Subject "2.50.10 Financial supervision"
subscribeDossiers (492)
Current framework for qualification of financial advisors in the EU and assessment of possible ways forward. Report
Commission Notice on the definition of relevant market for the purposes of Community competition law of 9 December 1997. Evaluation. Executive summary
Commission Notice on the definition of relevant market for the purposes of Community competition law of 9 December 1997. Evaluation
Review clauses in Accounting Directive, Non-Financial Reporting Directive and Transparency Directive. Report. Fitness Check on the EU framework for public reporting by companies. Accompanying document
EEA Agreement: amending Annex IX (Financial services) (Prudential requirements and securitisation). EU position
Review of the crisis management and deposit insurance framework contributing to completing the Banking Union
Functioning of the European long-term investment funds (ELTIF) framework. Report
Review of the EU prudential framework for insurers and reinsurers in the context of the EU’s post pandemic recovery
Review clauses in Accounting Directive, Non-Financial Reporting Directive and Transparency Directive. Report
Equivalence in the area of financial services
Regulatory framework applicable to central counterparties in the UK and Northern Ireland is equivalent, in accordance with Regulation (EU) No 648/2012, for a limited period of time. Commission Implementing Decision
Determining, for a limited period of time, that the regulatory framework applicable to central counterparties in the United Kingdom of Great Britain and Northern Ireland is equivalent, in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council. Commission Implementing Decision amending Implementing Decision (EU) 2018/2031
Specifying the information to be included by certain financial entities in the notification of their intention to provide crypto-asset services
Specifying the conditions for the establishment and functioning of consultative supervisory colleges
Markets in crypto-assets with regard to regulatory technical standards on continuity and regularity in the performance of crypto-asset services
Specifying the procedure for the approval of a crypto-asset white paper
Specifying the methodology to estimate the number and value of transactions associated to uses of asset-referenced tokens and of e-money tokens denominated in a currency that is not an official currency of a Member State as a means of exchange
Specifying the information to be included in an application for authorisation as a crypto-asset service provider
Harmonisation of conditions enabling the conduct of the oversight activities
Specifying the content and time limits for the initial notification of, and intermediate and final report on, major ICT-related incidents, and the content of the voluntary notification for significant cyber threats
Information to be exchanged between competent authorities
Specifying the requirements, templates and procedures for the handling of complaints by the crypto-asset service providers
Specifying the requirements, templates and procedures for the handling of complaints relating to asset referenced tokens
2024 update of the taxonomy for the single electronic reporting format
Establishing a template document for cooperation arrangements between competent authorities and supervisory authorities of third countries
Date of application of the own funds requirements for market risk
Regulatory technical standards specifying when derivatives will be used solely for hedging the risks inherent to other investments of the European long-term investment fund (ELTIF), the requirements for an ELTIF’s redemption policy and liquidity management tools, the circumstances for the matching of transfer requests of units or shares of the ELTIF, certain criteria for the disposal of ELTIF assets, and certain elements of the costs disclosure
Renewal of the determination that the solvency regime in force in the United States applicable to undertaking with their head office in that third country is provisionally equivalent to that laid down in Solvency II Directive
Regulatory technical standards on the assessment methodology under which competent authorities verify an institution’s compliance with the requirements to use internal models for market risk
Regulatory technical standards specifying the conditions under which institutions are allowed to calculate KIRB in relation to the underlying exposures of a securitisation transaction
Regulatory technical standards specifying the criteria for the classification of ICT-related incidents and cyber threats, setting out materiality thresholds and specifying the details of reports of major incidents
Regulatory technical standards specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework
Regulatory technical standards specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers
Regulatory technical standards specifying in which circumstances the conditions for identifying groups of connected clients are met. Corrigendum
Harmonisation of certain aspects of fees charged by the European Securities and Markets Authority to creditrating agencies
Harmonisation of certain aspects of fees charged by the European Securities and Markets Authority to securitisation repositories
Harmonisation of certain aspects of fees charged by the European Securities and Markets Authority to certain benchmark administrators
Harmonisation of certain aspects of fees charged by the European Securities and Markets Authority to trade repositories
Harmonisation of certain aspects of fees charged by the European Securities and Markets Authority to trade repositories
Regulatory technical standards specifying, for simple, transparent and standardised non-ABCP traditional securitisation, and for simple, transparent and standardised on-balance-sheet securitisation, the content, methodologies and presentation of information related to the principal adverse impacts of the assets financed by the underlying exposures on sustainability factors
Specifying the criteria for the designation of ICT third-party service providers as critical for financial entities
Specifying the criteria and factors to be taken into account by the European Securities Markets Authority, the European Banking Authority and competent authorities in relation to their intervention powers
Specifying certain criteria for classifying asset-referenced tokens and e-money tokens as significant
Specifying the procedural rules for the exercise of the power to impose fines or periodic penalty payments by the European Banking Authority on issuers of significant asset-referenced tokens and issuers of significant e-money tokens
Specifying the fees charged by the European Banking Authority to issuers of significant asset-referenced tokens and issuers of significant e-money tokens
Determining the amount of the oversight fees to be charged by the Lead Overseer to critical ICT third-party service providers and the way in which those fees are to be paid
Single Resolution Board: appointment of a Member
Specifying the information to be notified in relation to the cross-border activities of managers of alternative investment funds (AIFMs)
Specifying the information to be notified in relation to the cross-border activities of management companies and undertakings for collective investment in transferable securities (UCITS)
