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.

EBA 4,405 ESMA 1,526 EIOPA 2,635 Joint Committee 256

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8,822 Q&As matching current filters · page 140 of 177

Late submissions of notifications, cancellations or modifications of net short positions

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

ESMA Answer Published

Answered 2012-09-13

Publication of late submission of disclosable net short positions

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

ESMA Answer Published

Answered 2012-09-13

EU Sovereign CDS trades booked outside the EU

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

ESMA Answer Published

Answered 2012-09-13

Late publication of a timely submission of a disclosable net short position

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

ESMA Answer Published

Answered 2012-09-13

Covering a short sale with an agreement entered into by another legal entity of the same group

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

ESMA Answer Published

Answered 2012-09-13

Shares - Restriction on uncovered short sales in shares and instruments giving claims to as yet unissued shares (subscription rights, convertible bonds)

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

ESMA Answer Published

Answered 2012-09-13

Sovereign debt securities in foreign currency

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

ESMA Answer Published

Answered 2012-09-13

Third country branches

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

ESMA Answer Published

Answered 2012-09-13

Sovereign debt - Market operators considered as third parties with whom arrangements can be made

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

ESMA Answer Published

Answered 2012-09-13

Shares received under a bonus share issue or a share dividend distribution

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

ESMA Answer Published

Answered 2012-09-13

Treatment of UCITS with share or unit classes

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

ESMA Answer Published

Answered 2012-09-01

Clear language - KIID

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

ESMA Answer Published

Answered 2012-09-01

Clear language - KIID

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

ESMA Answer Published

Answered 2012-09-01

Preparation of KIID by UCITS that are no longer marketed to the public or by UCITS in liquidation

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

ESMA Answer Published

Answered 2012-09-01

Preparation of KIID by UCITS that are no longer marketed to the public or by UCITS in liquidation

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

ESMA Answer Published

Answered 2012-09-01

Communication of KIID to investors

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

ESMA Answer Published

Answered 2012-09-01

Communication of KIID to investors

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

ESMA Answer Published

Answered 2012-09-01

Communication of KIID to investors

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

ESMA Answer Published

Answered 2012-09-01

Communication of KIID to investors

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

ESMA Answer Published

Answered 2012-09-01

Preparation of KIID by UCITS that are no longer marketed to the public or by UCITS in liquidation

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

ESMA Answer Published

Answered 2012-09-01

Identification of the UCITS

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

ESMA Answer Published

Answered 2012-09-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Fund of funds

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Concentration rules

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Disclosure of leverage

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Disclosure of leverage

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Hedging strategies

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Hedging strategies

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

ESMA Answer Published

Answered 2012-07-01

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Hedging strategies

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Notification of UCITS and UCITS management companies; exchange of information between competent authorities

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

ESMA Answer Published

Answered 2012-07-01

Designation of an agent for the exercise of financial rights; TD Art. 17 and 18

Transparency Directive (TD) Directive 2004/109/EC

ESMA Answer Published

Answered 2011-02-25

Disclosure of major holdings in case of joint investors' account; TD Art. 9 and 10

Transparency Directive (TD) Directive 2004/109/EC

ESMA Answer Published

Answered 2009-10-27

Major shareholding notification – acquisition of a shareholder; TD Art. 9(1)

Transparency Directive (TD) Directive 2004/109/EC

ESMA Answer Published

Answered 2009-10-27

Class by class disclosure; TD Art. 9(1)

Transparency Directive (TD) Directive 2004/109/EC

ESMA Answer Published

Answered 2009-04-30

AAR representativeness obligation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs

ESMA Question Published

Submitted 2026-10-08

AAR thresholds caclulation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs

ESMA Question Published

Submitted 2026-10-08

AAR 85% exemption

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs

ESMA Question Published

Submitted 2026-10-08

Technical roles of non-EU group entities in transaction signing and signing policies

MiCA · Art. Article 3(1), points (15) and (17); Articles 59, 70, 72 and 75 (9); ESMA Opinion on broker models

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2026-10-02

Transient exposure of EU client crypto-assets in a non-EU hot wallet during deposits, withdrawals and settlement

MiCA · Art. MiCA Article 3(1), points (15) and (17); Articls 59; Article 70(1); Article 75(9); Commission Delegated Regulation (EU) 2025/303; ESMA Opinion on broker models paragraph 8 and footnote 10; ESMA Q&A 2608

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2026-10-01

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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