EU Financial Regulatory Q&A Database

Access to quotes

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets

Trading venue and exemption

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

Access rights to venues trading for CCP with links with tradibg venue which opted out the access provisions for ETDs

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

Substantial and non-substantial amendments to MiFID I waivers

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets

Compliance with the quoting obligations for SIs in non-equity instruments

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets

Waiver procedure for illiquid non-equity financial instruments

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 192

Q&A on lot sizes and position limits

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 142

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 165

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. Consultation Paper on EIOPA’s second set of advice to the European Commission on specific items in the Solvency II Delegated Regulation

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Card data (PAN) to be returned in AISP calls

Directive 2015/2366/EU (PSD2) · Art. 67

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Identify when EMD2 needs to be applied to vouchers/gift cards issued by an electronic money institution.

Directive 2009/110/EC (EMD) · Art. 2 and 3

Payment account

Directive 2015/2366/EU (PSD2) · Art. 18

The definition of payment services and in particular the definition of execution of payment transaction in relation to netting centers

Directive 2015/2366/EU (PSD2) · Art. 4

Exclusion of cash withdrawal services from PSD2

Directive 2015/2366/EU (PSD2) · Art. 3

Unterstützungsfaktor für Infrastrukturprojekte - Supporting factor for infrastructure projects

Regulation (EU) No 575/2013 (CRR) · Art. 501a

ESMA’s guidelines on performance fees in UCITS and certain types of AIFs

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

Crystallisation of performance fees in case of the creation of a new UCITS/compartment/share class in the course of the financial year

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

Status of entities providing crypto-asset services as part of the grandfathering regime

MiCA

3161 - SFDR099

(EU) 2019/2088 - SFDR · Art. 8

Breakdown of currencies to be reported

Regulation (EU) No 575/2013 (CRR) · Art. 448

Revocation of ASPSP's Exemption from the Contingency Mechanism due to Prolonged Service Disruption

Directive 2015/2366/EU (PSD2) · Art. n.a.

Treatment of two-leg derivatives with respect to rate type and currency

Regulation (EU) No 575/2013 (CRR) · Art. 488

Criteria for selecting the operations to be included in the calculation of fraud rates for the transaction risk analysis (TRA) exemption

Directive 2015/2366/EU (PSD2) · Art. 97

Secure corporate payment processes and protocols and inactivity time period

Directive 2015/2366/EU (PSD2) · Art. 97

Key information document (KID), Reporting (Art. 40 PEPP)

(EU) 2019/1238 - Pan-European Personal Pension Product (PEPP) · Art. Article 28(3)(f) of PEPP Regulation; Article 5 of Delegated Regulation (EU) 2021/473

Other

(EU) 2016/2341 - IORP II Directive

Disclosures in case of lack of label in EPCs

Regulation (EU) No 575/2013 (CRR) · Art. 449a

Alignment of total funding between FINREP F01.02 and COREP C67.00

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

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. Annex II

Calculation of Net Short Positions in case of issuers with non-listed shares

Short Selling Regulation (SSR) Regulation (EU) No 236/2012

Maturity weighting of gross JTD amounts to calculate net JTD amounts

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

Tied agents under MiCA

MiCA

CASPs providing services based on an Article 60 notification

MiCA · Art. Article 60

Scope of the word "shares" in certain exemptions from the obligation to publish a prospectus in Articles 1(4), 1(5) and 1(6) of the Prospectus Regulation.

Prospectus Regulation 2017/1129 · Art. Articles 1(4), 1(5) and 1(6) of the Prospectus Regulation

MAR Q&A on the application of the trading volume limit in the context of buy-back programmes

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

Voting arrangements in resolution colleges

Regulation 2021/23 - recovery and resolution of central counterparties (CCPRRR)

Resolution college membership

Regulation 2021/23 - recovery and resolution of central counterparties (CCPRRR)

Voting arrangements in resolution colleges

Regulation 2021/23 - recovery and resolution of central counterparties (CCPRRR)

Annex XI, INSTRUCTIONS FOR REPORTING ON LEVERAGE, C43 template {0040;0020} & {0050;0020}

Regulation (EU) No 575/2013 (CRR) · Art. 451

What amount to be reported for repos and reverse repos in NSFR?

Regulation (EU) No 575/2013 (CRR) · Art. Draft ITS on supervisory reporting requirements for institutions under Regulation EU No 575/2013 Annex XIII

Other

(EU) No 2016/97 - Insurance Distribution Directive

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 120-125