Specifying the performance-related triggers and the criteria for the calibration of those triggers
Calculation of eligible liabilities and the transtitional regime
Specifying in which circumstances the conditions for identifying groups of connected clients are met
Specifying the supervisory shock scenarios, the common modelling and parametric assumptions and what constitutes a large decline
Specifying a standardised methodology and a simplified standardised methodology to evaluate the risks arising from potential changes in interest rates that affect both the economic value of equity and the net interest income of an institution’s non-trading book activities
Specifying the materiality of weaknesses, the type of information collected, the practical implementation of the information collection and the analysis and dissemination of the information contained in the Anti-money laundering and counter terrorist financing (AML/CFT) central database referred to in Article 9a(2) of that Regulation
Homogeneity of the underlying exposures in simple, transparent and standardised securitisations
Specifying the minimum elements to be included in a business reorganisation plan and the criteria to be fulfilled for its approval by the resolution authority
Calculation of the stress scenario risk measure
Exemptions, general operating conditions, depositaries, leverage, transparency and supervision: correcting the Swedish language
Adjustments of the size criteria for micro, small, medium-sized and large undertakings or groups
Transition to the TONA and SOFR benchmarks referenced in certain OTC derivative contracts
Specifying the criteria for the identification of shadow banking entities
Sustainability reporting standards
Extending the transitional period laid down for third-country benchmarks
Specifying in greater detail the risk retention requirements for originators, sponsors, original lenders, and servicers
Specifying the measurement of risks or elements of risks not covered or not sufficiently covered by the own funds requirements and the indicative qualitative metrics for the amounts of additional own funds
Regulatory technical standards for the specific liquidity measurement of investment firms
Framework for the recovery and resolution of central counterparties: specifying the conditions under which compensation, cash equivalent of such compensation or any proceeds that are due pursuant to Article 63(1) are to be passed on to clients and indirect clients and the conditions under which passing on is to be considered proportionate
Specifying the circumstances in which a person is deemed to be independent from the resolution authority and from the central counterparty, the methodology for assessing the value of assets and liabilities of a central counterparty, the separation of the valuations, the methodology for calculating the buffer for additional losses to be included in provisional valuations, and the methodology for carrying out the valuation for the application of the ‘no creditor worse off’ principle
Calculation of the own funds requirements for market risk for non-trading book positions subject to foreign exchange risk or commodity risk and the treatment of those positions for the purposes of the regulatory back-testing requirements and the profit and loss attribution requirement under the alternative internal model approach
Requirements for the internal methodology or external sources used under the internal default risk model for estimating default probabilities and losses given default
Penalty mechanism for settlement fails relating to cleared transactions submitted by CCPs for settlement
Rregulatory technical standards specifying the contents of the resolution plan
Regulatory technical standards specifying the content of the written arrangements and procedures for the functioning of the resolution colleges
Annual application date of the calculations of the average daily number of transactions for shares, depository receipts and exchange-traded funds for the purposes of the tick sizes
Methodology for the calculation of liabilities arising from derivatives
Regulatory technical standards as regards certain transparency requirements applicable to transactions in non-equity instruments
Regulatory technical standards as regards certain transparency requirements applicable to transactions in equity instruments
Regulatory technical standards specifying requirements for the type and nature of the information to be exchanged by competent authorities of home and host Member States
Regulatory technical standards specifying the conditions under which colleges of supervisors exercise their tasks
European Central Bank: appointment of the Chair of the Supervisory Board
Company law: time limits for the adoption of sustainability reporting standards for certain sectors and for certain third-country undertakings
Payment services and electronic money services in the Internal Market
Certain aspects of the minimum requirement for own funds and eligible liabilities
Early intervention measures, conditions for resolution and financing of resolution action
Early intervention measures, conditions for resolution and funding of resolution action
Regulatory technical standards specifying the methodology for calculation and maintenance of the additional amount of pre-funded dedicated own resources to be used in accordance with Article 9(14)
Regulatory technical standards specifying the order in which CCPs are to pay the recompense, the maximum number of years during which those CCPs are to use a share of their annual profits for such payments to possessors of instruments recognising a claim on their future profits and the maximum share of those profits that is to be used for those payments
Specifying the factors to be taken into consideration by the competent authority and the supervisory college when assessing the recovery plan of central counterparties
Regulatory technical standards for the calculation of risk-weighted exposure amounts of collective investment undertakings under the mandate-based approach
Date at which the clearing obligation takes effect for certain types of contracts
Date of application of certain risk management procedures for the exchange of collateral
Temporary emergency measures on collateral requirements
Standardised off-the-shelf sampling methodologies and modalities to cover one or more programming periods
Value of the clearing threshold for positions held in OTC commodity derivative contracts and other OTC derivative contracts
Prior permission to reduce own funds and the requirements related to eligible liabilities instruments
2022 update of the taxonomy for the single electronic reporting format
Correcting certain language versions of Delegated Regulation (EU) No 1151/2014
Regulatory technical standards specifying exotic underlyings and the instruments bearing residual risks for the purposes of the calculation of own funds requirements for residual risks
Regulatory technical standards specifying the calculation methods of gross jump-to-default amounts for exposures to debt and equity instruments and for exposures to default risk arising from certain derivative instruments, and specifying the determination of notional amounts of instruments other than the instruments referred to in Article 325w(4) of Regulation (EU) No 575/2013
