FCA - Technical Specifications - 2023

 

Technical Standards

Alternative Investment Fund Managers Directive

2014

• • Commission Delegated Regulation (EU) No 694/2014
    • Preamble
    • Article 1 Types of AIFMs
    • Article 2 Entry into force
    • Signature

Benchmarks Regulation

2018

Commission Delegated Regulation (EU) 2018/1637

• Preamble
• Article 1 Composition of the oversight function
• Article 2 Characteristics and positioning of the oversight function
• Article 3 Procedures governing the oversight function
• Article 4 Entry into force
• Signature
• ANNEX Non-exhaustive list of appropriate governance arrangements

Commission Delegated Regulation (EU) 2018/1638

• Preamble
• Article 1 Scope
• Article 2 Ensuring appropriate and verifiable input data
• Article 3 Internal oversight and verification procedures of a contributor
• Article 4 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2018/1639

• Preamble
• Article 1 Description of input data
• Article 2 Submitters
• Article 3 Policies to ensure that a contributor provides all relevant input data
• Article 4 Systems and controls
• Article 5 Policies on the use of discretion when contributing input data
• Article 6 Record-keeping policies
• Article 7 Reporting of suspicious input data
• Article 8 Conflicts of interest
• Article 9 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2018/1640

• Preamble
• Article 1 Scope
• Article 2 Control framework
• Article 3 Controls on submitters
• Article 4 Training for submitters
• Article 5 Conflicts of interest
• Article 6 Record-keeping
• Article 7 Expert judgement
• Article 8 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2018/1641

• Preamble
• Article 1 Scope
• Article 2 Key elements of the methodology used to determine a critical or significant benchmark
• Article 3 Details of the internal review and approval of the methodology
• Article 4 Material changes to the methodology
• Article 5 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2018/1642

• Preamble
• Article 1 Vulnerability of the benchmark to manipulation
• Article 2 Nature of the input data
• Article 3 Level of conflicts of interest
• Article 4 Degree of discretion of the administrator
• Article 5 Impact of the benchmark on markets
• Article 6 Nature, scale and complexity of the provision of the benchmark
• Article 7 Importance of the benchmark to financial stability
• Article 8 Value of financial instruments, financial contracts and investment funds that reference the benchmark
• Article 9 The administrator's size, organisational form or structure
• Article 10 Entry into force
• Signature

Commission Delegated Regulation (EU) 2018/1643

• Preamble
• Article 1 General disclosure requirements
• Article 2 Specific disclosure requirements for regulated-data benchmarks
• Article 3 Specific disclosure requirements for interest rate benchmarks
• Article 4 Specific disclosure requirements for commodity benchmarks
• Article 5 Specific disclosure requirements for critical benchmarks
• Article 6 Updates
• Article 7 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2018/1644

• Preamble
• Article 1 Scope of the cooperation arrangements
• Article 2 Exchange of information and notifications
• Article 3 Supervisory cooperation
• Article 4 Confidentiality, use of information and data protection
• Article 5 Entry into force
• Signature

Commission Delegated Regulation (EU) 2018/1645

• Preamble
• Article 1 General requirements
• Article 2 Format of the application
• Article 3 Specific information concerning policies and procedures
• Article 4 Entry into force
• Signature
• ANNEX Information to be provided in the application for recognition under Article 32 of Regulation (EU) 2016/1011

Commission Delegated Regulation (EU) 2018/1646

• Preamble
• Article 1 General requirements
• Article 2 Information to be provided for types of benchmarks
• Article 3 Specific information concerning policies and procedures
• Article 4 Entry into force
• Signature
• ANNEX I Information to be provided in an application for authorisation under Article 34 of Regulation (EU) 2016/1011
• ANNEX II Information to be provided in an application for registration under Article 34 of Regulation (EU) 2016/1011

Commission Implementing Regulation (EU) 2018/1105 [revoked]

• [revoked]

