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 97 of 148
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-07-11
MREL requirement if resolution strategy is liquidation (no bail-in tool used)
Directive 2014/59/EU (BRRD) · Art. 45, 45c, 45f
Answered 2019-06-28
Reporting Templates
(EU) No 2015/2450 - templates for the submission of information to the supervisory authorities · Art. NA
Answered 2019-06-27
Calculation of institution-specific countercyclical capital buffer rates
Directive 2013/36/EU (CRD) · Art. 130, 139, 139, 140
Answered 2019-06-21
Scope of the corporate SCA exemption.
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-14
"Authorisation number" in eIDAS certificates
Directive 2015/2366/EU (PSD2) · Art. 65, 66, 67
Answered 2019-06-14
Requirement on the use of a Qualified Certificate for Electronic Seals (QSealC) for integrity and authenticity
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-14
Qualified certificate under eIDAS for ASPSP
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-14
Secure corporate payment processes and protocols
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-14
Applicability of SCA to electronically processed SEPA Direct Debits / Interpretation of EBA Q&A 2018_4359
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-06-07
ASPSP providing updated payment status to PISP
Directive 2015/2366/EU (PSD2) · Art. 46
Answered 2019-06-07
Validation rule v1088_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
Securitisations reporting in C 09.04 for v 2.8
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
Reverse repos (Reverse Repurchase Agreements) in AE-Assets Encumbrance
Regulation (EU) No 575/2013 (CRR) · Art. 100
Answered 2019-06-07
Validation rule v0853_m - Framework release 2.8
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
FINREP Locom valued debt instruments: Reporting of "Accumulated negative value adjustments on LOCOM assets - credit risk induced"
Directive 2013/36/EU (CRD) · Art. na
Answered 2019-06-07
Finrep Solo GAAP: The following validation rules v5476_m until v5489_m are missing the column"Accumulated negative value adjustments on LOCOM assets - credit risk induced"
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
Difference in reporting requirements for C71 as per the EBA Annotated Reports and ITS Monitoring Metrics
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2019-06-07
Testing eIDAS certificates before 14 September 2019
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-07
Application of Transaction Risk Analysis (TRA) exemption – Real time risk analysis / monitoring
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-07
Accumulated other comprehensive income in template C.01.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
Exemption for secure corporate payment processes and protocols
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-06-07
Transaction Risk Analysis (TRA) exemption – Frequency of recalculation of fraud rate
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-06-07
Currency conversion of the EUR thresholds contained in the RTS
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-06-07
Report gross or netted cash flows in the row 360 of C66 (maturity ladder) of non-forex and non-option-like derivatives under a valid netting agreement but without collateral agreement
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2019-06-07
Low Credit Risk Template 4.4.1 and 4.3.1
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
Reporting of fees and levies in FINREP template F 02
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-06-07
Voluntary SI regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Markets in Financial Instruments Regulations (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2019-06-03
Mandatory SI regime
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Markets in Financial Directorate II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-06-03
Performance of depositary functions where there are branches in other Member States
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Supervision of depositary functions in case of branches in other Member States
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Depositary tasks entrusted to third parties
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Delegation by a depositary to another legal entity belonging to the same group
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Distinction between depositary tasks and mere supporting tasks
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Annexes 14 and 15. How should fields relating to interest rate swaps be completed in the event of multiple interest rate swaps in the securitisation? What about currency swaps that are in the same situation?
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Percentage of Prepayments Allowed Per Year
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Validation of information in an STS Notification
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Reporting of risk retention information for ABCP securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 12 and 13: Investor Reports - Clarifications for field Defaulted Exposures
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Reporting information for private securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 14 and 15: Inside Information or Significant Event Information - Inside information or significant event information template for private securitisations?
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 14 and 15. Fields SSPE Value (SESS10), SSPE Principal Value (SESS11), Note Principal Balance (SESS13) – how should these fields be completed in the event of multiple currencies in the pool of underlying exposures?
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
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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