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 140 of 148
Clear language - KIID
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
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
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
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
Identification of the UCITS
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
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
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
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
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 - 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
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 - 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 - 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
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
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
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
Submitted 2026-10-01
DLT and book-entry form definition
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR · Art. Article 3
Submitted 2026-09-21
Integration of DLT settlement solution in CSD security settlement system
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR · Art. Article 19(1) (c) and Article 16 (4)
Submitted 2026-09-21
CSDs settlement assets
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR · Art. Article 40
Submitted 2026-09-21
Extraterritorirality of investor protection rules under MiFID II
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Submitted 2026-09-15
AAR representativeness and intragroup transactions
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 7a(3), point (d)
Submitted 2026-06-22
Definition of “Substitutability” of CCPs and the connected reporting of “Alternative Providers” for the purpose of the template Z 09.04 (RESOL II).
Directive 2014/59/EU (BRRD) · Art. 11
Submitted 2026-06-18
Impact of the new clearing obligation thresholds on the AAR scope
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
Submitted 2026-06-15
Application and interpretation of the 50% / 80% weighting of positive changes under IRRBB SOT
Directive 2013/36/EU (CRD) · Art. Commission Delegated Regulation (EU) 2024/856 (RTS on Supervisory Outlier Tests)
Submitted 2026-05-11
Geographical allocation of exposures arising from synthetic securitisations for the purposes of the Countercyclical Capital Buffer (CCB)
Directive 2013/36/EU (CRD) · Art. 140
Submitted 2026-04-14
Treatment of assets and positions of affiliates of a clearing member as proprietary assets and positions of that clearing member by CCPs
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
Submitted 2026-04-07
Where to classify Tier2 Subordinated issuances when they loss their MREL computability due to an earlier call (already announced on markets)
Directive 2014/59/EU (BRRD) · Art. Z02.00 and Z12.00
Submitted 2026-03-27
EMIR Article 7d
European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP
Submitted 2026-03-23
Personal scope of persons professionally arranging or executing transactions under MiCA
MiCA
Submitted 2026-02-12
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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