EU Financial Regulatory Q&A Database

UCITS eligible under DLTPR

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

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities

Technical Provisions (TPs)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 28 of DR 2015/35; Art. 77(2) of SII Directive

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities

Technical Provisions (TPs)

Guidelines on valuation of technical provisions · Art. Article 77(2) of the SII Directive; Art. 28 of DR 2015/35

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 31; Annex XVII

Solvency Capital Requirement (SCR)

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. Art. 13(40) of SII Directive; Art. 4 of DR 2015/35

Risk Free Rate (RFR)

Risk-Free Interest Rate - VA representative portfolios

Valuation of Assets and Liabilities other than TPs

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 9(1) and 13 of of the Commission Delegated Regulation 2015/35

Solvency Capital Requirement (SCR)

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. Art. 13(40) of SII Directive; Art. 4 of DR 2015/35

Correlation parameter for Intra-bucket correlations for credit spread risk for non-securitisations

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

Financial instruments in scope of the market sounding regime

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

MiFID practices for firms selling financial instruments subject to the BRRD resolution regime

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

Scope of activities that a management company may carry out in a host Member State

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. Article 6 of Directive 2009/65/EC

Pre-marketing by registered AIFMs

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. Article 30a(1) of Directive 2011/61/EU

Scope of activities that an AIFM may carry out in a host Member State

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. Article 33 of Directive 2011/61/EU

Management of pension schemes by UCITS management companies

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. Article 6 of Directive 2009/65/EC

Management of AIFs by UCITS management companies

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. Article 6 of Directive 2009/65/EC

Pre-marketing by third-parties

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. Article 30a of Directive 2011/61/EU

De-notification of marketing arrangements for UCITS

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. Article 93a of Directive 2009/65/EC

Calculation of the leverage of AIFs investing in real estate

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. Article 6 of Delegated Regulation (EU) 231/2013

De-notification in the absence of investors in the host Member State

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. Article 32a(1) of DIrective 2011/61/EU

Other

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

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Treatment for strategic long-term non-listed equity exposures under simple risk weight approach as per Article 155(2) CRR

Regulation (EU) No 575/2013 (CRR) · Art. 155

Reporting Templates, Validations

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Disclosure Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Estimation of a conversion factor for binding mortgage offers under the IRB Approach

Regulation (EU) No 575/2013 (CRR) · Art. 166

MREL determination in case of an entity that is subject to simplified requirements in respect of resolution plan

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

Treatment of reversal features in cash pooling arrangements

Regulation (EU) No 575/2013 (CRR) · Art. 429b

Defining the risk factor for third-country investment firms in K-TCD calculation

Regulation (EU) No 2019/2033 (IFR) · Art. 26

Inclusion of short term deposits in third country credit institutions as liquid assets

Regulation (EU) No 2019/2033 (IFR) · Art. 43

Qualifying holdings outside the financial sector

Regulation (EU) No 2019/2033 (IFR) · Art. 10

"Unexpected outflow" in the context of applying large exposure exemptions granted in Article 390(6)(c) CRR

Regulation (EU) No 575/2013 (CRR) · Art. 390

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII 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. 189

Own Funds (OF), Reporting Templates

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII), (EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 76(1)a(iii)

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. Template S.06.04

Reporting Templates

Guidelines on loss-absorbing capacity of technical provisions and deferred taxes · Art. 207 of the Delegated Regulation 2015/35

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. 35 of SII Directive

Reporting of the SFTs concluded by IORPs and pension funds

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

Exemption from CSDR

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

Exemption from CSDR

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

Issuance of DLT financial instruments

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

Admissibility of securities financing transactions under DLTPR

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

Partially tokenised financial instruments

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