• Commission Implementing Regulation (EU) 2018/1106
  • Preamble
  • Article 1 Templates for the compliance statement
  • Article 2 Entry into force
  • Signature
  • ANNEX I Template for the compliance statement referred to in Article 25(7) of Regulation (EU) 2016/1011
  • ANNEX II Template for the compliance statement referred to in Article 26(3) of Regulation (EU) 2016/1011

2020

Commission Delegated Regulation (EU) 2020/1816

• Preamble
• Article 1 Definitions
• Article 2 Explanation of how ESG factors are reflected in each benchmark or family of benchmarks
• Article 3 Update of the explanation provided
• Article 4 Entry into force and application
• Signature
• ANNEX I
• ANNEX II Section 1 EQUITY Section 2 FIXED INCOME Section 3 SOVEREIGN DEBT Section 4 COMMODITY Section 5 OTHER

Commission Delegated Regulation (EU) 2020/1817

• Preamble
• Article 1 Explanation on how ESG factors are reflected in the benchmark methodology
• Article 2 Update of the explanation provided
• Article 3 Entry into force and application
• Signature
• ANNEX

• • Commission Delegated Regulation (EU) 2020/1818
    • Preamble
    • CHAPTER I DEFINITIONS
      • Article 1 Definitions
    • CHAPTER II MINIMUM STANDARDS FOR THE DESIGN OF THE BENCHMARK METHODOLOGY
      • SECTION 1 MINIMUM STANDARDS COMMON FOR EU CLIMATE TRANSITION BENCHMARKS AND EU PARIS-ALIGNED BENCHMARKS
        • Article 2 Reference temperature scenario
        • Article 3 Equity allocation constraint
        • Article 4 Calculation of GHG intensity or absolute GHG emissions
        • Article 5 Phase-in of Scope 3 GHG emissions data in the benchmark methodology
        • Article 6 Companies setting and publishing GHG emission reduction targets
        • Article 7 Setting a decarbonisation trajectory
        • Article 8 Change in GHG intensity and absolute GHG emissions
      • SECTION 2 MINIMUM STANDARDS FOR EU CLIMATE TRANSITION BENCHMARKS
        • Article 9 Baseline reduction of GHG intensity or absolute GHG emissions for EU Climate Transition Benchmarks
        • Article 10 Exclusions for EU Climate Transition Benchmarks
      • SECTION 3 MINIMUM STANDARDS FOR EU PARIS-ALIGNED BENCHMARKS
        • Article 11 Baseline reduction of GHG intensity or absolute GHG emissions for EU Paris-aligned Benchmarks
        • Article 12 Exclusions for EU Paris-aligned Benchmarks
    • CHAPTER III TRANSPARENCY AND ACCURACY
      • Article 13 Transparency requirements for estimations
      • Article 14 Disclosure of the decarbonisation trajectory
      • Article 15 Accuracy of the data sources
    • CHAPTER IV FINAL PROVISIONS
      • Article 16 Entry into force and application
    • Signature

