EU Financial Regulatory Q&A Database

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Directive 2015/2366/EU (PSD2) · Art. 28

How does Article 15(2)(c) of the Delegated Regulation regarding the review of the KID apply to the different holding periods shown? If the mean return for the PRIIP's moderate performance scenario, ex

PRIIPs

Annex II, paragraph 10 of the Delegated Regulation shows sub intervals to use for funds with pricing frequencies of daily, weekly or monthly, but not what to apply for those funds with other pricing f

PRIIPs

In the case of subscription products, could the manufacturer include a reference to the variation (+/- Costs) due to variation in market conditions during the offering period?

PRIIPs

In the case of subscription products, shall the manufacturer modify the cost figures each time the KID is revised even if the revision is caused by a change in another element and his percentage varia

PRIIPs

In the case of subscription products, should manufacturer also modify the entry costs, if the market conditions during the offering period increase the initial fair value and thus the entry costs are

PRIIPs

The exchange as manufacturer may not know all the costs, since some costs are added by the broker. In this situation is it acceptable for the exchange only to report the costs which relate to the prod

PRIIPs

If the PRIIP is an AIF investing into linear products yet the leverage on investments changes throughout time (therefore leverage factor is non-constant but underlying exposures are linear), would thi

PRIIPs

Settlement instructions sent by CCPs

Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR

Participants' settlement efficiency

Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR

Own Funds (OF)

Guidelines on classification of own funds · Art. Article 213 (2) (a)(b) of the 2009/138/EC Directive; Articles 71(1)(o), 73(1)(i), 77(1)(h) of the 2015/35 Delegated Regulation

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. 179

The implementation of commercial agent exclusion for B2C e-commerce platforms

Directive 2015/2366/EU (PSD2) · Art. 3

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 189

Application of the leverage ratio exemption related to the passing-through of promotional loans to other credit institutions

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

Eligibility of minority interests

Regulation (EU) No 575/2013 (CRR) · Art. 81, 82

Information to be provided by the PISP to the payer prior to the initiation of the transaction

Directive 2015/2366/EU (PSD2) · Art. 44, 45

Consumer explicit consent to the PISP for processing of personal data

Directive 2015/2366/EU (PSD2) · Art. 94

Exclusion from scope - article 3.2 f

Directive 2014/17/EU (MCD) · Art. 3

The implementation of commercial agent exclusion for e-commerce platforms

Directive 2015/2366/EU (PSD2) · Art. 3

Tied credit intermediary that represents a number of creditors or groups which does not represent the majority of the market

Directive 2014/17/EU (MCD) · Art. 4

Relevance of third country capital requirements for the calculation of minority interests amounts of a subsidiary to be included at the consolidated leve

Regulation (EU) No 575/2013 (CRR) · Art. 84

Revocation of future dated Payment Initiation Services (PIS) payments

Directive 2015/2366/EU (PSD2) · Art. 66

Advance notice for the marketing of new share classes of UCITS notified for cross-border marketing

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

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

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. Articles 176(2) and 178(2) of the Delegated Regulation; Article 75 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. 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), (EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. Articles 130 and 262 (1) of the Delegated Regulation; Art 102(2) of SII Directive

IBIPs - Inducements - fees, commissions non-monetary benefits paid by third parties (Art. 29 para. 2 IDD)

(EU) No 2016/97 - Insurance Distribution Directive · Art. Articles 29(2), (3); 27, 28, 17 of IDD; Art 8(2) Delegated Regulation (EU) 2017/2359

Solvency Capital Requirement (SCR)

(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. 168, 177, 180, 184 of SII Directive; Article 4(1) of the Delegated Regulation

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. Articles 192 and 197 (7) of Delegated Regulation (EU) 2015/35 as amended by Delegated Regulation (EU) 2019/981

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. Articles 116; 147; 1

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. Recital 31 of the Delegated Regulation (EU) 2019/981; Articles 182; 183; 184; 185; 186 of Delegated Regulation (EU) 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. Annex III of Delegated Regulation

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. Recital 31 of the Delegated Regulation (EU) 2019/981; Articles 182; 183; 184; 185; 186 of Delegated Regulation (EU) 2015/35

FINREP template F44.03 Share based payments

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

Reporting of residential mortgage loans on C80.00 - NSFR - Required Stable Funding

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

Reporting of a net reverse repo when the collateral leg has a higher RSF factor

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

Valuation rule 3684 - no negative amounts on row360

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

In template C 34.02, the field "Exposures" aims to report separately all CCR exposures and all CCR exposures excluding exposures to central counterparties (CCPs). In the DPM taxonomy 3.0 and the related annotated template, this exclusion seems to refer to QCCPs only.

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

Prudential consolidation of special funds

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

Include all entities which belong to a group of connected clients in Large exposure templates

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

EAD for over-collateralised securities financing transactions under the Financial Collateral Comprehensive Method

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

Primary Income - Annex 2 Underlying Exposures - Residential Real Estate

Securitisation Regulation (EU) 2017/2402

Securitisation Disclosure Requirements and Templates

Securitisation Regulation (EU) 2017/2402

Annexes 12 and 13: Investor Reports - Annualised Constant Prepayment and Default Rates

Securitisation Regulation (EU) 2017/2402

Original Valuation Method

Securitisation Regulation (EU) 2017/2402

Product governance

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

Securitisation Disclosure Requirements and Templates

Securitisation Regulation (EU) 2017/2402

Securitisation Disclosure Requirements and Templates

Securitisation Regulation (EU) 2017/2402