EU Financial Regulatory Q&A Database

Prudential requirements

Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 11 ECSPR

Risk management framework

Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 4(1) ECSPR

Reporting of accumulator contracts

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

Reporting of price field at position level

European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP

Reporting of accumulator contracts

European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP

Performance fees

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. ESMA guidelines on performance fees in UCITS and certain types of AIFs

Performance fees

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. ESMA guidelines on performance fees in UCITS and certain types of AIFs

Performance fees

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. ESMA guidelines on performance fees in UCITS and certain types of AIFs

Performance fees

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. ESMA guidelines on performance fees in UCITS and certain types of AIFs

Accumulation phase (Art. 41 – 47 PEPP)

(EU) 2019/1238 - Pan-European Personal Pension Product (PEPP) · Art. 2; 36

Risk Free Rate (RFR)

Risk-Free Interest Rate - Credit and currency adjustments · Art. Art 38, BoS decision 21/381

Reporting Templates

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 13 of DR

Risk Free Rate (RFR)

Risk-Free Interest Rate - Extrapolation, Risk-Free Interest Rate - General questions, Risk-Free Interest Rate - VA calculations · Art. Mismatch in risk free rate and VOLA for April 2024

Own Funds (OF)

Guidelines on group solvency

Publication of information by CASPs providing the service of exchange of crypto-assets for funds or other crypto-assets

MiCA · Art. Article 77

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

Reporting Templates

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

Financial Conglomerates (FICOD)

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD

Calculation of the LTV ratio in FinRep

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

LCR treatment of open maturity reverse repos which can be terminated at any point in time

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

Vega and curvature risk requirements for positions in instruments without exercisable optionality that are sensitive to vega risk factors

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

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

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. Template: S.36.05

Application of the retention requirements to situations where the retained exposure is transferred to a third-party after losses associated with the relevant exposure

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

Risk retention obligation in case of voluntary liquidation of an Alternative investment fund (“AIF”) acting as retention holder under Article 6(3) of the Securitisation Regulation

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

Other

Other

Other

Other

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. Template S.25.05

Reporting Templates

(EU) 2023/895 - ITS for the disclosure of solvency and financial condition report · Art. Templates S.17 and S.19 - 2.8.0 Taxonomy

Reporting Templates

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

Other

Other · Art. JC 2021 39

Other

Other

Other

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

Validations

(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

Valuation of Assets and Liabilities other than TPs

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 75

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. Internal model template S.26.13

Technical Provisions (TPs)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII), Guidelines on valuation of technical provisions · Art. 116(3)(b) of DR 2015/35

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

Reporting Templates

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

Template 2 - EBA val rules and Column 0160 Of which level of energy efficiency EP score in kWh_m of collateral estimate

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

Solvency Capital Requirement (SCR)

Revised Guidelines on Contract Boundaries

Template 3: Banking book - Indicators of potential climate change transition risk: Alignment metrics

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

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. 164

Reporting Templates

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

Template 1 - exposures towards companies excluded from EU Paris-aligned Benchmarks

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

Reporting Templates

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