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Exception to the scope of the bail-in tool (Article 44(2)(g)(iii))
Is the exception to the scope of the bail-in tool provided for in Article 44(2)(g)(iii) of Directive 2014/59/EU (BRRD) restricted to social security contributions, or does it also extend to deposits and reserves of a social security authority?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_3041 |
Topic: Resolution tools and powers |
Date of submission: 08/12/2016 |
Date of publication: 21/01/2022
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Direct fiscal impact and systemic implication in Article 3(6)
How can the terms “direct fiscal impact” and “systemic implication” in Article 3(6) be transposed in a way that removes ambiguity?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2620 |
Topic: Other topics |
Date of submission: 12/02/2016 |
Date of publication: 21/01/2022
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Special resolution regimes for credit institutions not covered by the Directive / partly resolved via insolvency
Does Directive 2014/59/EU (BRRD) prevent Member State to adopt special resolution regimes (including, e.g., bail-in) for credit institutions (i) that are not covered by the Directive; or (ii) in scope of the BRRD, whose preferred strategy is liquidation under national insolvency proceedings?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2619 |
Topic: Other topics |
Date of submission: 12/02/2016 |
Date of publication: 21/01/2022
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Fiduciary relationship
What is a “fiduciary relationship” according to Directive 2014/59/EU (BRRD)?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_3040 |
Topic: Resolution tools and powers |
Date of submission: 08/12/2016 |
Date of publication: 21/01/2022
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Two separate ex-ante valuations for resolution purposes
In case two separate ex-ante valuations for resolution purposes have been prepared, each of which covering different purposes as per Article 36(4) of Directive 2014/59/EU (BRRD), shall both be treated as a part of the valuation and, therefore, the decision on resolution? Should they both be subjected to judicial review in line with Articles 36(13) and 85 BRRD?On a related note, can a resolution authority's decision be appealed if it does not include a decision on a specific resolution action to be taken?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2584 |
Topic: Valuation |
Date of submission: 20/01/2016 |
Date of publication: 21/01/2022
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Meaning of “liability” in Article 60(2)(b)
Do liabilities mentioned in Article 60(2)(b) only refer to the potential liabilities for damages of the national resolution authority to the holder of the relevant capital instrument or eligible liabilities as referred to in Article 59 BRRD?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_3019 |
Topic: Write-down and conversion of capital instruments |
Date of submission: 23/11/2016 |
Date of publication: 21/01/2022
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Use of valuation to apply resolution tools and to initiate resolution
Why is valuation part of the decision on application of resolution tools instead of the decision initiating resolution?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2583 |
Topic: Valuation |
Date of submission: 20/01/2016 |
Date of publication: 21/01/2022
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Power of the resolution authority to transfer back
How should the transfer back procedure be applied in the context of the sale of business tool?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2565 |
Topic: Resolution tools and powers |
Date of submission: 13/01/2016 |
Date of publication: 21/01/2022
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Compensation in Article 60(2)(c)
How should the use of the wording “compensation” in Article 60(2)(c) of Directive 2014/59/EU (BRRD) be interpreted?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_3016 |
Topic: Write-down and conversion of capital instruments |
Date of submission: 23/11/2016 |
Date of publication: 21/01/2022
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Clarification on Article 36(6)(a)
How should the term "updated” referred to in Article 36(6)(a) of Directive 2014/59/EU (BRRD) be interpreted?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2564 |
Topic: Valuation |
Date of submission: 13/01/2016 |
Date of publication: 21/01/2022
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Special manager as insolvency manager
Must national courts adhere to the resolution authority’s decision that a special manager should also be insolvency manager?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2523 |
Topic: Special management |
Date of submission: 11/12/2015 |
Date of publication: 21/01/2022
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References to shareholders in Article 34 (and 44)
Are holders of Common Equity Tier 1 (CET1) only to be considered shareholders?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2521 |
Topic: Resolution tools and powers |
Date of submission: 11/12/2015 |
Date of publication: 21/01/2022
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Difference in treatment of viable subsidiaries for the application of write down and conversion of capital instruments and resolution tools and powers
Can the power of write down or conversion of capital instruments be exercised in relation to instruments issued by a still viable subsidiary belonging to a failing group?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2016_2957 |
Topic: Write-down and conversion of capital instruments |
Date of submission: 19/10/2016 |
Date of publication: 21/01/2022
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Definition of the target level for national resolution systems since 2016
How should national resolution authorities continue calculating the ex-ante contributions of investment firms that do not fall in the scope of Commission Delegated Regulation (EU) 2015/63?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Delegated Regulation (EU) 2015/63 - DR on ex ante contributions to resolution financing arrangements
ID: 2015_2507 |
Topic: Resolution financing arrangements |
Date of submission: 07/12/2015 |
Date of publication: 21/01/2022
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Composition of resolution college
For the purpose of Article 88(2)(g)) of Directive 2014/59/EU (BRRD), should “the authority that is responsible for the deposit guarantee scheme of a member state” be the “designated authority” in accordance to Article 2(1)(18) of Directive 2014/49/EU (DGSD)?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2457 |
Topic: Other topics |
Date of submission: 03/11/2015 |
Date of publication: 21/01/2022
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Resolution plan for an institution without any critical economic functions
Is the resolution authority under the obligation to elaborate resolution plans even for institutions without critical functions for which the waiver under Article 4(8) of Directive 2014/59/EU (BRRD) is not available? Must the resolution authority elaborate resolution plans for groups that do not have any critical functions?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2455 |
Topic: Resolution plans |
Date of submission: 03/11/2015 |
Date of publication: 21/01/2022
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Variable component of the remuneration of material risk takers
What types of liabilities are excluded from the exemption under Article 44(2)(g)(i)is by the reference to Article 92(2) of Directive 2013/36/EU (CRD) in the second subparagraph of Article 44(2) of Directive 2014/59/EU (BRRD)?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2432 |
Topic: Resolution tools and powers |
Date of submission: 20/10/2015 |
Date of publication: 21/01/2022
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Interaction of shares transfer with the resolution process
Is there a difference in process between the transfer effected under the sale of business tool and the transfer effected under the bridge institution tool, whereby the resolution entity’s shares are, first, transferred to a bridge institution and, later, to a third entity, pursuant to Article 40(6)(b) of Directive 2014/59/EU (BRRD)?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2360 |
Topic: Resolution tools and powers |
Date of submission: 30/09/2015 |
Date of publication: 21/01/2022
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Payment of consideration in shares of a bridge institution
Is it possible to pay the consideration mentioned in Article 40 (4) of Directive 2014/59/EU (BRRD) in shares of a bridge institution? Is the same possible in case the asset separation tool has been applied?
Legal act: Directive 2014/59/EU (BRRD)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2015_2343 |
Topic: Resolution tools and powers |
Date of submission: 30/09/2015 |
Date of publication: 21/01/2022
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API functionality
Does Article 64(2) of PSD2 limit the ability of Payment Initiation Service Providers (PISPs) to initiate a single payment transaction for immediate execution only?
Legal act: Directive 2015/2366/EU (PSD2)
COM Delegated or Implementing Acts/RTS/ITS/GLs: Not applicable
ID: 2018_4096 |
Topic: Strong customer authentication and common and secure communication (incl. access) |
Date of submission: 10/07/2018 |
Date of publication: 21/01/2022
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