EU Financial Regulatory Q&A Database

Regarding 'COMMISSION DELEGATED REGULATION (EU) 2022/1288 of 6 April 2022' (supplementing Regulation (EU) 2019/2088). In Table 2, Annex I of the document, under the section 'Indicators applicable to i

SFDR

Scope of the exception in Article 19(12a) of MAR to PDMRs’ general prohibition to trade during the closed period

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity · Art. Article 19 of MAR as amended and integrated by the Listing Act

Discretionary pension benefits

Directive 2013/36/EU (CRD) · Art. 94

Maturity floor for SFT transactions under a master netting agreement that does not fulfill the enforceability criteria of CRR Article 206.

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

Scope (Art. 1 IDD), Registration (Art. 3 IDD), Principle to act in accordance with the best interest (Art. 17 IDD)

(EU) No 2016/97 - Insurance Distribution Directive · Art. N/A

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. 2

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. ANNEX VI Definitions of the CIC Table

Other

(EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 15(2) and Part A of Annex I

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

(EU) No 2016/97 - Insurance Distribution Directive · Art. 29

Reporting Templates

(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities

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, 84

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. 212(4) and 213(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), (EU) No 2009/138 - Solvency II Directive (Insurance and Reinsurance) · Art. 180

Intra-group transaction

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

Register of Information (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 3

Validations

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

The scope of the regulation described in Article 6 mismatches what is presented as an option in the Annex I, Part 2 of the same regulation

Regulation (EU) No 2022/2554 (DORA Reg) · Art. 28

ICT third-party risk management (DORA), Other DORA topics

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 28-31

ICT third-party risk management (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 28

Other DORA topics

(EU) 2022/2554 - Digital Operational Resilience Act (DORA)

Elaboration on the meaning of a separated and dedicated network for ICT asset administration

Regulation (EU) No 2022/2554 (DORA Reg) · Art. 13

Other DORA topics

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 3

ICT third-party risk management (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA)

Scope of Register of Information for Contractual Arrangements on the use of ICT Services Provided by ICT Third-party Service Providers

Regulation (EU) No 2022/2554 (DORA Reg) · Art. 28

Solvency Capital Requirement (SCR), Internal Models (IMs)

(EU) No 2015/35 - supplementing Dir 2009/138/EC - taking up & pursuit of the business of Insurance and Reinsurance (SII) · Art. 171

ICT third-party risk management (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 28

Other DORA topics

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 2

Register of Information (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 1-7

ICT risk management (DORA)

(EU) 2022/2554 - Digital Operational Resilience Act (DORA) · Art. 8

Solvency Capital Requirement (SCR), Reporting Templates

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

Demands and needs test (Art. 20 para. 1 subpara. 1 IDD), Cross-selling (Art. 24 IDD)

(EU) No 2016/97 - Insurance Distribution Directive · Art. art. 24(3) and 20

Performance fees for feeder funds

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

Reporting Templates

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

Reporting Templates

(EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision · Art. 9

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 118(1)(a); 142(6)(a)(b) of the Delegated Regulation; Article 77(2) of Directive 2009/138/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. 182 and 187

Treatment of wholesale term deposits with early withdrawal penalty clauses for maturity ladder purposes

Regulation (EU) No 575/2013 (CRR) · Art. 415

Reporting Templates, Validations

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

Reporting Templates

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

Reporting Templates, Intra-group transaction

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

Credit

Directive 2015/2366/EU (PSD2) · Art. Article 18

Reporting templates on risk concentrations and intra-group transactions for conglomerates (FICOD), Reporting Templates

(EU) 2022/2454 - ITS with regard to supervisory reporting of risk concentrations and intra-group transactions (FICOD, (EU) 2023/894 - ITS with regard to the templates for the submission of information necessary for supervision

Net position risk - K-NPR

Regulation (EU) No 2019/2033 (IFR) · Art. 21

Eligibility of funded credit protection received from third parties

Regulation (EU) No 2019/2033 (IFR) · Art. 27

Interpretation of payment instrument

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

Paper-based postal money orders as defined by the Universal Postal Union

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

Active Account Requirement

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

Active Account Requirement

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

Active Account Requirement

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