Regulatory technical standards specifying requirements and arrangements for the application for authorisation as a crowdfunding service provider
Regulatory technical standards on individual portfolio management of loans by crowdfunding service providers, specifying the elements of the method to assess credit risk, the information on each individual portfolio to be disclosed to investors, and the policies and procedures required in relation to contingency funds
Regulatory technical standards for the exchange of information between competent authorities in relation to investigation, supervision and enforcement activities in relation to European crowdfunding service providers for business
Regulatory technical standards for the key investment information sheet
Regulatory technical standards specifying the requirements, standard formats and procedures for complaint handling
Regulatory technical standards specifying the measures and procedures for crowdfunding service providers’ business continuity plan
Regulatory technical standards specifying the methodology for calculating default rates of loans offered on a crowdfunding platform
Regulatory technical standards specifying conflicts of interest requirements for crowdfunding service providers
Central securities depositories: regulatory technical standards on settlement discipline - application of the provisions related to the buy-in regime
Information to be provided in the application for the authorisation as a credit institution, and obstacles which may prevent the effective exercise of supervisory functions of competent authorities
Criteria for assessing the modellability of risk factors under the internal model approach (IMA) and frequency of that assessment under Article 325be(3) of the Capital Requirements Regulation
Technical details of back-testing and profit and loss attribution requirements under Articles 325bf and 325bg of the Capital Requirements Regulation
Key information documents for packaged retail and insurance-basedinvestment products (PRIIPs): presentation, content, review and revision of key information documentsand the conditions for fulfilling the requirement to provide such documents. Correcting the Danish language version of Annex II
Procedure for accessing details of derivatives as well as the technical and operational arrangements for their access
Procedures for the reconciliation of data between trade repositories and the procedures to be applied by the trade repository to verify the compliance by the reporting counterparty or submitting entity with the reporting requirements and to verify the completeness and correctness of the data reported
Details of the applications for registration as a trade repository and for applications for extension of registration as a trade repository
Minimum details of the data to be reported to trade repositories and the type of reports to be used
Information to be provided by an undertaking in the application for authorisation in accordance with Article 8a of the Capital Requirements Directive
Extending the transitional period referred to in Article 89(1), first subparagraph of the EMIR Regulation
Emerging markets and advanced economies
Specification of the calculation of specific and general credit risk adjustments
Information to be provided in accordance with the STS notification requirements for on-balance-sheet synthetic securitisations
Packaged retail and insurance-based investment products (PRIIPs): extension of the transitional arrangement; date of application
Regulatory technical standards for public disclosure of investment policy by investment firms
Fees relating to the supervision by the European Securities Markets Authority of data reporting service providers
Regulatory technical standards (RTS) on determining indirect derivatives exposures within the large exposures framework
Suisse Secrets - How to impose anti-money laundering standards on third countries
Regulatory technical standards on liquidity horizons for the alternative internal model approach
Rules of procedure for measures applicable to the supervision by the European Securities Markets Authority of certain benchmark administrators
Fees applicable to the supervision by the European Securities Markets Authority of certain benchmark administrators
Rules of procedure for the exercise of the power to impose fines or periodic penalty payments by the European Securities Markets Authority regarding data reporting service providers
Regulatory technical standards as regards adjustment the liquidity thresholds and trade percentile used to determine the size specific to the instrument applicable to certain non-equityinstruments
Single Resolution Board: appointment of the Chair
Single Resolution Board: appointment of a Member
Treatment of concentration risk towards central counterparties and the counterparty risk on centrally cleared derivative transactions
Measures to mitigate excessive exposures to third-country central counterparties and improve the efficiency of Union clearing markets
Settlement discipline, cross-border provision of services, supervisory cooperation, provision of banking-type ancillary services and requirements for third-country central securities depositories
Specifying criteria for derogation of the principle that approved publication arrangements and approved reporting mechanisms are supervised by the European Securities Markets Authority
Capital Requirements Regulation (CRR): regulatory technical standards specifying the conditions in accordance with which consolidation is to be carried out in the cases referred to in Article 18(3) to (6) and Article 18(8)
2021 update of the taxonomy laid down in the regulatory technical standards on the single electronic reporting format
Regulatory technical standards for the specification of the assessment methodology competent authorities are to follow when assessing the compliance of credit institutions and investment firms with the requirements to use the Internal Ratings Based Approach
Regulatory technical standards on the information to be notified when exercising the right of establishment and the freedom to provide services
Adjustment of the relevant threshold for the notification of significant net short positions in shares
Underpinning methodology and presentation of performance scenarios, the presentation of costs and the methodology for the calculation of summary cost indicators, the presentation and content of information on past performance and the presentation of costs by packaged retail and insurance-based investment products (PRIIPs) offering a range of options for investment and alignment of the transitional arrangement for PRIIP manufacturers offering units of funds as underlying investment options with the prolonged transitional arrangement
Regulatory technical standards specifying appropriate criteria to identify categories of staff whose professional activities have a material impact on the risk profile of an investment firm or of the assets that it manages
Regulatory technical standards specifying the classes of instruments that adequately reflect the credit quality of the investment firm as a going concern and possible alternative arrangements that are appropriate to be used for the purposes of variable remuneration
