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.
8,465 Q&As matching current filters · page 42 of 170
Calculation of denominator
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Simplified approach for regulatory capital requirements
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2022-09-23
Scope of the ancillary activity test
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Positions with different maturities
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Criteria privileged transactions exemption
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Third country issues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Position limits - the definition of "a lot"
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Securitised derivatives
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Art 57(1) and 58(1) of MiFID II
Answered 2022-09-23
Position limits for options and futures
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Various underlyings listed in Annex I, Section C(10) of MIFID II?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Hedge exemption
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Agricultural contracts
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Financial guidance and disclosure of inside information
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2022-09-20
Market analysts’ expectations and the identification of inside information
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2022-09-20
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. 180
Answered 2022-09-16
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. 192
Answered 2022-09-16
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
Answered 2022-09-16
Reporting Templates
(EU) 2020/852 - Taxonomy Regulation · Art. N/A
Answered 2022-09-15
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. 191
Answered 2022-09-15
Third country issues - Transparency
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2022-09-05
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. 83.1, 23, 142
Answered 2022-08-31
Validations
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. N/A
Answered 2022-08-25
Solvency Capital Requirement (SCR)
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. N/A
Answered 2022-08-24
Bilateral cancellation facility
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2022-08-03
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. N/A
Answered 2022-07-31
Reporting by IORPs
(EU) 2016/2341 - IORP II Directive · Art. 32
Answered 2022-07-31
Solvency Capital Requirement (SCR)
Guidelines on valuation of technical provisions · Art. 28A
Answered 2022-07-31
Own Funds (OF)
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 73
Answered 2022-07-31
Guarantee for the purpose of the waiver from internal MREL requirements
Directive 2014/59/EU (BRRD) · Art. 45f
Answered 2022-07-29
Characteristics of the guarantee for the purposes of iMREL waiver
Directive 2014/59/EU (BRRD) · Art. 45f
Answered 2022-07-29
Depositaries
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2022-07-20
Depositaries
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2022-07-20
Delegation
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2022-07-20
Direct Electronic Access (DEA) and algorithmic trading - Trading functionalities with automated management of orders
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-07-15
Direct Electronic Access (DEA) and algorithmic trading - Article 17 of MiFID II and RTS 6 - Third party systems with algorithmic trading functionalities
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-07-15
Applicability of the SME supporting factor for financing private purposes
Regulation (EU) No 575/2013 (CRR) · Art. 501
Answered 2022-07-15
The size of all non-trading book positions that are subject to foreign exchange risk
Regulation (EU) No 575/2013 (CRR) · Art. 325a
Answered 2022-07-15
Implementation of Article 72b(2)(j) of Regulation (EU) No 575/2013 (“CRR”) and whether the contractual provisions governing liabilities are required to refer to the permission regime in order for the liabilities to qualify as eligible liabilities instruments
Regulation (EU) No 575/2013 (CRR) · Art. Article 72b
Answered 2022-07-15
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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