Bank Recovery and Resolution Directive

2016

Commission Delegated Regulation (EU) 2016/1075

• Preamble
• CHAPTER I COMMON PROVISIONS AND RECOVERY PLANS
  • SECTION I Common provisions
    • Article 1 Subject matter
    • Article 2 Definitions
  • SECTION II Content of recovery plans
    • Article 3 Information to be included in a recovery plan
    • Article 4 Summary of the key elements of the recovery plan
    • Article 5 Governance
    • Article 6 Strategic analysis
    • Article 7 The description of entities covered by the recovery plan
    • Article 8 Recovery options
    • Article 9 Actions, arrangements and measures under recovery options
    • Article 10 Impact assessment
    • Article 11 Feasibility assessment
    • Article 12 Continuity of operations
    • Article 13 Cross references
    • Article 14 Communication and disclosure plan
    • Article 15 Preparatory measures
  • SECTION III Assessment of recovery plans
    • Article 16 Completeness of recovery plans
    • Article 17 Quality of recovery plans
    • Article 18 Implementation of the arrangements proposed in the recovery plans
    • Article 19 Recovery options
    • Article 20 Specific requirements for group recovery plans
    • Article 21 Nature of the entity or entities being assessed
• CHAPTER II RESOLUTION PLANS
  • SECTION I Content of resolution plans
    • Article 22 Categories of information to be included in resolution plans
  • SECTION II Assessment of resolvability
    • Article 23 Stages of assessment
    • Article 24 Feasibility and credibility of liquidation under normal insolvency proceedings
    • Article 25 Identification of a resolution strategy
    • Article 26 Assessment of feasibility of a resolution strategy
    • Article 27 Assessment of feasibility: structure and operations
    • Article 28 Assessment of feasibility: financial resources
    • Article 29 Assessment of feasibility: information
    • Article 30 Assessment of feasibility: cross-border issues
    • Article 31 Assessment of feasibility: other potential impediments
    • Article 32 Assessment of credibility of a resolution strategy
• CHAPTER III INTRA GROUP FINANCIAL SUPPORT
  • Article 33 Prospect to redress financial difficulties
  • Article 34 Terms of the support
  • Article 35 Liquidity and solvency of the providing entity
  • Article 36 Resolvability of the providing entity
• CHAPTER IV INDEPENDENCE OF VALUERS
  • Article 37 Definitions
  • Article 38 Elements of independence
  • Article 39 Qualifications, experience, ability, knowledge and resources
  • Article 40 Structural separation
  • Article 41 Material common or conflicting interests
• CHAPTER V RESOLUTION
  • SECTION I Contractual recognition and conversion powers
    • Article 42 Definitions
    • Article 43 Liabilities to which the exclusion from the obligation to include the contractual term referred to in Chapter 2 of the Contractual Recognition of Bail-In Part of the PRA Rulebook or rule IFPRU 11.6 of the Recovery and Resolution Part of the FCA Handbook applies
    • Article 44 Contents of the contractual term required by Article 55(1) of Directive 2014/59/EU
  • SECTION II Notifications and notice of suspension
    • Article 45 General requirements for notifications
    • Article 46 Notification by the management body to a competent authority
    • Article 47 Communication of the competent authority to the resolution authority of the received notification
    • Article 48 Notification of assessment that an institution meets the conditions for resolution set out in points (a) and (b) of Article 32(1) of Directive 2014/59/EU
    • Article 49 Notice
• CHAPTER VI RESOLUTION COLLEGES
  • SECTION I Operational organisation of resolution colleges
    • Article 50 Mapping and identification of resolution college members and possible observers
    • Article 51 Third country resolution authorities as observers in the resolution college
    • Article 52 Communication with the Union parent undertaking
    • Article 53 Establishment and update of contact lists
    • Article 54 Elements of written arrangements and procedures for the functioning of the resolution college
    • Article 55 Establishment and update of written arrangements and procedures for the functioning of the resolution college
    • Article 56 Operational aspects of college meetings and other activities
    • Article 57 Exchange of information
    • Article 58 Communication policy
    • Article 59 Coordination of external communication
    • Article 60 Emergency situations
  • SECTION II Group resolution planning joint decisions
    • Subsection 1 Joint decision process on group resolution plan and resolvability assessment
      • Article 61 Planning of the steps of the joint decision process
      • Article 62 Elements of the joint decision timetable
      • Article 63 Preliminary dialogue on the resolution strategy
      • Article 64 Information from the Union parent undertaking
