Single Rulebook Q&A

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Taxonomy 2.7.0.1 Validation Rules on FINREP 12.01

According to rule v5054_m, the total of the stage one allowance is limited to the provision for...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2018_3673 | Topic : Supervisory reporting | Date of submission: 20/01/2018
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Deduction requirements in accordance with Article 36(1) (f), (h) and (i) CRR: Netting of long and short positions in intermediate entities in the context of Article 15e (7) of Delegated Regulation (EU) No 241/2014 (“RTS Own Funds”)

Can an institution, in applying Article 15e (7) of Delegated Regulatio...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2017_3543 | Topic : Own funds | Date of submission: 05/10/2017
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Commitment to buy newly issued shares and synthetic holding deduction

What would be the prudential treatment applicable to a financial instrument where a bank commits...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2017_3292 | Topic : Own funds | Date of submission: 12/05/2017
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Clarification of the conditions for reduction of own funds due to Article 77 CRR and Article 28 RTS on Own funds.

Should deductions from own funds with regard to a permission to reduce own funds in accordance w...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2017_3277 | Topic : Own funds | Date of submission: 28/04/2017
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Taps on callable instruments

If a tap of an instrument is priced at a lower credit spread than the initial spread of the orig...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2016_2848 | Topic : Own funds | Date of submission: 28/07/2016
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Instrumenty w Tier II / Tier 2 instruments and incentives to redeem or repay subordinated bonds prior to their maturity.

Original question Artykuł 63 lit. h) Rozporządzenia Parlamentu Europejskiego i Rady (UE) n...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2016_3076 | Topic : Own funds | Date of submission: 29/12/2016
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Prior permission for repurchase of CET 1 instruments for discretionary trading activity over treasury shares for a certain predetermined amount.

Should the prior permission for the repurchase of CET 1 instruments for discretionary trading ac...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2017_3174 | Topic : Own funds | Date of submission: 22/02/2017
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Short positions in financial institution capital instruments

1. For a contract between bank A and B as set out in the background that is a forward sell (phy...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2016_2785 | Topic : Own funds | Date of submission: 10/06/2016
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Gross-up calls on Tier 2

Should gross-up cases on Tier 2 be allowed only in relation to coupon withholding tax (and not p...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2016_2849 | Topic : Own funds | Date of submission: 28/07/2016
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Incentives to redeem of a hybrid instrument with a call for grandfathering purposes

Article 489 of Regulation (EU) No 575/2013 (CRR) provides for the grandfathering treatment of hy...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2016_2988 | Topic : Own funds | Date of submission: 11/11/2016
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Calculation of the predetermined amount for market making purposes

Which amount has to be taken into account in market making operations when the nominal amount of...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2016_2852 | Topic : Own funds | Date of submission: 02/08/2016
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Predetermined amount in case of applications for redemptions, reductions and repurchases by mutuals, cooperative societies, savings institutions or similar institutions for the purposes of Article 77 CRR

Article 32(2) of Commission Delegated Regulation (EU) No 241/2014 (RTS on own funds) states: “Compet...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2015_2094 | Topic : Own funds | Date of submission: 06/07/2015
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Predetermined amount for market making with partially grandfathered or amortised instruments

An institution has asked for advance permission according to Article 29(3) of Commission Delegated R...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2015_2095 | Topic : Own funds | Date of submission: 06/07/2015
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Market making in several AT1 or T2 instruments

Where an institution applies for permission for repurchase of several Additional Tier 1 or Tier 2 ca...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2015_2042 | Topic : Own funds | Date of submission: 12/06/2015
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Deduction of direct holdings of CET 1 instruments of FSEs

Article 45 of CRR specifies for the direct deductions in Article 36(1)(h) and (j) that we may calcul...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2014_1658 | Topic : Own funds | Date of submission: 02/12/2014
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Subordinated loans as Additional Tier 1 capital

Is it possible for a (normal) subordinated loan to qualify as Additional Tier 1 capital according to...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2015_1846 | Topic : Own funds | Date of submission: 20/02/2015
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Market making prior to 5 years from issuance of AT1-/T2-Instruments – follow up of Q&A 2013_290

In the case of a repurchase of own funds instruments for market making pur-poses, competent authorit...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2015_1791 | Topic : Own funds | Date of submission: 03/02/2015
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In the case of a repurchase of CET 1 instruments, AT 1 instruments, or T 2 instruments for market making purposes, competent authorities may give their permission in advance to reducing own funds for a certain predetermined amount.

Would such a frame given in advance to reduce own funds for a certain predetermined amount for marke...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2014_1352 | Topic : Own funds | Date of submission: 08/07/2014
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Maturity-based calculation of general risk

Are the FX Forward, FX Swap and CIRS to be taken into consideration when computing the General Risk...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2014_1356 | Topic : Market risk | Date of submission: 10/07/2014
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Treatment as own funds under Regulation (EU) No 575/2013 (CRR)

Confirmation is sought that instruments that initially qualified for transitional treatment in a hig...

COM Delegated or Implementing Acts/EBA RTS/EBA ITS/EBA GLs: Regulation (EU) No 241/2014 - RTS for Own Funds requirements for institutions
ID: 2014_1071 | Topic : Own funds | Date of submission: 14/04/2014
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