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.

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8,811 Q&As matching current filters · page 55 of 177

Pro-rata of pool to work out encumbered and un-encumbered assets (F32.01, F32.03, F32.04, F33.00, F35.00, F36.01).

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2021-06-04

Short Positions in Asset Encumbrance

Regulation (EU) No 575/2013 (CRR) · Art. 99

EBA Final Q&A

Answered 2021-06-04

F 36 - Reporting of rows "Matching liabilities".

Regulation (EU) No 575/2013 (CRR) · Art. Asset Encumbrance - Part E: Advanced data

EBA Final Q&A

Answered 2021-06-04

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

ESMA Answer Published

Answered 2021-05-28

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, question 4

ESMA Answer Published

Answered 2021-05-28

MiFIR data reporting - Reporting of reference rates not included in RTS 23 and 22

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

ESMA Answer Published

Answered 2021-05-28

How to handle character limitations in certain fields RREL79; RREL82; IVFS4

Securitisation Regulation (EU) 2017/2402

ESMA Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA 70-145-114 QAs on BMR Q&A 10.8)

Benchmarks Regulation (BMR) - Regulation 2016/1011

ESMA Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA70-145-114 QAs on BMR Q&A 10.7)

Benchmarks Regulation (BMR) - Regulation 2016/1011

ESMA Answer Published

Answered 2021-05-28

Information on cost and charges

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

ESMA Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA 70-145-114 QAs on BMR Q&A 10.9)

Benchmarks Regulation (BMR) - Regulation 2016/1011

ESMA Answer Published

Answered 2021-05-28

Annexes 5 and 8: Underlying Exposures – Automobile and Leasing - Year of Registration

Securitisation Regulation (EU) 2017/2402

ESMA Answer Published

Answered 2021-05-28

ESMA’s guidelines on performance fees in UCITS and certain types of AIFs

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

ESMA Answer Published

Answered 2021-05-28

Reporting of Geographic Region fields

Securitisation Regulation (EU) 2017/2402

ESMA Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA 70-145-114 QAs on BMR Q&A 10.10)

Benchmarks Regulation (BMR) - Regulation 2016/1011

ESMA Answer Published

Answered 2021-05-28

Arrears 1-29 Days

Securitisation Regulation (EU) 2017/2402

ESMA Answer Published

Answered 2021-05-28

ESMA’s guidelines on performance fees in UCITS and certain types of AIFs

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

ESMA Answer Published

Answered 2021-05-28

Reporting to national competent authorities under Articles 3, 24 and 42

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

ESMA Answer Published

Answered 2021-05-28

Reporting to national competent authorities under Articles 3, 24 and 42

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

ESMA Answer Published

Answered 2021-05-28

Reporting to national competent authorities under Articles 3, 24 and 42

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

ESMA Answer Published

Answered 2021-05-28

Other

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 139

EIOPA

Answered 2021-05-28

Other

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

EIOPA

Answered 2021-05-28

Other

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 197

EIOPA

Answered 2021-05-28

Other

Other · Art. NA

EIOPA

Answered 2021-05-28

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. Art. 31, art. 140, art. 94

EIOPA

Answered 2021-05-28

Solvency Capital Requirement (SCR)

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 38 and 114

EIOPA

Answered 2021-05-28

Other

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 72

EIOPA

Answered 2021-05-28

Other

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 214

EIOPA

Answered 2021-05-28

Solvency Capital Requirement (SCR)

Other · Art. NA

EIOPA

Answered 2021-05-28

Materiality threshold and calculation method for materiality ratio for the purpose of application of Article 150(1)(c) for types of exposures that are immaterial in terms of size and perceived risk profile

Regulation (EU) No 575/2013 (CRR) · Art. 150

EBA Final Q&A

Answered 2021-05-21

Maturity of instruments subject to a cash flow schedule

Regulation (EU) No 575/2013 (CRR) · Art. 162

EBA Final Q&A

Answered 2021-05-21

Calculation method for materiality ratio to be compared against the 10%/5% threshold for the purpose of application of Article 150(1)(c) for equity exposure class (Permanent Partial Use)

Regulation (EU) No 575/2013 (CRR) · Art. 150

EBA Final Q&A

Answered 2021-05-21

Applicability of SCA to wallet solutions

Directive 2015/2366/EU (PSD2) · Art. 97

EBA Final Q&A

Answered 2021-05-21

Classification of a commitment to make under certain conditions an indemnity payment for a customer

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

EBA Final Q&A

Answered 2021-05-21

Reporting of changes to the reference rate in an SFT

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

ESMA Answer Published

Answered 2021-05-20

Risk Free Rate (RFR)

Risk-Free Interest Rate - VA representative portfolios · Art. 50

EIOPA

Answered 2021-05-19

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 116 Annex II

EIOPA

Answered 2021-05-17

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. 156

EIOPA

Answered 2021-05-10

Solvency Capital Requirement (SCR)

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 88

EIOPA

Answered 2021-05-10

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

EIOPA

Answered 2021-05-07

Prudential filter on unrealised gains and losses on governmental exposures and interaction with the IFRS 9 transitional arrangements

Regulation (EU) No 575/2013 (CRR) · Art. 473a, 468

EBA Final Q&A

Answered 2021-05-07

Compliance of the securitisation of residual values through expectancy rights (“Anwartschaftsrechte”) with the STS criteria for non-ABCP securitisation and for ABCP securitisation

Regulation (EU) No 2017/2402 (SecReg) · Art. 20, 22, 24

EBA Final Q&A

Answered 2021-05-07

Classification of a vertical security in a traditional securitisation

Regulation (EU) No 575/2013 (CRR) · Art. 4

EBA Final Q&A

Answered 2021-05-07

Leverage Ratio treatment of intragroup exposures

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

EBA Final Q&A

Answered 2021-05-07

CCP related transactions

Regulation (EU) No 575/2013 (CRR) · Art. 400

EBA Final Q&A

Answered 2021-05-07

Prudential treatment of leasing asset and liabilities (in relation to IFRS 16)

Regulation (EU) No 575/2013 (CRR) · Art. 134

EBA Final Q&A

Answered 2021-05-07

Requirements for the usability of an ECAI within the framework of the Internal Assessment Approach pursuant to Article 259(3) of Regulation (EU) No 575/2013 – before amendments introduced by Regulation (EU) No. 2017/2401 - and Article 265 Regulation (EU) No 575/2013 as amended by Regulation (EU) No 2017/2401. - Anforderungen an die Verwendbarkeit einer ECAI im Rahmen des internen Bemessungsansatzes gemäß Artikel 259 Absatz 3 der Verordnung (EU) Nr. 575/2013 – in der Fassung vor den durch die Verordnung (EU) 2017/2401 eingeführten Änderungen – und Artikel 265 der Verordnung (EU) Nr. 575/2013 in der durch die Verordnung (EU) 2017/2401 geänderten Fassung

Regulation (EU) No 575/2013 (CRR) · Art. 259

EBA Final Q&A

Answered 2021-05-07

Meaning of “portfolio” within “sufficiently diversified portfolios” in Article 155(2)

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

EBA Final Q&A

Answered 2021-05-07

Mark-to-Market Method: remaining maturity for early-termination clauses (ETC)

Regulation (EU) No 575/2013 (CRR) · Art. 274

EBA Final Q&A

Answered 2021-05-07

Obligations stemming from "non-credit products"

Regulation (EU) No 575/2013 (CRR) · Art. 180

EBA Final Q&A

Answered 2021-05-07

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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