EU Financial Regulatory Q&A Database

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. N/A

3435

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Sources for external classification that is commonly used in the market for grouping issuers by sector, for the purpose of CRR Article 325ah.

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

Offerors and CASPs’ responsibilities with regards to white papers for Title II tokens admitted to trading prior to 30 December 2024

MiCA · Art. 143(2)

How to distinguish between different execution services

MiCA · Art. Article 3

3429

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. N/A

EMIR 3.0 Active Account Requirement and Reporting Obligation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs

Reporting of the representativeness obligation

Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. N/A

Definition of Net defined benefit assets [Carrying amount] in F44.01

Regulation (EU) No 575/2013 (CRR) · Art. Annex V. Part 2.308

ESG P3 - Template 1 - Reporting of column k (GHG emissions (column i): gross carrying amount percentage of the portfolio derived from company-specific reporting)

Regulation (EU) No 575/2013 (CRR) · Art. 449a

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Treatment of bridge financing in the calculation of the risk weight (RW)

Regulation (EU) No 575/2013 (CRR) · Art. 132c

Key information document (KID)

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document · Art. Annex IV version 01/01/2023, point 20

Key information document (KID)

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document · Art. point 16 of Annex IV of the Delegated Regulation

Key information document (KID)

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document · Art. ANNEX IV PERFORMANCE SCENARIOS

Packaged retail and insurance-based investment products (PRIIPs)

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document

Packaged retail and insurance-based investment products (PRIIPs)

(EU) 2017/653 - PRIIPs Delegated Regulation for key information document

Transparency - Single Volume Cap

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

Compliance with the SI regime and notification to NCAs

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

Impact for SIs of an instrument changing liquidity status in between the SI determination dates

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Commission Delegated Regulation (EU) 2017/565

DVC and corporate actions

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Regulation 2017/577- RTS on markets in financial instruments with regard to regulatory technical standards on the volume cap mechanism and the provision of information for the purposes of transparency and other calculations(RTS 3)

Transactions that should be included in the calculations

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

Notification of Errors and Omissions related to exchange-traded derivatives involving multiple Entities Responsible for Reporting (‘ERRs’) managed by the same Management Company/AIFM

European Market Infrastructure Regulation (EMIR) Regulation (EU) No 648/2012- MDP

ASF factors for Additional Tier 1 items as wells as Tier 2 items and other capital instruments maturing between 6 month and 1 year

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

SCA exception for Contactless only terminals (SoftPOS) in case of emergency

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

the use of strong and widely recognized encryption techniques

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

Authentication process of the PSU with the ASPSP in a combined AIS and PIS journey in a redirection approach

Directive 2015/2366/EU (PSD2) · Art. 66, 67

Minimum monetary amount of professional indemnity insurance in ongoing supervision

Directive 2015/2366/EU (PSD2) · Art. 5

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting of COREP_OF C10.00 template

Regulation (EU) No 575/2013 (CRR) · Art. 92

Instructions for Row 0080 COREP template C 07.00

Regulation (EU) No 575/2013 (CRR) · Art. 111

Audit frequency limitations

Regulation (EU) 2022/2554 - The Digital Operational Resilience Act (DORA) · Art. 28(6), 30(3)(e)

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. N/A

3405

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Other

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

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

Internal Models (IMs)

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

Own Funds (OF)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 68(1) and 68(2)

Dora 262 - 3419

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. N/A

DORA 261 - 3416

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · 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. 140; 212

Cross-selling (Art. 24 IDD)

(EU) No 2016/97 - Insurance Distribution Directive · Art. Article 24

Technical Provisions (TPs), Risk Free Rate (RFR), Internal Models (IMs)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 22 and 24 of 2015/35 DR; 75 and 121 of SII Directive;

Own Funds (OF), Solvency Capital Requirement (SCR), Internal Models (IMs)

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 121

Passporting procedure for non-CI ART issuers

Regulation (EU) No 2023/1114 (MiCAR) · Art. 18, 21, 25, 109

Knowledge element of SCA.

Directive 2015/2366/EU (PSD2) · Art. 4 and 98