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.
7,372 Q&As matching current filters · page 53 of 148
ESMA’s guidelines on performance fees in UCITS and certain types of AIFs
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2021-07-16
Updating the information in a tripartite prospectus after an RD or URD has expired (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2021-07-16
Including information from a new RD or URD in a tripartite prospectus
Prospectus Regulation 2017/1129
Answered 2021-07-16
Application of Article 1(6b) (reverse acquistion)
Prospectus Regulation 2017/1129
Answered 2021-07-16
Application of Article 3(2) PR
Prospectus Regulation 2017/1129
Answered 2021-07-16
Must a product to which Article 9(1), (2) or (3) of Regulation (EU) 2019/2088 applies only invest in sustainable investments as defined in Article 2(17) SFDR? If not, is a minimum share of sustainable
SFDR
Answered 2021-07-14
Regulation (EU) 2019/2088 applies to financial market participants and financial advisers. In particular, in respect of investment firms as defined in point (l) of Article 4(1) of Directive 2014/65/EU
SFDR
Answered 2021-07-14
As regards Article 4(4) of Regulation 2019/2088, must the calculation of the 500-employee threshold to the parent undertaking of a large group be applied to both EU and non-EU entities of the group wi
SFDR
Answered 2021-07-14
Does Regulation (EU) 2019/2088 (SFDR) apply to non-EU AIFMs, for example when they market a sustainable EU Alternative Investment Fund under a National Private Placement Regime?
SFDR
Answered 2021-07-14
Does Regulation (EU) 2019/2088 (SFDR) apply to registered (sometimes referred to as sub- threshold) AIFMs referred to in Article 3(2) AIFMD?
SFDR
Answered 2021-07-14
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 methodology for equivalence assessments by national supervisory authorities under Solvency II · Art. Article 121
Answered 2021-07-13
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. 160
Answered 2021-07-13
Minimum Capital Requirement (MCR)
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 129
Answered 2021-07-08
2313
(EU) No 2016/97 - Insurance Distribution Directive · Art. 1, Par. 3, and Art. 2, par. 1, n. 4
Answered 2021-07-07
Reporting Templates
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. ANNEX VI Definitions of the CIC Table
Answered 2021-07-07
Technical Provisions (TPs)
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 22
Answered 2021-07-07
Reporting Templates
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. N/A
Answered 2021-07-07
Own Risk and Solvency Assessment (ORSA)
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 123
Answered 2021-07-07
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. 120 (and 121, 122, 123, 124, 125)
Answered 2021-07-07
Reporting Templates
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. N/A
Answered 2021-07-07
Reporting Templates
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. N/A
Answered 2021-07-07
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
Answered 2021-07-07
Other
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 13
Answered 2021-07-07
Application of the guidelines to funds with multiple portfolio managers
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2021-07-01
Solvency Capital Requirement (SCR)
Other · Art. EIOPA-BoS-20/749
Answered 2021-06-28
Solvency Capital Requirement (SCR)
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. N/A
Answered 2021-06-28
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 171a
Answered 2021-06-28
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. 34
Answered 2021-06-28
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. 155
Answered 2021-06-28
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. 165, 174, 188
Answered 2021-06-28
Other
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 84
Answered 2021-06-28
Large Exposures : Mismatch between ITS and DPM v3.0 - C28 column 350 / C29 column 360.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2021-06-25
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 2021-06-25
Clarification of Value Adjustments according to Art. 111 of CRR2
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2021-06-25
Application of own fund requirements for position risk (CRR Title IV, Chapter 2) to net positions in securitization debt instruments
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2021-06-25
DPM v3.0 NSFR Derivatives
Regulation (EU) No 575/2013 (CRR) · Art. Article 415
Answered 2021-06-25
FINREP V6301_m: for the rows (010;090;670) the {c010} != empty
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2021-06-25
Reporting of the Securitisation of liabilities in C_14 report (SEC DETAILS) when the ultimate underlying is originally issued by another entity than the reporting institution.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2021-06-25
Follow-up question on 2019_4818 related to CB Eligible Central bank withdrawable reserve to be reported in memo line 13 C 66.
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2021-06-25
Reconciliation between the sum of Total Risk Exposure contributions in {C06.02;c250} and the Total Risk Exposure reported in ({C02.00;r010;c010}).
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2021-06-25
Other
Other · Art. 171a
Answered 2021-06-25
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
Answered 2021-06-25
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 83(4); 179 (1)(3); 209-215 of Delegated Regulation
Answered 2021-06-25
Solvency Capital Requirement (SCR)
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. N/A
Answered 2021-06-25
Technical Provisions (TPs)
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 105
Answered 2021-06-25
Other
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 176 & 214
Answered 2021-06-25
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 2021-06-25
Other
Other · Art. NA
Answered 2021-06-25
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. 176
Answered 2021-06-25
Other
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 13
Answered 2021-06-25
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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