Regulatory technical standards specifying the criteria for subjecting certain investment firms to the requirements of Capital Requirements Regulation (CRR)
Regulatory technical standards containing a template document for cooperation arrangements with third countries
Requirements for assets received by money market funds as part of reverse repurchase agreements
Conditions under which the commercial terms for clearing services for OTC derivatives are to be considered to be fair, reasonable, non-discriminatory and transparent
Regulatory technical standards for the contractual recognition of write down and conversion powers
Regulatory technical standards specifying the requirements to ensure that an administrator’s governance arrangements are sufficiently robust
Regulatory technical standards specifying the conditions to ensure that the methodology for determining a benchmark complies with the quality requirements
Regulatory technical standards on the cooperation, exchange of information and notification obligations between competent authorities and ESMA, the EBA and EIOPA
Regulatory technical standards specifying the criteria under which competent authorities may require changes to the compliance statement of non-significant benchmarks
Regulatory technical standards specifying the criteria for the competent authorities’ compliance assessment regarding the mandatory administration of a critical benchmark
European Market Infrastructure Regulation: extending the transitional period referred to in Article 89(1), first subparagraph
Regulatory technical standards specifying the characteristics of the systems and controls for the identification and reporting of any conduct that may involve manipulation or attempted manipulation of a benchmark
Regulatory technical standards determining the content of the contractual terms on recognition of resolution stay powers
Organisational requirements and operating conditions for investment firms and defined terms
Integration of sustainability factors, risks and preferences into certain organisational requirements and operating conditions for investment firms
Integration of sustainability risks in the governance of insurance and reinsurance undertakings
Sustainability risks and sustainability factors to be taken into account by alternative investment fund managers
Integration of sustainability factors into the product governance obligations
Regulatory technical standards specifying the methodology to be used by resolution authorities to estimate the requirement referred to in Article 104a of Capital Requirements Directive and the combined buffer requirement for resolution entities at the resolution group consolidated level where the resolution group is not subject to those requirements under that Directive
Capital Requirements Directive (CRDIV): regulatory technical standards setting out the criteria to define managerial responsibility, control functions, material business units and a significant impact on a material business unit’s risk profile, and setting out criteria for identifying staff members or categories of staff whose professional activities have an impact on the institution’s risk profile that is comparably as material as that of staff members or categories of staff referred to in Article 92(3)
Annual supervisory fees charged by the European Securities and Markets Authority to trade repositories for 2021
Regulatory technical standards specifying the method for identifying derivative transactions with one or more than one material risk driver for the purposes of Article 277(5), the formula for calculating the supervisory delta of call and put options mapped to the interest rate risk category and the method for determining whether a transaction is a long or short position in the primary risk driver or in the most material risk driver in the given risk category for the purposes of Article 279a(3)(a) and (b) in the standardised approach for counterparty credit risk
Capital Requirements Regulation (CRR): regulatory technical standards specifying the nature, severity and duration of an economic downturn referred to in Article 181(1), point (b), and Article 182(1), point (b)
Arrangements for the payment of contributions to the administrative expenditures of the Single Resolution Board
Regulatory technical standards for the specification of the methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions
Rules of procedure for penalties imposed on third-country central counterparties or related third parties by the European Securities and Markets Authority
Content of the file to be submitted by the investigation officer to the European Securities and Markets Authority, the right to be heard with regard to interim decisions and the lodging of fines and periodic penalty payments (amending Delegated Regulation (EU) No 667/2014)
Digitalisation of the European reporting, monitoring and audit
Amendments to the Markets in Financial Instruments Regulation (MiFIR)
Amendments to the Markets in Financial Instruments Directive (MiFID 2)
Amendments to the European Long-Term Investment Funds (ELTIFs) Regulation
Amendments to the Alternative Investment Fund Managers Directive (AIFMD) and to the Directive relating to undertakings for collective investment in transferable securities (UCITSD)
Amendments to the Capital Requirements Regulation in the area of resolution (“daisy chain” proposal)
Amendments to the Capital Requirements Regulation
Amendments to the Capital Requirements Directive
Framework for the recovery and resolution of insurance and reinsurance undertakings
Amendments to the Solvency II Directive
Prevention of the use of the financial system for the purposes of money laundering or terrorist financing: mechanisms to be put in place by the Member States
Information accompanying transfers of funds and certain crypto-assets
Anti-Money Laundering Authority (AMLA)
Prevention of the use of the financial system for the purposes of money laundering or terrorist financing
Undertakings for collective investment in transferable securities (UCITS): the use of key information documents
Packaged retail and insurance-based investment products (PRIIPs): key information documents. Extension of the transitional arrangement
Corporate Sustainability Reporting Directive
Date at which the clearing obligation takes effect for certain types of contracts
Timing of when certain risk management procedures will start to apply for the purpose of the exchange of collateral
Regulatory technical standards as regards adjustment of liquidity thresholds and trade percentiles used to determine the size specific to the instrument applicable to certain non-equity instruments
Thresholds for weekly position reporting
Capital Requirements Regulation (CRR): regulatory technical standards for assigning risk weights to specialised lending exposures
Deduction of software assets from Common Equity Tier 1 items
2020 update of the taxonomy laid down in the regulatory technical standards for the single electronic reporting format
Regulatory technical standards on settlement discipline
Fees charged by the European Securities and Markets Authority to securitisation repositories
Composition, functioning and management of colleges for central counterparties
Minimum content of the explanation on how environmental, social and governance factors are reflected in the benchmark methodology