      • Article 65 Transmission of information from the group-level resolution authority
      • Article 66 Development and circulation of the draft group resolution plan and resolvability assessment
      • Article 67 Consultation with resolution college members
      • Article 68 Discussion with the Union parent undertaking
      • Article 69 Dialogue on the draft resolution plan and resolvability assessment
      • Article 70 Drafting the joint decision on group resolution plan and resolvability assessment
      • Article 71 Reaching joint decision on the group resolution plan and resolvability assessment
      • Article 72 Communication of the joint decision and summary of the group resolution plan to the Union parent undertaking
    • Subsection 2 Process in the absence of joint decision on group resolution plan and resolvability assessment
      • Article 73 Partial disagreement
      • Article 74 Elements of communication of individual decisions
      • Article 75 Communication of individual decisions in the absence of a joint decision
    • Subsection 3 Joint decision on measures to address substantive impediments to resolvability
      • Article 76 Suspension of the joint decision process on the group resolution plan and resolvability assessment
      • Article 77 Planning of the steps of the joint decision process on measures to address substantive impediments to resolvability
      • Article 78 Consultation and communication of the report
      • Article 79 Submission of observations of the Union parent undertaking and consultation with the authorities
      • Article 80 Drafting the joint decision on measures to address substantive impediments to resolvability
      • Article 81 Reaching the joint decision
      • Article 82 Communication of the joint decision
      • Article 83 Monitoring the application of the joint decision
    • Subsection 4 Process in the absence of joint decision on measures to address substantive impediments to resolvability
      • Article 84 Elements of communication of individual decisions
      • Article 85 Communication of individual decisions in the absence of joint decision
  • SECTION III Joint decision process on minimum requirements for own funds and eligible liabilities
    • Subsection 1 Joint decision process
      • Article 86 Planning of the joint decision on minimum requirements for own funds and eligible liabilities
      • Article 87 Proposal at consolidated and Union parent undertaking level
      • Article 88 Proposal at subsidiary level
      • Article 89 Dialogue on the proposed minimum requirements for own funds and eligible liabilities
      • Article 90 Drafting the joint decision on minimum requirements for own funds and eligible liabilities
      • Article 91 Reaching the joint decision on minimum requirements for own funds and eligible liabilities
      • Article 92 Communication of the joint decision on minimum requirements for own funds and eligible liabilities
      • Article 93 Monitoring the application of the joint decision on minimum requirements for own funds and eligible liabilities
    • Subsection 2 Process in the absence of a joint decision at consolidated level
      • Article 94 Joint decisions taken at each subsidiary level in the absence of a joint decision at consolidated level
      • Article 95 Elements of communication of individual decisions
      • Article 96 Communication of individual decisions in the absence of joint decision
  • SECTION IV Cross-border group resolution
    • Subsection 1 Decision on the need for a group resolution scheme under Articles 91 and 92 of Directive 2014/59/EU
      • Article 97 Process for deciding on the need for a group resolution scheme
      • Article 98 Dialogue on the need for a group resolution scheme
      • Article 99 Preparation and communication of the draft assessment or draft decision on the need for a group resolution scheme
      • Article 100 Consultation on the draft assessment or decision on the need for a group resolution scheme
      • Article 101 Finalisation of the assessment or the decision on the need for a group resolution scheme
    • Subsection 2 Joint decision process on the group resolution scheme
      • Article 102 Process of the joint decision on the group resolution scheme
      • Article 103 Preparation and communication of the draft group resolution scheme
      • Article 104 Consultation on the group resolution scheme
      • Article 105 Preparation and communication of the joint decision on the group resolution scheme
      • Article 106 Finalising the joint decision on the group resolution scheme
      • Article 107 Communication of the joint decision to the college
    • Subsection 3 Disagreements and decisions taken in the absence of a joint decision
      • Article 108 Notification in case of disagreement
      • Article 109 Decision-making process between non-disagreeing resolution authorities
• CHAPTER VII FINAL PROVISIONS
  • Article 110 Entry into force
• Signature

