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.

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91 Q&As matching current filters · page 2 of 2

Application of Level 3 guidance to EU Recovery Prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2021-07-16

Application of Article 3(2) PR

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2021-07-16

Including information from a new RD or URD in a tripartite prospectus

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2021-07-16

Application of Article 1(6b) (reverse acquistion)

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2021-07-16

Updating the information in a tripartite prospectus after an RD or URD has expired (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2021-07-16

Supplements - Supplement to prospectuses: audited annual financial statements (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2021-05-05

Credit rating disclosure in prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2021-05-05

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Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2021-03-31

Transferable securities

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2021-03-31

Global Depositary Receipts (GDRs)

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2021-03-31

How to determine which annexes of Commission Delegated Regulation 2019/980 apply when drawing up a prospectus (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2021-01-28

Identification of profit forecasts in prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2020-11-09

Summaries (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2020-02-18

The length of summaries (multiple securities) (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2020-02-18

Application of the various annexes of Commission Delegated Regulation 2019/980 (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-12-04

Pro-forma summaries in base prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-12-04

Inclusion of Alternative Performance Measures (APMs) in information disclosed about the offer to the public or the admission to trading on a regulated market

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Inclusion of “extra” information in individual summaries

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Incorporation by reference: language requirements

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Item 18.1.1 of Annex I of the Commission Delegated Regulation (EU) 2019/980 (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Supplements - Application of Article 23(3) subparagraphs 1 and 2 (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Supplements - Supplement to prospectuses: interim financial information (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Rights issue: communication by a custodian to its clients in a member state about pre-emption rights in relation to a public offer of new shares taking place in another EEA member state

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Quality of translations of passported prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Scope of the wording ‘any bankruptcies, receiverships or liquidations’ used in Annex 1, item 12.1 and Annex 3, item 8.1 (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Estimate expenses charged by a financial intermediary in a retail cascade

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Responsibility Statements (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Incorporation by reference: language requirements

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Offering programmes

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Responsibility Statements (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Home Member State - Nearly equivalence of Euro 1,000 (Article 2(m)(ii) of the Prospectus Regulation) (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Quality of translations of passported prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Quality of translations of passported prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-07-12

Supplements - Non-relevant information in relation to a published prospectus that does not trigger the obligation to publish a supplement

Prospectus Regulation 2017/1129

ESMA Answer Published

Answered 2019-07-12

Updating information in a registration document before it is part of a prospectus (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

ESMA Published Answer Updated

Answered 2019-03-27

The calculation of offers of warrants and/or units consisting of warrants and shares in relation to exemptions from the prospectus obligation in the Prospectus Regulation.

Prospectus Regulation 2017/1129 · Art. The (Swedish) Act (2019:414) with supplementary provisions to the EU Prospectus Regulation (the “Swedish Supplementary Act”), Ch. 2, Sec. 1.; Regulation (EU) 2024/2809 (the “Listing Act”)

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2025-06-19

New exemptions for fungible securities in Prospectus Regulation.

Prospectus Regulation 2017/1129

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2025-04-07

Future incorporation by reference of financial information, which will be permitted once Article 19 PR is amended by the Listing Act

Prospectus Regulation 2017/1129

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2024-08-21

Future incorporation by reference of financial information, which will be permitted once Article 19 PR is amended by the Listing Act

Prospectus Regulation 2017/1129

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2024-08-21

Combining exemptions

Prospectus Regulation 2017/1129

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2023-09-19

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

ESMA Forwarded to EC/Public Consultation/Other

Submitted 2023-07-14

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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