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.
7,005 Q&As · page 140 of 141
Treatment of UCITS with share or unit classes
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
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
Answered 2012-09-01
Clear language - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
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
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
Answered 2012-09-01
Clear language - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Identification of the UCITS
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
Answered 2011-02-25
Major shareholding notification – acquisition of a shareholder; TD Art. 9(1)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2009-10-27
Disclosure of major holdings in case of joint investors' account; TD Art. 9 and 10
Transparency Directive (TD) Directive 2004/109/EC
Answered 2009-10-27
Class by class disclosure; TD Art. 9(1)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2009-04-30
Transitional provision for deferred tax assets that rely on future profitability
Regulation (EU) No 575/2013 (CRR) · Art. 478
Submitted 2013-07-18
Definition of default in terms of days
Regulation (EU) No 575/2013 (CRR) · Art. 178
Submitted 2013-07-12
FINREP Date of initial application
Regulation (EU) No 575/2013 (CRR) · Art. 521
Submitted 2013-07-05
Definición de PYME - SME definition
Regulation (EU) No 575/2013 (CRR) · Art. 123
Submitted 2013-07-05
Credit risk mitigation techniques - independent, written and reasoned legal opinions
Regulation (EU) No 575/2013 (CRR) · Art. 194
Submitted 2013-07-04
Scope of consolidation of information collection
Directive 2013/36/EU (CRD) · Art. 75
Submitted 2013-07-03
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 48
Submitted 2013-07-03
Application of national liquidity requirements prior to binding EU requirements
Regulation (EU) No 575/2013 (CRR) · Art. 412
Submitted 2013-07-03
Definition of amounts to be reported
Directive 2013/36/EU (CRD) · Art. 75
Submitted 2013-07-03
Recognition of Additional Tier 1 and Tier 2
Regulation (EU) No 575/2013 (CRR) · Art. 92
Submitted 2013-07-03
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 484
Submitted 2013-07-03
Definition of retail and investment banking for information collection
Directive 2013/36/EU (CRD) · Art. 75
Submitted 2013-07-03
Frequency of reporting, submission dates, reference year for information collection
Directive 2013/36/EU (CRD) · Art. 75
Submitted 2013-07-03
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 484
Submitted 2013-07-03
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 489
Submitted 2013-07-03
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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