EU Financial Regulatory Q&A Database

CCR2 + FRTB: Delta intra bucket correlation for the risk class “foreign exchange risk”

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

Recognition of deducted items in calculation of own funds requirements for market risk

Regulation (EU) No 575/2013 (CRR) · Art. 78

Deduction of pledged own shares from Common Equity Tier 1 items

Regulation (EU) No 575/2013 (CRR) · Art. 36

Reporting Templates

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

Reporting of Emission Allowances

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

Reporting of Emission Allowances

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

Reporting of Emission Allowances

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

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 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 117

Reconciliation frequency for funds trading on a daily basis

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Reconciliations with tri-party collateral managers

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Responsibility to ensure compliance with the rules governing marketing communications

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities, (EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · 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. Article 209, 210, 215

Solvency Capital Requirement (SCR)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII), Guidelines on look-through approach · Art. 84 and 88 of Delegated Regulation (EU) No 2015/35

Freedom to provide services (Art. 4 and 5 IDD)

(EU) No 2017/2358 - product oversight and governance requirements for insurance, (EU) No 2016/97 - Insurance Distribution Directive · Art. 4, 5 and 25 IDD; Article 3(4) of the Commission Delegated Regulation 2017/2358

Reporting Templates

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

Reporting Templates

Guidelines on reporting and public disclosure · Art. 35 of SII Directive

Risk concentration

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 184(3) and 187(5)

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. 171a, 84, 168

Risk concentration

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 187

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. 188

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. 184(2)(b)(ii) and 335

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. 9, 16, 174

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

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, 174

Readily available data

Benchmarks Regulation (BMR) - Regulation 2016/1011

Scope of the new Article 11(1a) of MAR

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

Real estate inspection for real estate valuation

Regulation (EU) No 575/2013 (CRR) · Art. 79

Validations

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. Article 109a (1) of SII Directive 2009/138/EC; Art. 5(2) of the Delegated Regulation (EU) 2015/35

Other

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII), (EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. Articles 41, 44 of SII Directive; Articles 258, 259, 274 of Delegated Regulation 2015/35

Reporting Templates

Guidelines on reporting and public disclosure · Art. N/A

Risk Free Rate (RFR)

Risk-Free Interest Rate - VA calculations · Art. 9.E.

Performance fees

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

Performance reference period for the benchmark model

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Performance reference period for the hurdle rate model

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Other

Other · Art. N/A

General provisions

Regulation 2020/1503 - European crowdfunding service providers for business · Art. Directive (EU) 2015/2366

General provisions

Regulation 2020/1503 - European crowdfunding service providers for business

General provisions

Regulation 2020/1503 - European crowdfunding service providers for business

Investor protection and marketing communication

Regulation 2020/1503 - European crowdfunding service providers for business

General provisions

Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 10(3) ECSPR

General provisions

Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 10(4) ECSPR

Do financial advisers, when providing MiFID II investment advice, have to comply with disclosure obligations in Article 6(2) of Regulation (EU) 2019/2088 in good time before the client is bound by any

SFDR

For the purpose of the disclosure of principal adverse impacts under Article 4(5)(a) of Regulation (EU) 2019/208, when a financial adviser recommends financial products or instruments that are not col

SFDR

Do Articles 6 and 7 of Regulation (EU) 2019/2088 apply only for new financial products or also for existing financial products on the date of application, 10 March 2021 (even for those financial prod

SFDR

Is it possible for financial market participants that are below the threshold set by Article 4(3) and (4) of Regulation (EU) 2019/2088 and choose not to consider adverse impacts of investment decision

SFDR

Considering that the reference to good governance in Article 8 of Regulation (EU) 2019/2088 only relates to 'companies', and that Article 9 of Regulation (EU) 2019/2088, via the definition of 'sustain

SFDR

If a financial adviser only considers in its advisory process products which are not in scope of Regulation (EU) 2019/2088 (i.e. shares of listed companies, corporate bonds, etc.), should the financia

SFDR

Article 17 of Regulation (EU) 2019/2088 exempts insurance intermediaries which provide insurance advice with regard to IBIPs and investment firms which provide investment advice that are enterprises i

SFDR