EU Financial Regulatory Q&A Database

Template Z08.01: Validation rules contradict ITS requirements

Directive 2014/59/EU (BRRD) · Art. 11

Reporting of key values for open sheet tables starting with Z 07.01

Directive 2014/59/EU (BRRD) · Art. 11

Résolution 1 - how liabilities have to be reported on column 0056 of Z11.00

Directive 2014/59/EU (BRRD) · Art. 7

ITS (Annex II: Instructions), II.20.4, p. 64 II. 20 Z 08.01— Relevant services (SERV 1) II.8.1; General instructions

Directive 2014/59/EU (BRRD) · Art. Annex II: Instructions, I.20.4, p. 64 II.

Reporting Framework 4.2 - Z_09.02 - FMI services - Mapping to Critical and Essential FMIs

Directive 2014/59/EU (BRRD) · Art. 4

Amount to be reported as MREL eligible amount and amount qualifying as Own Funds non-CET1 instruments, taking into account phase-out as applicable

Directive 2014/59/EU (BRRD) · Art. Article 45b

Reporting of unused prior permission amounts with no specification of subordination

Directive 2014/59/EU (BRRD) · Art. 45i

Trading status for on halt/suspended instruments

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

Consolidated Tape Provider (CTP)

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

Consolidated Tape Provider (CTP)

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

Consolidated Tape Provider (CTP)

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Articles 5, 6 and 12(1) of Commission Delegated Regulation (EU) 2025/1155

Consolidated Tape Provider (CTP)

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

Consolidated Tape Provider (CTP)

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Article 22 of MiFIR

Consolidated Tape Provider (CTP)

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Article 22 of MiFIR

Consolidated Tape Provider (CTP)

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Article 22 of MiFIR

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. 140

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

Risk Free Rate (RFR)

Risk-Free Interest Rate - General questions

Reporting Templates

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

Own Risk and Solvency Assessment (ORSA)

Guidelines on the Forward looking assessment of own risks

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. 168

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

Definitions (Art. 2 IDD)

(EU) No 2016/97 - Insurance Distribution Directive · Art. 2

3521

(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

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. Article 192

Exemption for SPO providers

ESGR - Regulation (EU) 2024/3005

ESG ratings used for internal purposes or in-house financial services

ESGR - Regulation (EU) 2024/3005

COREP Additional Liquidity Monitoring Metrics - technical implementation of DPM v4.2 for template C_67.00.a and C_67.00.w - SubCategory "new_CO4" used instead of "new_CO1"

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

Use of credit assessments by ECAIs not in scope of Regulation (EC) No 1060/2009.

Regulation (EU) No 575/2013 (CRR) · Art. 135

3182

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document · Art. Annex II Part 1 Point 4 lit. c

Key information document (KID), Packaged retail and insurance-based investment products (PRIIPs)

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document · Art. point 5 of Annex II of the Delegated Regulation

Advice (Art. 34 PEPP), Freedom to provide services and freedom of establishment (Art. 14 – 16 PEPP)

(EU) 2019/1238 - Pan-European Personal Pension Product (PEPP) · Art. N/A

Own Funds (OF)

Guidelines on classification of own funds · Art. SECTION 2 - Classification of Own Funds

Updating the Loan Value and Security Price Fields following lifecycle events

Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP

Payment for order flow (PFOF) prohibition and client instructions for order executions

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. Article 39a

Payment for order flow (PFOF) prohibition and OTC execution of client orders

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. Article 39a

Investment firms’ use of rebates and discounts to lower fees for clients under the payment for order flow (PFOF) prohibition

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. Article 39a, Paragraph 1

Payment for order flow (PFOF) prohibition: scope for rebates or discounts on transaction fees or any other benefits for investment firms acting on behalf of retail clients or opt-in professional clients

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. Article 39a, Paragraph 1

AAR threshold calculation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 7a

AAR representativeness obligation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 7a

AAR stress testing

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 7a(3)

AAR representativeness obligation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 7a

US Hard test: adequacy of considering US charge-off rates corresponding to loss rates for exposures secured by residential property or commercial immovable property situated within the territory of the US

Regulation (EU) No 575/2013 (CRR) · Art. 199

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. 187

Key information document (KID)

(EU) No 1286/2014 - PRIIPs Regulation · Art. Annex VI, Art 68 (part 1)

MiFID II remuneration rules applicable to tied agents

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