Minimum standards for EU Climate Transition Benchmarks and EU Paris-aligned Benchmarks
Explanation in the benchmark statement of how environmental, social and governance factors are reflected in each benchmark provided and published
Minimum elements to be assessed by ESMA when assessing third-country CCPs' requests for comparable compliance and the modalities and conditions of that assessment
Criteria that ESMA should take into account to determine whether a central counterparty established in a third-country is systemically important or likely to become systemically important for the financial stability of the Union or of one or more of its Member States
Fees charged by the European Securities and Markets Authority to central counterparties established in third countries
Capital Requirements Regulation (CRR): regulatory technical standards for prudent valuation under Article 105(14)
Regulatory technical standards on settlement discipline
Taking-up and pursuit of the business of insurance and reinsurance - Solvency II: correcting certain language versions
The trade-related extra-territorial effects of third countries’ sanctions
Digital Finance: emerging risks in crypto-assets - regulatory and supervisory challenges in the area of financial services, institutions and markets
European Banking Authority (EBA): appointment of the Executive Director
Single Resolution Board: appointment of the Vice-Chair
Single Resolution Board: appointment of a member
Single Resolution Board: appointment of a member
European Banking Authority (EBA): appointment of the Executive Director
Digital Finance: amending Directive regarding Digital Operational Resilience requirements
Digital finance: Pilot regime on distributed ledger technology market infrastructures (DLT)
Digital finance: Digital Operational Resilience Act (DORA)
Digital finance: Markets in Crypto-assets (MiCA)
Amending Regulation (EU) No 575/2013 as regards adjustments to the securitisation framework to support the economic recovery in response to the COVID-19 crisis
Exemption of certain third country spot foreign exchange benchmarks and the designation of replacements for certain benchmarks in cessation
Markets in financial instruments
General framework for securitisation and specific framework for simple, transparent and standardised securitisation to help the recovery from the COVID-19 crisis
Capital Requirements Regulation: adjustments in response to the COVID-19 pandemic
Specification of the treatment of OTC derivatives in connection with certain simple, transparent and standardised securitisations for hedging purposes
Taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II)
Alternative standardised approach for market risk
Regulatory technical standards on the specification of criteria for establishing the arrangements to adequately mitigate counterparty credit risk associated with covered bonds and securitisations
Regulatory technical standards specifying the details of the application for registration of a securitisation repository and the details of the simplified application for an extension of registration of a trade repository
Regulatory technical standards on securitisation repository operational standards for data collection, aggregation, comparison, access and verification of completeness and consistency
Regulatory technical standards specifying the information to be provided in accordance with the STS notification requirements
Regulatory technical standards specifying the information and the details of a securitisation to be made available by the originator, sponsor and SSPE
Updates of the taxonomy to be used for the single electronic reporting format
Regulatory technical standards on settlement discipline
Aligning the transitional arrangement for PRIIP manufacturers offering units of funds referred to in Article 32 of Regulation (EU) No 1286/2014 as underlying investment options with the prolonged exemption period under that Article
Taking-up and pursuit of the business of insurance and reinsurance (Solvency II). Correcting the Romanian language version
Exemption of the People’s Bank of China from the pre- and post-trade transparency requirements
Taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II)
Identifying high-risk third countries with strategic deficiencies
Application for authorisation of a third party assessing STS compliance
European venture capital funds: conflicts of interest
Minimum action and the type of additional measures credit and financial institutions must take to mitigate money laundering and terrorist financing risk in certain third countries
Exemption of the Bank of England and the United Kingdom Debt Management Office from the scope of Regulation (EU) No 596/2014
EMIR Regulation: list of exempted entities
Transparency of securities: list of exempted entities
Exemption of the Bank of England from the pre- and post-trade transparency requirements
European Banking Authority: appointment of the Chair
Single Resolution Board: designation of Sebastiano Laviola as a new member
Extending the dates of deferred application of the clearing obligation for certain OTC derivative contracts
Single electronic reporting format
Access to the data held in trade repositories
Application for registration and extension of registration as a trade repository
Application for registration as a trade repository
Collection, verification, aggregation, comparison and publication of data on securities financing transactions (SFTs) by trade repositories
Fees charged by the European Securities and Markets Authority to trade repositories
Access to details of securities financing transactions (SFTs) held in trade repositories
Regulatory technical standards specifying the details of securities financing transactions (SFTs) to be reported to trade repositories
Certain registration conditions to promote the use of SME growth markets for the purposes of Directive 2014/65/EU
Regulating virtual currencies and initial coin offerings
Regulatory technical standards specifying the criteria for assessing the impact of an institution’s failure on financial markets, on other institutions and on funding conditions
Financial instruments and financial contracts: Information to be provided in an application for authorisation and in an application for registration
Information to be provided by administrators of critical or significant benchmarks on the methodology used to determine the benchmark, the internal review and approval of the methodology and on the procedures for making material changes in the methodology
Form and content of the application for recognition with the competent authority of the Member State of reference and of the presentation of information in the notification to European Securities and Markets Authority (ESMA)
Governance and control requirements for supervised contributors
Minimum content of cooperation arrangements with competent authorities of third countries whose legal framework and supervisory practices have been recognised as equivalent
Ensuring appropriate and verifiable input data; internal oversight and verification procedures
European Central Bank: appointment of the Chair of the Supervisory Board
Single Resolution Board: appointment of a new member
Accelerated extrajudicial collateral enforcement (AECE)
Credit servicers and credit purchasers (Non-performing loans Directive)
