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.
7,150 Q&As matching current filters · page 143 of 143
Definition of parent undertaking for the purposes of CRR
Regulation (EU) No 575/2013 (CRR) · Art. 4
Submitted 2021-07-09
Deduction of software assets from Common Equity Tier 1 capital (hereinafter CET1) for investment firms of Class 2 and Class 3
Regulation (EU) No 575/2013 (CRR) · Art. 36
Submitted 2021-07-07
Legitimacy of the suspension of the accounts of one or more users by the owner of a digital platform, upon request of an obliged entity, due to suspicious transactions executed on the digital platform.
Directive (EU) 2015/849 (AMLD) · Art. 35
Submitted 2021-06-23
Specific Wrong-Way risk (SWWR) – Identification and treatment with respect to transactions referencing a basket of names or an index
Regulation (EU) No 575/2013 (CRR) · Art. 291
Submitted 2021-06-22
Exemption from and alternatives to deduction from Common Equity Tier 1 items
Regulation (EU) No 575/2013 (CRR) · Art. 46, 48
Submitted 2021-05-28
Arrears Breakdown and Number Of Days In Arrears fields
Securitisation Regulation (EU) 2017/2402
Submitted 2021-05-28
treatment of uncommitted facilities / limits
Regulation (EU) No 575/2013 (CRR) · Art. 166
Submitted 2021-05-02
Treatment of committed facilities with unadvised limits
Regulation (EU) No 575/2013 (CRR) · Art. 166
Submitted 2021-05-02
Point in time when facility or limit is considered to be a commitment
Regulation (EU) No 575/2013 (CRR) · Art. 166
Submitted 2021-05-02
Electronic Identification Process
Directive (EU) 2015/849 (AMLD) · Art. 13
Submitted 2021-02-09
Definition of subsidiary for the purposes of the CRR
Regulation (EU) No 575/2013 (CRR) · Art. 4
Submitted 2020-10-22
Determination of a default risk-free discount factor
Regulation (EU) No 575/2013 (CRR) · Art. 132c
Submitted 2020-09-24
Benificial Owner in chain of controlle constilations involving nominee shareholders
Directive (EU) 2015/849 (AMLD) · Art. 3
Submitted 2020-09-15
Regarding payments between PSPs
Regulation (EU) 2015/847 (WTR) (recast) · Art. 2
Submitted 2020-08-24
Institution responsible for compliance with the requirements on a consolidated basis in a horizontally consolidated group
Regulation (EU) No 575/2013 (CRR) · Art. 18
Submitted 2020-08-13
Mapping to exposure classes
Regulation (EU) No 575/2013 (CRR) · Art. 112
Submitted 2020-07-25
Record Retention - Struck Off Obliged Entities
Directive (EU) 2015/849 (AMLD) · Art. 40, 42
Submitted 2020-07-10
Scope and application of the RTS on implementation of group wide AML/CFT policies in third countries
Directive (EU) 2015/849 (AMLD) · Art. 45
Submitted 2020-07-02
Definition of a financial institution as regards the application of the Delegated Regulation
Directive (EU) 2015/849 (AMLD) · Art. Article 45
Submitted 2020-06-17
Definition of qualifying holding according to Article 4 (1) 36 CRR2
Regulation (EU) No 575/2013 (CRR) · Art. 4
Submitted 2020-06-05
Implementation of this article for subsidiaries that do not belong to the same resolution group as the EU parent institution.
Regulation (EU) No 575/2013 (CRR) · Art. 72e
Submitted 2020-01-27
Supervisory disclosure in relation to transferred credit risk
Directive 2013/36/EU (CRD) · Art. 144
Submitted 2020-01-24
Treatment of unfunded default fund contributions.
Regulation (EU) No 575/2013 (CRR) · Art. Articel 429
Submitted 2020-01-06
Off balance sheet items in scope of the credit risk framework
Regulation (EU) No 575/2013 (CRR) · Art. 5
Submitted 2019-10-24
Eligibility of convertible instruments as financial collateral
Regulation (EU) No 575/2013 (CRR) · Art. 197
Submitted 2019-02-04
Treatment of CIUs in internal model for market risk – partial use
Regulation (EU) No 575/2013 (CRR) · Art. 350
Submitted 2018-11-20
MTF operator being a member/participant of its own MTF
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Submitted 2017-01-31
Position limits and short positions
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Submitted 2016-12-19
Investment advice on an independent basis
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Submitted 2016-10-10
Treatment of exposures to non-EU equivalent investment firms, non-EU equivalent credit institutions and non-EU equivalent exchanges.
Regulation (EU) No 575/2013 (CRR) · Art. 107
Submitted 2016-05-19
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
Definición de PYME - SME definition
Regulation (EU) No 575/2013 (CRR) · Art. 123
Submitted 2013-07-05
FINREP Date of initial application
Regulation (EU) No 575/2013 (CRR) · Art. 521
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
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 48
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. 484
Submitted 2013-07-03
Recognition of Additional Tier 1 and Tier 2
Regulation (EU) No 575/2013 (CRR) · Art. 92
Submitted 2013-07-03
Application of requirements on a sub-consolidated basis
Regulation (EU) No 575/2013 (CRR) · Art. 11
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
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 489
Submitted 2013-07-03
Scope of consolidation of 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
Definition of retail and investment banking for information collection
Directive 2013/36/EU (CRD) · Art. 75
Submitted 2013-07-03
Definition of amounts to be reported
Directive 2013/36/EU (CRD) · Art. 75
Submitted 2013-07-03
Grandfathering of own funds instruments
Regulation (EU) No 575/2013 (CRR) · Art. 483
Submitted 2013-07-03
In the process related to the intragroup exemption from the exchange of collateral, where a counterparty is a financial counterparty and the other counterparty is a non-financial counterparty and they
EMIR
Intragroup transactions can be exempt “totally or partially” from the requirement related to the exchange of collateral for OTC derivatives contracts not cleared by a CCP. What is the scope of this pa
EMIR
Does the exemption in Article 30 Commission Delegated Regulation (EU) 2016/2251 (RTS 2016/2251) of the margin rules concerning OTC derivatives concluded in connection with covered bonds apply where th
EMIR
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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