EU Financial Regulatory Q&A Database

Reporting Templates, Validations

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Validations

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates, Validations

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Validations

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

ICT risk management (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. Article 3: Definition

Oversight framework of CTPPs (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 30

ICT third-party risk management (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. Security and Data Protection Objectives Directly Applicable to CTPP

DORA037 - 2992

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. Article 11

ICT-related incidents (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. Article 21

Reporting of Settlement Rate Options

European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP

Assessment of significance for the purpose of the Error and Omission Notifications

European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP

FINREP Template F01.01

Regulation (EU) No 575/2013 (CRR) · Art. 430

Reporting of customer portfolios managed on a discretionary basis

Regulation (EU) No 575/2013 (CRR) · Art. 415

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Q&A on open interest thresholds in energy derivatives

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Article 83(1)(b) of CDR 2017/565; Article 57(1) of MiFID II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD

Risk Free Rate (RFR)

Risk-Free Interest Rate - General questions

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD · Art. Annex II

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 179; 180(2); 184(2)(d)

Scope of the ECSPR - Calculation of threshold in point (c) of Article 1(2) of ECSPR

Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 1(2) of ECSPR

Multiple offers

Regulation 2020/1503 - European crowdfunding service providers for business

Direct contributions to reserves from shareholders

Regulation (EU) No 575/2013 (CRR) · Art. 26

Risk Free Rate (RFR)

Risk-Free Interest Rate - Credit and currency adjustments · Art. Article 45 Delegated Regulations

Technical Provisions (TPs), Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Risk Free Rate (RFR)

Risk-Free Interest Rate - Deep, Liquid and Transparent maturities · Art. RER_TERM STRUCTURE

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 138

Reporting Templates, Validations

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Conditions for increasing the margin period of risk (MPOR) used for the exposure value of netting sets with margin agreements.

Regulation (EU) No 575/2013 (CRR) · Art. 285

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision, (EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. Article 1(11) and (12) of Delegated Regulation (EU) 2015/35

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision, (EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 1(35) of the Delegated Regulation 2015/35

Application of article 378 for free delivery transactions

Regulation (EU) No 575/2013 (CRR) · Art. 378

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision, (EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. Article 11 of the Delegated Regulation 2015/35

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reinsurance

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 9 and 192(6) of DR (EU) 2015/35

Insurance product information document / IPID (Art. 20 para. 7 and 8 IDD)

(EU) No 2017/1469 - standardised presentation format for the insurance product information document · Art. 20

Other DORA topics

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 2

Other DORA topics

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 3