Credit servicers, credit purchasers and the recovery of collateral
Minimum loss coverage for non performing exposures
Issue of covered bonds and covered bond public supervision
Final system of contributions to the administrative expenditures of the Single Resolution Board
OTC derivatives, central counterparties and trade repositories (EMIR): trade reporting and access to data
Exemption of certain third countries' central banks in their performance of monetary, foreign exchange and financial stability policies from pre- and post-trade transparency requirements
Calculation of regulatory capital requirements for certain categories of assets held by insurance and reinsurance undertakings (infrastructure corporates)
Additional objective criteria for the application of a preferential liquidity outflow or inflow rate for cross-border undrawn credit or liquidity facilities within a group or an institutional protection scheme
Deadline for compliance with clearing obligations for certain counterparties dealing with OTC derivatives
Key information documents for packaged retail and insurance-based investment products (PRIIPs): presentation, content, review and revision of key information documents and conditions for fulfilling the requirement to provide such documents
OTC derivatives, central counterparties and trade repositories: list of exempted entities
Credit institutions and investment firms: classes of arrangements to be protected in a partial property transfer
Relationships between the EU and third countries concerning financial services regulation and supervision
Single Resolution Board: renewal of the term of office of the Chair
Prudential supervision of investment firms
European Banking Authority (EBA): location of the seat
European Securities and Markets Authority (ESMA) and European Insurance and Occupational Pensions Authority (EIOPA): powers
European Supervisory Authorities: powers, governance and funding
EMIR and ESMA Regulations: procedures and authorities involved for the authorisation of CCPs and requirements for the recognition of third-country CCPs
European Market Infrastructure Regulation (EMIR): clearing obligation, reporting requirements, risk-mitigation techniques, trade repositories
Parameters for the calculation of cash penalties for settlement fails and the operations of CSDs in host Member States
Authorisation, supervisory and operational requirements for central securities depositories
Certain prudential requirements for central securities depositories and designated credit institutions offering banking-type ancillary services
Content of the reporting on internalised settlements
Resolution on the finalisation of Basel III
OTC derivatives, central counterparties and trade repositories: minimum details of the data to be reported to trade repositories
OTC derivatives, central counterparties and trade repositories: risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty
Conditions for data waiver permissions
Taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II): German language version
Reporting of transactions to competent authorities
Exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations
Basel committee's revision of the standardised approach for credit risk
Direct, substantial and foreseeable effect of derivative contracts within the Union and prevention of the evasion of rules and obligations
Volume cap mechanism and provision of information for the purposes of transparency and other calculations
Requirements on market making agreements and schemes
Clearing obligation
Data to be provided by execution venues on the quality of execution transactions
Annual publication by investment firms of information on the identity of execution venues and on the quality of execution
Minimum set of the information on financial contracts that should be contained in the detailed records and the circumstances in which the requirement should be imposed
Level of accuracy of business clocks
Methodologies and principles on the valuation of liabilities arising from derivatives
Criteria relating to the methodology for setting the minimum requirement for own funds and eligible liabilities
Access to regulated information at Union level
Methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions
Time horizons for the liquidation period to be considered for the different classes of financial instruments
Safeguarding of financial instruments and funds belonging to clients
Recovery plans, resolution plans and group resolution plans
Credit institutions and investment firms: classes of arrangements to be protected in a partial property transfer
Arrangements, systems, procedures and notification templates to be used for preventing, detecting and reporting abusive practices or suspicious orders or transactions
Technical arrangements for objective presentation of investment recommendations or other information recommending or suggesting an investment strategy and for disclosure of particular interests or indications of conflicts of interest
Market abuse: conditions applicable to buy-back programmes and stabilisation measures
Market abuse: content of notifications to be submitted to competent authorities
OTC derivatives: clearing obligation
Market abuse: criteria, procedure and requirements for establishing an accepted market practice
Prudential requirements for credit institutions and investment firms: non-delta risk of options in the standardised market risk approach; material impact on an institution's risk profile
Application of the derogations concerning currencies with constraints on the availability of liquid assets
Banking union - Annual report 2016
Framework for the recovery and resolution of central counterparties
Capital Requirements Directive: exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures
Bank recovery and resolution: ranking of unsecured debt instruments in insolvency hierarchy
Bank recovery and resolution: loss-absorbing and recapitalisation capacity of credit institutions and investment firms
Single Resolution Mechanism: loss-absorbing and recapitalisation capacity for credit institutions and investment firms
Capital Requirements Regulation: transitional arrangements for mitigating the impact of the introduction of IFRS 9 on own funds and the large exposures treatment of certain public sector exposures denominated in non-domestic currencies of Member States
Capital Requirements Regulation: leverage ratio, net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements
Capital Requirements Regulation: leverage ratio, net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements
Markets in financial instruments; market abuse; securities settlement in the EU and central securities depositories: certain dates
Markets in financial instruments: certain dates
Undertakings for collective investment in transferable securities (UCITS): obligations of depositaries
Single Resolution Mechanism and Single Resolution Fund: calculation of ex-ante contributions, circumstances and conditions under which payment of extraordinary ex-post contributions may be partially or entirely deferred
Market abuse: exemption for certain third countries' public bodies and central banks, indicators of market manipulation, disclosure thresholds, competent authority for notifications of delays, permission for trading during closed periods and types of notifiable managers' transactions
