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Subject "2.50.10 Financial supervision"

Dossiers (261)

Equivalence in the area of financial services
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): 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, 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