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 142 of 148
Liabilities related to the reserve of assets managed by issuers of asset-referenced tokens in case of resolution of the issuer
Regulation (EU) No 2023/1114 (MiCAR) · Art. 36
Submitted 2024-04-26
Provision of external payroll accounting services to an employer
Directive 2015/2366/EU (PSD2) · Art. 4
Submitted 2024-04-23
Capital requirements and Investment policy - Articles 47 and 46 of CSDR
Regulation (EU) No 909/2014 (CSDR) - only RTS 2017/390 · Art. 47
Submitted 2024-04-08
Legal requirement for ASPSPs to provide for cancellation of future dated pay-ments through its dedicated payment initiation services interface
Directive 2015/2366/EU (PSD2) · Art. 66
Submitted 2024-02-22
Template C90 at consolidated level
Regulation (EU) No 575/2013 (CRR) · Art. 325a
Submitted 2024-02-16
Update of the client codes
European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP
Submitted 2024-02-02
Reporting of a Counterparty falling within scope of Article 1(4)(a) and (b) of EMIR
European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP
Submitted 2024-02-02
Subsidiaries
European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP
Submitted 2024-02-02
Portability of Schedules
European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP
Submitted 2024-02-02
Optionality of certain payer information required to accompany transfers of funds
Regulation (EU) 2015/847 (WTR) (recast) · Art. 4
Submitted 2024-01-17
Risk retention
Regulation (EU) No 2017/2402 (SecReg) · Art. 6
Submitted 2023-10-13
Fees charged to CCPs in relation to access to trading venues
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Submitted 2023-10-13
Sanctions regime of International Investment Bank
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
Submitted 2023-10-03
Combining exemptions
Prospectus Regulation 2017/1129
Submitted 2023-09-19
Article 3(1)(x) – Definition of unsolicited credit ratings (ESMA33-5-87 Q&A 9)
Credit Rating Agencies Regulation (CRAR) Regulation (EC) No 1060/2009
Submitted 2023-07-17
Which annexes to the Commission Delegated Regulation (EU) 2019/980, i.e. Annex 3 and Annex 12 or Annex 1 and Annex 11, should be used to prepare the simplified prospectus referred to in Article 14 of the Prospectus Regulation in the case specified in Arti
Prospectus Regulation 2017/1129 · Art. Article 14(1)d of the Prospectus Regulation
Submitted 2023-07-14
CVA treatment of exposures arising from centrally cleared transactions - indirect clearing flows
Regulation (EU) No 575/2013 (CRR) · Art. 305, 382
Submitted 2023-07-14
Q&A on cross orders in non-equity instruments below LIS
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Submitted 2023-07-05
Fees charged to CCPs in relation to access to trading venues
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Submitted 2023-05-30
Fees charged to CCPs in relation to access to trading venues
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Submitted 2023-05-30
Fees charged to CCPs in relation to access to trading venues
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Submitted 2023-05-30
Relevant Authorities
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
Submitted 2023-05-11
Information to be included into insider list of the issuer on persons that are subject to independent obligation to manage insider list (e.g. advisors and consultants)
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity · Art. Article 18(1) of MAR
Submitted 2023-04-19
Capital requirements
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
Submitted 2023-04-14
Subscription rights
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
Submitted 2023-04-13
MiCA Services
MiCA
Submitted 2023-04-11
Interplay between Articles 49(3) and 72e(5) of the CRR
Regulation (EU) No 575/2013 (CRR) · Art. 49 and 72e
Submitted 2023-03-30
Scope of Article 22(1) CRR
Regulation (EU) No 575/2013 (CRR) · Art. 22
Submitted 2023-03-30
he contribution to the euro short-term rate (€STR) ESMA70-145-114 Q&A_4.2
Benchmarks Regulation (BMR) - Regulation 2016/1011
Submitted 2023-03-29
Application of the Regulation to EU and third country central banks (Q&A 4.1 of ESMA70-145-114_BMR_Q&A)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Submitted 2023-03-28
UCITS risk spreading rules
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Submitted 2023-03-28
Back-to-Back in regulatory threshold
Regulation (EU) No 575/2013 (CRR) · Art. 325a
Submitted 2023-03-12
Retention obligations
Regulation (EU) No 2017/2402 (SecReg) · Art. 6
Submitted 2023-03-09
Recognition of minority interest of a subsidiary subject to own funds requirements on individual level
Regulation (EU) No 575/2013 (CRR) · Art. 84, 85, 87
Submitted 2023-02-09
SRT test in securitisations
Regulation (EU) No 575/2013 (CRR) · Art. 244 and 245
Submitted 2022-12-30
Exemption of exposures to public sector entities
Regulation (EU) No 575/2013 (CRR) · Art. 429a
Submitted 2022-10-28
Approach to determining indirect ownership control powers under the legal definition of a beneficial owner.
Directive (EU) 2015/849 (AMLD) · Art. 3
Submitted 2022-10-27
Treatment of multi-seller securitisations in CRR
Regulation (EU) No 575/2013 (CRR) · Art. 244 and 268
Submitted 2022-06-22
Scope of Prudential consolidation
Regulation (EU) No 575/2013 (CRR) · Art. 22
Submitted 2022-05-17
EAD value for CVA calculation
Regulation (EU) No 575/2013 (CRR) · Art. 384
Submitted 2022-03-23
Calculation of a Prudent Value in combination with CET1-Deduction according to article 89 and 90 CRR
Regulation (EU) No 575/2013 (CRR) · Art. 105
Submitted 2022-03-11
Exposure class for fair value changes of the hedged items in portfolio hedge of interest rate risk
Regulation (EU) No 575/2013 (CRR) · Art. 112
Submitted 2022-02-11
Calculation of the CET1 deduction for non-performing exposures (NPEs)
Regulation (EU) No 575/2013 (CRR) · Art. 36 (1) m, 47a-c and 469a CRR
Submitted 2022-02-02
Disclosures Relating to Trading and Non-Trading Book Clients
Regulation (EU) No 2019/2033 (IFR) · Art. Annex II Reporting for Investment Firms Other Than Small and Non-Interconnected
Submitted 2021-12-16
Application of Article 22 CRR for (mixed) financial holding companies in light of the approval procedure under Article 21a CRD
Regulation (EU) No 575/2013 (CRR) · Art. 22
Submitted 2021-11-19
Annex 3: Underlying Exposures - Commercial Real Estate - Sponsor
Securitisation Regulation (EU) 2017/2402
Submitted 2021-11-15
Scope of prudential consolidation
Regulation (EU) No 575/2013 (CRR) · Art. 22
Submitted 2021-11-11
Application of strong customer authentication (SCA) where Account Information Service users access the Account Information Service Providers’ (AISPs) own channels and the previously retrieved payment account information compiled and stored therein
Directive 2015/2366/EU (PSD2) · Art. 97
Submitted 2021-10-20
Definition of long/short derivative positions
Regulation (EU) No 575/2013 (CRR) · Art. 273a
Submitted 2021-10-14
Relevance of a person association's purpose for SME supporting factor application
Regulation (EU) No 575/2013 (CRR) · Art. 501
Submitted 2021-09-20
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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