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.
7,361 Q&As matching current filters · page 138 of 148
Which institution is responsible to provide the remuneration data if a subsidiary has been sold?
Directive 2013/36/EU (CRD) · Art. 75
Answered 2013-10-31
Local Regulations versus the CRR
Regulation (EU) No 575/2013 (CRR) · Art. 54
Answered 2013-10-31
Applicability of Own Funds Reporting Requirements to Investment Firms Out of Scope
Regulation (EU) No 575/2013 (CRR) · Art. 99
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
Answered 2013-10-31
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 483
Answered 2013-10-31
Direct / indirect funding of own shares
Regulation (EU) No 575/2013 (CRR) · Art. 28
Answered 2013-10-31
Deferral of Tier 2 coupons
Regulation (EU) No 575/2013 (CRR) · Art. 52
Answered 2013-10-31
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 486
Answered 2013-10-31
Synthetic holdings
Regulation (EU) No 575/2013 (CRR) · Art. 28, 36
Answered 2013-10-31
Applicable risk weights for agricultural properties.
Regulation (EU) No 575/2013 (CRR) · Art. 124, 125, 126
Answered 2013-08-27
Application of article 95 (2) of Regulation (EU) No 575/2013
Regulation (EU) No 575/2013 (CRR) · Art. 95
Answered 2013-08-27
FINREP application date and report submission postponement to Q3 2014
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2013-08-20
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
Answered 2013-08-05
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
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
Answered 2013-08-05
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
Answered 2013-07-11
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
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
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
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
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
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
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
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
Answered 2013-03-20
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
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
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
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
Answered 2013-03-15
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
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
Answered 2013-03-15
Covering a short sale and rolling of a repo
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
ETFs
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Delta adjusted positions in derivatives
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
GDRs and ADRs
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Net short positions - Meaning of position holder and reporting entities
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Telephone call registrations as adequate durable medium for retaining evidence
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Credit Linked Notes
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Calculation of net short positions held through derivatives on sovereign debt
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Shares pledged as collateral
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Positions in UCITS
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Futures on a basket of sovereign bonds
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Equivalence decision for third countries
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Static hedging through the holding of a sovereign bond
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Use of a sovereign CDS position to hedge different risks
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
“Publicly available information” on an index, basket of securities or ETF composition
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Use of sovereign CDS index
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Offsetting a net long position in a sovereign issuer with a net short position in another sovereign to which it is highly correlated
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Replacement trades on sovereign CDS concluded before 25 March 2012
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
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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