Single Resolution Fund: general principles and criteria for the investment strategy and rules for the administration
Ex ante contributions to resolution financing arrangements
Approval and publication of the prospectus and dissemination of advertisements
Equivalence of the solvency regime for insurance and reinsurance undertakings in force in Japan to the regime laid down in Directive 2009/138/EC
Equivalence of the supervisory regime for insurance and reinsurance undertakings in force in Bermuda to the regime laid down in Directive 2009/138/EC
Prudent valuation
General conditions for the functioning of colleges of supervisors
Calculation of regulatory capital requirements for several categories of assets held by insurance and reinsurance undertakings
Regulatory technical standards on the clearing obligation
Regulatory technical standards specifying the definitions and coordinating the supplementary supervision of risk concentration and intra-group transactions
Requirements for investor, sponsor, original lenders and originator institutions relating to exposures to transferred credit risk
Transitional treatment of equity exposures under the IRB approach
Provisional equivalence of the solvency regimes in force in Australia, Bermuda, Brazil, Canada, Mexico and the United States and applicable to insurance and reinsurance undertakings with head offices in those countries
Extension of the transitional periods related to pension scheme arrangements
Equivalence of the solvency and prudential regime for insurance and reinsurance undertakings in force in Switzerland
Disclosure of information in relation to the compliance of institutions with the requirement for a countercyclical capital buffer
Own funds requirements for institutions
Assessing the materiality of extensions and changes of internal approaches when calculating own funds requirements for market risk
Own funds requirements for institutions
Banking union - 2015 annual report
Prudential requirements for credit institutions and investment firms: exemptions for commodity dealers
European deposit insurance scheme (EDIS)
General framework for securitisation and specific framework for simple, transparent and standardised securitisation
Prudential requirements for credit institutions and investment firms
Information to be provided by competent authorities to the European Securities and Markets Authority
Margin periods of risk
Regulatory technical standards on major holdings
Own funds requirements for firms based on fixed overheads. Corrigendum
Evaluation of the bank stress tests
Ex ante contributions to resolution financing arrangements
Taking-up and pursuit of the business of insurance and reinsurance (Solvency II): detailed requirements
Liquidity coverage requirement for credit institutions
Prudential requirements for credit institutions and investment firms: leverage ratio
Methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions
Provisional system of instalments on contributions to cover the administrative expenditures of the Single Resolution Board during the provisional period
Disclosure requirements for structured finance instruments
Presentation of the information that credit rating agencies make available to the European Securities and Markets Authority
Periodic reporting on fees charged by credit rating agencies for the purpose of on-going supervision by the European Securities and Markets Authority
Own funds requirements for firms based on fixed overheads
Regulatory technical standards on the information to be notified when exercising the right of establishment and the freedom to provide services
Regulatory technical standards on the identification of the geographical location of the relevant credit exposures for calculating institution-specific countercyclical capital buffer rates
Rules of procedure for penalties imposed on trade repositories by the European Securities and Markets Authority including rules on the right of defence and temporal provisions
Regulatory technical standards specifying the requirements for investor, sponsor, original lenders and originator institutions relating to exposures to transferred credit risk
Regulatory technical standards for determining proxy spread and limited smaller portfolios for credit valuation adjustment risk
Regulatory technical standards for the definition of market
Regulatory technical standards specifying the classes of instruments that adequately reflect the credit quality of an institution as a going concern and are appropriate to be used for the purposes of variable remuneration
Regulatory technical standards for determining what constitutes the close correspondence between the value of an institution's covered bonds and the value of the institution's assets
Regulatory technical standards further defining material exposures and thresholds for internal approaches to specific risk in the trading book
Regulatory technical standards for assessing the materiality of extensions and changes of the internal ratings based approach and the advanced measurement approach
Regulatory technical standards for non-delta risk of options in the standardised market risk approach
Regulatory technical standards specifying the information that competent authorities of home and host Member States supply to one another
Regulatory technical standards with respect to qualitative and appropriate quantitative criteria to identify categories of staff whose professional activities have a material impact on an institution's risk profile
Regulatory technical standards on direct, substantial and foreseeable effect of contracts within the Union and prevention of the evasion of rules and obligations
Regulatory technical standards for the application of the calculation methods of capital adequacy requirements for financial conglomerates
Regulatory technical standards for own funds requirements for institutions
Regulatory technical standards for specifying the calculation of specific and general credit risk adjustments
Decision on the proposal of the Commission for the appointment of the Chair, Vice-Chair and Members of the Board of the Single Resolution Board
Collection of statistical information by the European Central Bank
Activities and supervision of institutions for occupational retirement provision (IORPs). Recast
Transparency of securities financing transactions and of reuse
Regulatory technical standards determining types of alternative investment fund managers
Regulatory technical standards on requirements for central counterparties
Regulatory technical standards on capital requirements for central counterparties
Regulatory technical standards specifying the data to be published and made available by trade repositories and operational standards for aggregating, comparing and accessing the data
Regulatory technical standards specifying the details of the application for registration as a trade repository
Regulatory technical standards on notification and disclosure requirements with regard to net short positions, the details of the information to be provided to the European Securities and Markets Authority in relation to net short positions and the method for calculating turnover to determine exempted shares
Regulatory technical standards for the assessment of compliance of credit rating methodologies
