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.
7,150 Q&As matching current filters · page 99 of 143
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Third-country firms marketing directly
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-03-28
Updating information in a registration document before it is part of a prospectus (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-03-27
Clarification on the risk weight applied to deferred tax assets that do not rely on future profitability
Regulation (EU) No 575/2013 (CRR) · Art. 39
Answered 2019-03-22
ASPSP is denied the waiver to the fall-back by an NCA
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-03-22
Scope of application of the term "securitisation" and risk retention obligation in Article 405 CRR
Regulation (EU) No 575/2013 (CRR) · Art. 4, 405
Answered 2019-03-22
Application of margin period of risk scalars for exposures to clients
Regulation (EU) No 575/2013 (CRR) · Art. 304
Answered 2019-03-22
Disclosure of inside information by collective investment undertakings without legal personality voluntarily admitted to trading or traded on a trading venue
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-20
COREP Template C 25.00.Validation rule v0641_m.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-03-15
COREP template C 05.01-validation rule v0269
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-03-15
Finrep validation rules of F 02.00 and F 16.01
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-03-15
Clarifying the Impact of the new securitisation framework on template C 14.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-03-15
FINREP Validation rule v5116_m
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-03-15
Suspect wrong validation rule Finrep (DPM 2.7), F18: v5517_m, v5461_m, v5503_m and v5531.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-03-15
Presentation of cash flows related to non performing exposures in the template (C 66.01.a)
Regulation (EU) No 575/2013 (CRR) · Art. 415
Answered 2019-03-15
Application of the exemption related to a trusted beneficiary
Directive 2015/2366/EU (PSD2) · Art. 13
Answered 2019-03-08
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Disclosure of the benchmark index in the objectives and investment policies - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Disclosure of the benchmark index in the objectives and investment policies - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Disclosure of the benchmark index in the objectives and investment policies - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Subsequent instances of a recurring card payment transaction, other than the first, initial one, are transactions initiated by the payee only. This is also the case for card instalment transactions.
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-03-01
Payee-initiated transactions with irregular period or variable amount
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-03-01
Applicability of SCA to ‘card payments initiated by the payee only’
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-03-01
Transactions initiated via Interactive Voice Response (IVR) solutions
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-03-01
Exposures to unrated institutions
Regulation (EU) No 575/2013 (CRR) · Art. 114, 121
Answered 2019-03-01
Exposures to regional governments, local authorities or public sector entities which are treated as exposures to central governments under Articles 115 and 116 CRR
Regulation (EU) No 575/2013 (CRR) · Art. 115, 116, 143, 147, 150
Answered 2019-03-01
Does SCA apply to electronically processed SEPA Direct Debits ?
Directive 2015/2366/EU (PSD2) · Art. 4
Answered 2019-02-22
New risk weights for exposures to central governments or central banks not applicable in DPM 2.7 for C 07.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-02-22
Treatment of off-balance sheet exposures measured at reporting date at fair value trough P&L in templates F 18.00 and F 19.00
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-02-22
Reactivation of v0191_m as of v2.7.
Regulation (EU) No 575/2013 (CRR) · Art. 99
Answered 2019-02-22
IFRS 9 Transitional arrangements – Calculation of the total exposure measure of the leverage ratio
Regulation (EU) No 575/2013 (CRR) · Art. 473a
Answered 2019-02-15
Showing a password after it has been masked
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-02-08
Contactless payments at point of sale - Applications of the conditions
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-02-08
Communication plans to inform payment service providers making use of the dedicated interface
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-02-08
Length of authentication codes
Directive 2015/2366/EU (PSD2) · Art. 97
Answered 2019-02-08
On demand secured lending of Level 1 assets
Regulation (EU) No 575/2013 (CRR) · Art. 416
Answered 2019-02-08
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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