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.
8,811 Q&As matching current filters · page 140 of 177
Identification of the UCITS
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
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
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
Communication of KIID to investors
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
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
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 - 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
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
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
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
CSDs settlement assets
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR · Art. Article 40
Submitted 2026-09-21
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
Instrument on unallocated Gold according to alternative standardised approach for market risk
Regulation (EU) No 575/2013 (CRR) · Art. 325p
Submitted 2026-09-16
Spot instrument on unallocated Gold are subject to counterparty risk
Regulation (EU) No 575/2013 (CRR) · Art. 271
Submitted 2026-09-16
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
Collateral haircuts for third-country equivalent PSE-RGLA’s
Regulation (EU) No 575/2013 (CRR) · Art. 197
Submitted 2026-09-10
Applicability of the prior permission requirement under Article 26(3) CRR to investment firms subject to Regulation (EU) 2019/2033 (IFR)
Regulation (EU) No 2019/2033 (IFR) · Art. 9
Submitted 2026-09-08
Use of the EBA’s aggregated loss data for “All national markets outside the Union” for the purposes of Articles 125 and 126 CRR.
Regulation (EU) No 575/2013 (CRR) · Art. 125
Submitted 2026-08-25
Possible fraud
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR · Art. I am trying to find out if a person by the name of gabriel keller works for you think he may be fake
Submitted 2026-08-25
Treatment of the secured portion of defaulted IPRE exposures under the Standardised Approach
Regulation (EU) No 575/2013 (CRR) · Art. 124,125,126 and 127
Submitted 2026-08-21
Clarification on the use of external credit assessments when determining HQLA eligibility of assets representing a claim on a third-country central government
Regulation (EU) No 575/2013 (CRR) · Art. 10
Submitted 2026-08-17
Application of the SME supporting factor to exposures financing private purposes following CRR III
Regulation (EU) No 575/2013 (CRR) · Art. 501
Submitted 2026-08-12
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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