EU Financial Regulatory Q&A Database

Identifying the customer of a PISP

Directive (EU) 2015/849 (AMLD) · Art. 3

Professional requirements (Art. 10 IDD)

(EU) No 2016/97 - Insurance Distribution Directive · Art. 10(8)

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

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. 197(7)

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

2748

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

Reporting Templates

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

Other

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 18(1)(a) of SII Directive; Article 1(53) of Commission Delegated Regulation (EU) 2015/35

Material changes to content of application

Regulation 2020/1503 - European crowdfunding service providers for business

Hedging definition and virtual power purchase agreements

European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- PTR- Derivatives · Art. Article 10(3)(1) of EMIR and Article 10 of Commission Delegated Regulation (EU) No 149/2013

crowdfunding services

Regulation 2020/1503 - European crowdfunding service providers for business

Sophisticated investors

Regulation 2020/1503 - European crowdfunding service providers for business

Legal person appointed as responsible of the management of a CSP

Regulation 2020/1503 - European crowdfunding service providers for business

Provision of other services by a CSP

Regulation 2020/1503 - European crowdfunding service providers for business

Prudential requirements

Regulation 2020/1503 - European crowdfunding service providers for business

Involvement of the authorities in Article 12(1)(b) of CSDR in the authorisation of a DLT SS/ DLT TSS using e-money tokens

Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. Articles 9(6)(b) and Article 10(7)(b) of Regulation (EU) 2022/858 (DLTR) and article 12(1)(b) of Regulation (EU) 909/2014

Scope of exemption in Article 1(2)

Regulation 2020/1503 - European crowdfunding service providers for business

Eligibility for operating a DLT SS under the DLT Pilot Regime

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

Scope of exemption in Article 1(2)

Regulation 2020/1503 - European crowdfunding service providers for business

ITS ESG P3 - Annex II, Templates 10

Regulation (EU) No 575/2013 (CRR) · Art. 434a

ESG P3 - Template 3 - Indicators of potential climate change transition risk: Alignment metrics

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

Template 3 / Level of NACE codes to use

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

Template 3 / Exposures to companies operating in several sectors

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

Application of the Regulation outside the EU (ESMA70-145-114 Q&A_4.4)

Benchmarks Regulation (BMR) - Regulation 2016/1011

Inclusion of repurchase transactions in financial assets and exposure value/risk-weighted assets (COREP C33).

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

Calculation of “Total exposure” and other concepts in G 01.00 (G-SII indicators and EBU items)

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

Transitional provisions applicable to third country benchmarks (ESMA 70-145-114 Q&A9.3)

Benchmarks Regulation (BMR) - Regulation 2016/1011

Aggregation of costs and charges

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries · Art. Art. 24 of MiFID II, Art. 50(2) of the MiFID II Delegated Regulation

Disclosure of costs and charges paid in or represented in an amount of foreign currency

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries · Art. Art. 24(4) of MiFID II, Article 1(4)(a) of Directive 2021/338/EU, Art. 50(2) and (9) of the MiFID II Delegated Regulation, Article 59(4) MiFID II Delegated Regulation

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

Reporting Templates

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

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) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. N/A