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 99 of 148
Emission allowances market participants (EAMPs) - Disclosure of inside information concerning emission allowances, referring to installations of other undertakings of the group of the EAMP
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Emission allowances market participants (EAMPs) - Disclosure of inside information concerning emission allowances, referring to installations of other undertakings of the group of the EAMP
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Emission allowances market participants (EAMPs) - Meaning of ‘parent’ and ‘related undertaking’ in Article 17(2) of MAR
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Potential cases of inside information in relation to collective investment undertakings voluntarily admitted to trading or traded on a trading venue
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2019-03-29
Identification and access for testing purposes of entities that are not authorised third party providers (TPPs)
Directive 2015/2366/EU (PSD2) · Art. 98
Answered 2019-03-29
Exposures in the form of covered bonds
Regulation (EU) No 575/2013 (CRR) · Art. 129
Answered 2019-03-29
For swaps should we consider that we have a collateral agreement with the counterparty?
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-03-29
Reporting of exposures whose collateral type is (g) credit derivatives, (h) guarantees or (i) unfunded credit protection
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-03-29
Category on which the covered part of exposures should be reported.
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-03-29
Meaning of current year in validation rule v6167_m
Directive 2013/36/EU (CRD) · Art. 78
Answered 2019-03-29
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
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
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
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
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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