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.
7,226 Q&As matching current filters · page 61 of 145
Treatment of impediments to the availability of assets and cash inflows in the C 66.00 maturity ladder template
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2020-12-04
Reporting of cash flows related to ‘extraordinary’ and one-off transactions in the C 66.00 maturity ladder template
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2020-12-04
Reporting of interest-related cash flows in the C 66.00 maturity ladder template
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2020-12-04
Reporting of ceded assets, that are part of a cover pool, in asset encumbrance.
Regulation (EU) No 575/2013 (CRR) · Art. 100
Answered 2020-12-04
Need of prior permission to include minority interest arising from Common Equity Tier 1 instruments issued by subsidiaries located in EU member state and third countries in consolidated CET1 capital of parent institutions established in the EU.
Regulation (EU) No 575/2013 (CRR) · Art. 26
Answered 2020-12-04
EBA validation rule v4859_m: [C 24.00 (c030;040;050;060)] {r100} <= {r030} + {r060} + {r080} + {r090}
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2020-12-04
Counterparty breakdown - classification based by immediate counterparty
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2020-12-04
C 70 treatment of multiple currencies
Regulation (EU) No 575/2013 (CRR) · Art. Article 415
Answered 2020-12-04
Definition of an "exposure" in C 15 instructions
Regulation (EU) No 575/2013 (CRR) · Art. 101
Answered 2020-12-04
Validation rules v2815_m to v2823_m between FINREP and AE
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2020-12-04
Use of rating before or after transfer in the calculation of the one-year default rates
Regulation (EU) No 575/2013 (CRR) · Art. 4
Answered 2020-12-04
Treatment of CIUs in internal model for market risk – possible restrictions
Regulation (EU) No 575/2013 (CRR) · Art. 350
Answered 2020-12-04
Treatment of CIUs in the standardised approach – Derivatives on CIUs
Regulation (EU) No 575/2013 (CRR) · Art. 350
Answered 2020-12-04
Exempting foreign currency - denominated required minimum reserves according to Article 493(7) CRR
Regulation (EU) No 575/2013 (CRR) · Art. 493
Answered 2020-12-04
Incorrect validation rule - deposits guarantee scheme
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2020-12-04
Weighted average of the CCF
Directive 2013/36/EU (CRD) · Art. 78
Answered 2020-11-27
PD-/PD+ for RWA-/RWA+
Directive 2013/36/EU (CRD) · Art. 78
Answered 2020-11-27
Financial Holding
(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. N/A
Answered 2020-11-24
Treatment of securitisation Class A notes guaranteed by a Member State
Regulation (EU) No 575/2013 (CRR) · Art. 416
Answered 2020-11-20
Termination rights – Distinguishing between Guidelines which are directed towards ‘all outsourcing arrangements’ from those that are directed towards ‘outsourcing arrangements for critical and important functions’
Regulation (EU) No 575/2013 (CRR) · Art. 74
Answered 2020-11-20
Meaning of "the last three twelve-monthly observations" in Articles 315(1) and 317(4) CRR regarding the calculation of operational risk requirements
Regulation (EU) No 575/2013 (CRR) · Art. 315
Answered 2020-11-20
Recognition for large exposure purposes of a guarantee granted by the central government on an equity exposure
Regulation (EU) No 575/2013 (CRR) · Art. 400, 213
Answered 2020-11-20
Eligibility of mortgage mandates under Belgian law
Regulation (EU) No 575/2013 (CRR) · Art. 124, 181, 208, 229
Answered 2020-11-13
Identification of profit forecasts in prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2020-11-09
Choice of TD home Member State after the end of the UK’s transition period for leaving the EU
Transparency Directive (TD) Directive 2004/109/EC
Answered 2020-11-09
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-11-06
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-11-06
Transitional provisions applicable to EU index providers that provides a benchmark that has been recognised as a critical benchmark in accordance with Article 20 of the BMR (ESMA70-145-114 QAs on BMR Q&A 9.4)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2020-11-06
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2020-11-06
Reporting of repos initially collateralised on a transaction basis and subsequently on a net exposure basis
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2020-11-05
Reporting of trading venue for cleared and non-cleared SFTs
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2020-11-05
Frequency of reports
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP · Art. Article 4
Answered 2020-11-05
Reporting of zero collateral for margin lending
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2020-11-05
Customer data transfer to Member States for the purpose of supervision
Directive (EU) 2015/849 (AMLD) · Art. 45
Answered 2020-10-23
Retroactivity concerning customer consent for data sharing and processing
Directive (EU) 2015/849 (AMLD) · Art. 45
Answered 2020-10-23
Disclosure of information within the group related to suspicious activity reports (SARs) to the competent authorities
Directive (EU) 2015/849 (AMLD) · Art. 45
Answered 2020-10-23
Pensions Reporting
Guidelines on reporting and public disclosure · Art. NA
Answered 2020-10-14
Absolute materiality threshold for Retail based on the new RTS
Regulation (EU) No 575/2013 (CRR) · Art. 123
Answered 2020-10-09
Retail Classification
Regulation (EU) No 575/2013 (CRR) · Art. 123
Answered 2020-10-09
COVID-related debt moratoria RREL22; CREL14; CRPL32; AUTL22; CMRL20; CCDL18; LESL21
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Dilutions
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Account Status RREL69; CREL136; CRPL79; AUTL70; CMRL55; CCDL37; LESL57; ESTL55.
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Special Scheme RREL22; CREL14; CRPL32; AUTL22; CMRL20; CCDL18; LESL21
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Annex 2: Underlying Exposures - Residential Real Estate - Pari Passu Underlying Exposures RREL32
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Payment Due RREL39; CREL105; CRPL50; AUTL37; CMRL36; CCDL28; LESL35; ESTL35
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Principal Grace Period End Date RREL36, CREL88, CRPL47, AUTL33, CMRL33, CCDL25, LESL32, ESTL32
Securitisation Regulation (EU) 2017/2402
Answered 2020-10-05
Reporting Templates
Other · Art. NA
Answered 2020-10-02
Own Funds (OF)
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 75
Answered 2020-10-02
Valuation of Assets and Liabilities other than TPs
(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 75
Answered 2020-10-02
Pensions Reporting
Other · Art. NA
Answered 2020-10-02
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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