties.

Regulation (EU) No 575/2013 (CRR) · Art. 124, 125, 126

EBA Final Q&A

Answered 2013-08-27

FINREP application date and report submission postponement to Q3 2014

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2013-08-20

Allocation of additional resources (old CCP question 15 dated 5/08/2013)

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 35 RTS on CCPs - old CCP question 15 dated 5/08/2013

ESMA Answer Published

Answered 2013-08-05

Definitions (old CCP question 14 dated 5/08/2013)

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 2 of EMIR - old CCP question 14 dated 5/08/2013

ESMA Answer Published

Answered 2013-08-05

Article 47 of EMIR – Deposit of financial instruments

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 47 of EMIR - old CCP question 4 dated 5/08/2013

ESMA Answer Published

Answered 2013-08-05

ESMA’s guidelines on ETFs and other UCITS issues - Information to be inserted in the prospectus UCITS

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-07-11

ESMA’s guidelines on ETFs and other UCITS issues - Information to be inserted in the prospectus

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-07-11

ESMA’s guidelines on ETFs and other UCITS issues - Secondary market

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-07-11

ESMA’s guidelines on ETFs and other UCITS issues - Secondary market

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-07-11

Capital (old CCP question 7 dated 4/06/2013)

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 16 of EMIR - old CCP question 7 dated 4/06/2013

ESMA Answer Published

Answered 2013-06-04

Outsourcing (old CCP question 10 dated 4/06/2013)

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 14 of EMIR - old CCP question 10 dated 4/06/2013

ESMA Answer Published

Answered 2013-06-04

Review of models, Stress-testing and back-testing (old CCP question 5 dated 20/03/2013)

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 49 of EMIR - old CCP question 5 dated 20/03/2013

ESMA Answer Published

Answered 2013-03-20

Most relevant currencies for the determination of participation in a college (old CCP question 2 dated 20/03/2013)

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 18 of EMIR - old CCP question 1 dated 20/03/2013

ESMA Answer Published

Answered 2013-03-20

Most relevant currencies for the determination of participation in a college

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 18 of EMIR - old CCP question 1 dated 20/03/2013

ESMA Answer Published

Answered 2013-03-20

KIID Transitional provisions

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

ESMA’s guidelines on ETFs and other UCITS issues - Efficient portfolio management techniques

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

ESMA’s guidelines on ETFs and other UCITS issues - Efficient portfolio management techniques

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

ESMA’s guidelines on ETFs and other UCITS issues - UCITS ETF label

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

KIID Transitional provisions

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

KIID Transitional provisions

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

KIID Transitional provisions

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

ESMA’s guidelines on ETFs and other UCITS issues - Efficient portfolio management techniques

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

ESMA Answer Published

Answered 2013-03-15

Meaning of debt instruments issued by a sovereign issuer

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

Shares pledged as collateral

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

ETFs

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

GDRs and ADRs

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

Net short positions - Meaning of position holder and reporting entities

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

Credit Linked Notes

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

Calculation of net short positions held through derivatives on sovereign debt

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

Delta adjusted positions in derivatives

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

ESMA Answer Published

Answered 2013-01-29

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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