EU Financial Regulatory Q&A Database

near miss

Regulation (EU) No 575/2013 (CRR) · Art. Revision to the principles for sound management of operational risk

Reporting of significant currencies (> 5%) according to Article 415 (2) (a) CRR

Regulation (EU) No 575/2013 (CRR) · Art. 430

Relevant Authorities

Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)

Other assets/liabilities in the context of NSFR templates (C 80.00 and C 81.00)

Regulation (EU) No 575/2013 (CRR) · Art. 430

EBA VR Taxo v3.2.1, Validation rule v11909_m to v11961_m; and v7820_m; v7821_m

Regulation (EU) No 575/2013 (CRR) · Art. 430

Consideration of default dependencies for MoC C quantification

Regulation (EU) No 575/2013 (CRR) · Art. 179

Capital instruments eligible as Tier 2 Capital

Regulation (EU) No 575/2013 (CRR) · Art. 63

Boundary between the banking book and the trading book

Regulation (EU) No 575/2013 (CRR) · Art. 102

Reporting of marginal deposit facility amounts (overnight deposits with the central bank) in templates C72 and C74.

Regulation (EU) No 575/2013 (CRR) · Art. 460

Assessing the level of concentration, measures and indicators

Directive 2013/36/EU (CRD) · Art. 81

Algorithm to calculate the TOP Institution (resp. Shadow Banking) te report in C27 of Large Exposure Report

Regulation (EU) No 575/2013 (CRR) · Art. 394

Explanation regarding the term "non-reducible"

Regulation (EU) No 575/2013 (CRR) · Art. 212

Reporting of deposit facility (overnight deposits with the central bank) in template C_66.01

Regulation (EU) No 575/2013 (CRR) · Art. 430

C_81.00 ASF from capital items and instruments - Tier 2

Regulation (EU) No 575/2013 (CRR) · Art. 428i

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

Securities lent under sale accounting (C40 and C43 treatment)

Regulation (EU) No 575/2013 (CRR) · Art. 429e

Definition of “institution” under Article 148(5) CRR for equity exposures for the use of IRB approach

Regulation (EU) No 575/2013 (CRR) · Art. 148

Capital requirements

Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)

Subscription rights

Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)

Reporting of Template C_67.00 including Concentration of Funding by Counterparty.

Regulation (EU) No 575/2013 (CRR) · Art. Article 4(1) of Regulation (EU) No 575/2013

Clarification on treatment of repurchase agreements and reverse repurchase agreement, as well as securities lending/borrowing of the banking book and of the trading book under the counterparty credit risk and the treatment of these same transactions under standardised approach of credit risk.

Regulation (EU) No 575/2013 (CRR) · Art. '271', '92' and '111'

MiCA Services

MiCA

Collateral swaps where the borrowed and lent collaterals are in different currencies

Regulation (EU) No 575/2013 (CRR) · Art. 415

Can the reported amount in C76.00 r091, c010 be a negative value?

Regulation (EU) No 575/2013 (CRR) · Art. 416

Negative Goodwill

Directive 2013/36/EU (CRD) · Art. 80

Regular buy and sell activity between ALM/Treasury departments and internal market making desks (Trading Book)

Regulation (EU) No 575/2013 (CRR) · Art. 104a

Interplay between Articles 49(3) and 72e(5) of the CRR

Regulation (EU) No 575/2013 (CRR) · Art. 49 and 72e

Scope of Article 22(1) CRR

Regulation (EU) No 575/2013 (CRR) · Art. 22

ASF carrying amount of hedge accounted fixed rate debt securities

Regulation (EU) No 575/2013 (CRR) · Art. 428c

he contribution to the euro short-term rate (€STR) ESMA70-145-114 Q&A_4.2

Benchmarks Regulation (BMR) - Regulation 2016/1011

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

UCITS risk spreading rules

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Definition of residential property

Regulation (EU) No 575/2013 (CRR) · Art. 4

QUALIFICATION OF INTERNAL TRANSACTIONS AS "STRUCTURAL"

Regulation (EU) No 575/2013 (CRR) · Art. 352

QUALIFICATION OF INVESTMENT IN FOREIGN TRADING SUBSIDIARY

Regulation (EU) No 575/2013 (CRR) · Art. 352

EGDQ 0364A: Misunderstanding about ITS information in column C80

Regulation (EU) No 575/2013 (CRR) · Art. 242

Population of Current Market Values for SFTs which are subject to exposure calculations under Chapter 4

Regulation (EU) No 575/2013 (CRR) · Art. 430

Incorrect validation rules related to Funding Plan

Regulation (EU) No 575/2013 (CRR) · Art. 430

Eligibility of communication by AISPs with ASPSP throughout interface used for authentication and communication with the ASPSP's payment services users in case of ASPSP’s exemption from the fall back mechanism

Directive 2015/2366/EU (PSD2) · Art. 98

Validation error v4390_s

Regulation (EU) No 575/2013 (CRR) · Art. n.a.

requirements for professional experience of representatives and board members of EMIs

Directive 2015/2366/EU (PSD2) · Art. 1

Back-to-Back in regulatory threshold

Regulation (EU) No 575/2013 (CRR) · Art. 325a

Retention obligations

Regulation (EU) No 2017/2402 (SecReg) · Art. 6

EBA mapping tool deviation CR7-A column "Total exposures"

Regulation (EU) No 575/2013 (CRR) · Art. n.a.

Fixed overheads - deduction of expenses related to exchange rate differences for money belonging to clients and for which investment firms provide custody services according to MIFID

Regulation (EU) No 2019/2033 (IFR) · Art. 13

Display of provision during substitution approaches

Regulation (EU) No 575/2013 (CRR) · Art. 430

Clarification on use of prearranged and highly reliable funding arrangements

Regulation (EU) No 909/2014 (CSDR) - only RTS 2017/390 · Art. 59

Clarification on the need for a prearranged and highly reliable funding arrangement to liquidate collateral referred to in Article 11, paragraph 2

Regulation (EU) No 909/2014 (CSDR) - only RTS 2017/390 · Art. 59

Requirement for STS securitisations to involve a securitisation special purpose entity (SSPE) which acquires title to the underlying exposures by means of a true sale or assignment or transfer with the same legal effect

Regulation (EU) No 2017/2402 (SecReg) · Art. 20 and 24

Perimeter of CSRBB

Directive 2013/36/EU (CRD) · Art. 84