Regulatory technical standards on indirect clearing arrangements, clearing obligation, public register, access to a trading venue, non-financial counterparties, risk mitigation techniques for OTC derivatives contracts not cleared by a CCP
Regulatory technical standards on the minimum details of the data to be reported to trade repositories
Exemptions, general operating conditions, depositaries, leverage, transparency and supervision
Regulatory technical standards on information for registration and certification of credit rating agencies
Presentation of information provided by credit rating agencies to a central repository established by the European Securities and Markets Authority
Content and format of periodic reporting on ratings data that credit rating agencies must submit to the European Securities and Markets Authority
Rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions
Regulatory technical standards for the method of calculation of the fall in value for liquid shares and other financial instruments
Definitions, calculation of net short positions, covered sovereign credit default swaps, notification thresholds, liquidity thresholds for suspending restrictions, significant falls in the value of financial instruments and adverse events
OTC derivatives, central counterparties and trade repositories with regard to the list of exempted entities
Fees charged by the European Securities and Markets Authority to trade repositories
State of play in the negotiations on the European Banking Union
Regulatory technical standards on colleges for central counterparties
Resolution on the completing the scoreboard for the Macroeconomic Imbalance Procedure (MIP)
European Parliament/European Central Bank (ECB) Interinstitutional Agreement: practical modalities of the exercise of democratic accountability and oversight over the exercise of the tasks conferred on the ECB within the framework of the Single Supervisory Mechanism
Long-term financing of the European economy
European system of financial supervision (ESFS) review
Taking-up and pursuit of the business of insurance and reinsurance (Solvency II): dates of transposition and application; date of repeal of certain directives
Indices used as benchmarks in financial instruments and financial contracts
Money market funds
Single Resolution Mechanism and Single Resolution Fund: uniform rules and procedure for the resolution of credit institutions and certain investment firms
European long-term investment funds
Prevention of the use of the financial system for the purposes of money laundering or terrorist financing
Information accompanying transfers of funds
Resolution on 'Towards a Banking Union'
Shadow banking
European Banking Authority (EBA): adjustment of procedural modalities
Prudential supervision of credit institutions: conferring specific tasks on the European Central Bank (ECB)
Packaged retail and insurance-based investment products (PRIIPs): key information documents
Undertakings for collective investment in transferable securities (UCITS): depositary functions, remuneration policies and sanctions
Credit institutions and investment firms: framework for recovery and resolution
Taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II): dates of transposition and application, date of repeal of certain Directives
Securities settlement in the EU and central securities depositories (CSDs)
Stress tests of the EU banking sector
Audit policy: lessons from the crisis
European venture capital funds
Statutory audits of annual accounts and consolidated accounts
Credit rating agencies: integrity, transparency, responsibility, good governance and independence of activities
Institutions for occupational retirement provision, undertakings of collective investment in transferable securities (UCITS) and Alternative Investment Funds Managers: risk management
Statutory audit of public-interest entities: specific requirements
Company law: annual financial statements, consolidated financial statements and related reports of certain types of undertakings
Securities: issuers trading on a regulated market, transparency requirements
Markets in financial instruments. Recast
Criminal sanctions for market abuse (market abuse directive)
Markets in financial instruments; OTC derivatives, central counterparties and trade repositories
Market abuse
Access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms. Capital Requirements Directive (CRDIV)
Prudential requirements for credit institutions and investment firms. Capital Requirements Regulation (CRR)
European Supervisory Authorities: powers of the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority
Financial supervision package
Credit rating agencies
Corporate governance in financial institutions
Credit rating agencies: future perspectives
Regulation of trading in financial instruments - "dark pools" etc.
Basel II and revision of the Capital Requirements Directives (CRD 4)
Cross-border crisis management in the banking sector
Cross-border crisis management in the banking sector
Treaty on the Functioning of the EU (TFEU): stability mechanism for Member States whose currency is the euro (amend. Article 136 TFEU)
Wholesale energy market integrity and transparency
Financial markets: short selling and certain aspects of credit default swaps
OTC derivatives, central counterparties and trade repositories (EMIR, European Market Infrastructure Regulation)
Financial conglomerates: supplementary supervision of financial entities
Credit rating agencies: supervision
Financial supervision: powers of the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority
European Insurance and Occupational Pensions Authority (EIOPA): establisment
European Banking Authority (EBA): establishment
European Central Bank (ECB): specific tasks concerning the functioning of the European Systemic Risk Board (ESRB)
Macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (ESRB)
Alternative Investment Fund Managers
Credit rating agencies
Financial markets: banks affiliated to central institutions, certain own funds items, large exposures, supervisory arrangements, and crisis management
Electronic money: taking up, pursuit and prudential supervision of the business of electronic money institutions
Undertakings for collective investment in transferable securities (UCITS): coordination of laws, regulations and administrative provisions. Recast
Banks and financial markets: settlement finality in payment and securities settlement systems; financial collateral arrangements as regards linked systems and credit claims
Taking-up and pursuit of the business of insurance and reinsurance - Solvency II. Recast
Prudential assessment of acquisitions and increase of holdings in the financial sector
Investment firms and credit institutions: capital adequacy. Recast
Credit institutions: taking up and pursuit of the business. Recast
New organisational structure for financial services committees
Securities: issuers trading on a regulated market, transparency requirements
Prudential supervision rules in the European Union
Supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate
Electronic money: granting of a single license and home Member State prudential supervision of these institutions
Prudential supervision of credit institutions, life assurance and non-life insurance, UCITS: review of directives
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