• Commission Implementing Regulation (EU) 2016/911
  • Preamble
  • Article B1 Definitions
  • Article 1 Form of disclosure
  • Article 2 Terms to be disclosed
  • Article 3 Entry into force
  • Signature

2018

• • Commission Implementing Regulation (EU) 2018/1624
    • Preamble
    • Article 1 Subject matter
    • Article 2 Definitions
    • Article 3 Provision of core information for the purpose of individual and group resolution plans
    • Article 4 Level of consolidation of information
    • Article 5 Frequency, reference dates and remittance dates
    • Article 6 Format for the submission of information
    • Article 7 Provision of additional information for the purpose of individual or group resolution plans
    • Article 8 Cooperation between competent and resolution authorities
    • Article 9 Transition period
    • Article 10 Repeal
    • Article 11 Entry into force
    • Signature
    • ANNEX I RESOLUTION TEMPLATES Z 01.00 - Organisational structure (ORG) Z 02.00 - Liability Structure (LIAB) Z 03.00 - Own funds requirements (OWN) Z 04.00 - Intragroup financial interconnections (IFC) Z 05.01 - Major Liability Counterparties (MCP 1) Z 05.02 - Major off-balance sheet counterparties (MCP 2) Z 06.00 - Deposit insurance (DIS) Z 07.01 - Criticality assessment of economic functions (FUNC 1) Z 07.02 - Mapping of critical functions by legal entity (FUNC 2) Z 07.03 - Mapping of Core Business Lines to legal entities (FUNC 3) Z 07.04 - Mapping of critical functions to core business lines (FUNC 4) Z 08.00 - Critical services (SERV) Z 09.00 - FMI Services - Providers and Users - Mapping to Critical Functions (FMI) Z 10.01 - Critical Information systems (General information) (CIS 1) Z 10.02 - Mapping of information systems (CIS 2)
    • ANNEX II Instructions
    • ANNEX III Single data point model
    • ANNEX IV Validation rules

Credit Ratings Agencies Regulation

2012

Commission Delegated Regulation (EU) No 447/2012

• Preamble
• Article 1 Subject matter
• Article 2 Demonstration of compliance
• Article 3 Assessment of compliance by the FCA
• Article 4 Assessing that a credit rating methodology is rigorous
• Article 5 Assessing that a credit rating methodology is systematic
• Article 6 Assessing that a credit rating methodology is continuous
• Article 7 Assessing that a credit rating methodology is subject to validation based on historical experience including back testing
• Article 8 Exemption
• Article 9 Entry into force
• Signature

• Commission Delegated Regulation (EU) No 449/2012
  • Preamble
  • CHAPTER 1 SUBJECT MATTER
    • Article 1 Subject matter
  • CHAPTER 2 REGISTRATION
    • SECTION 1 General
      • Article 2 Format of the application
      • Article 3 Attestation of the accuracy and completeness of the application
      • Article 4 Number of employees
      • Article 5 Class of credit ratings
      • Article 6 Policies and procedures
      • Article 7 Identification, legal status and class of credit ratings
    • SECTION 2 Ownership structure
      • Article 8 Owners and parent undertaking of a credit rating agency
      • Article 9 Ownership chart
    • SECTION 3 Organisational structure and corporate governance
      • Article 10 Organisational chart
      • Article 11 Organisational structure
      • Article 12 Corporate governance
    • SECTION 4 Financial resources for the performance of credit rating activities
      • Article 13 Financial reports
    • SECTION 5 Staffing and compensation
      • Article 14 Staffing policies and procedures
      • Article 15 Fitness and appropriateness
    • SECTION 6 Issuance and review of credit ratings
      • Article 16 Development, validation, review and disclosure of rating methodologies
      • Article 17 Issuance of credit ratings
      • Article 18 Monitoring of credit ratings
    • SECTION 7 Description of issue and review procedures and methodologies
      • Article 19 Credit rating presentation requirements
    • SECTION 8 Conflicts of interest
      • Article 20 Independence and avoidance of conflicts of interest
      • Article 21 Inventory of conflicts of interest
      • Article 22 Conflicts of interest with respect to ancillary services
    • SECTION 9 Programme of operations
      • Article 23 Information regarding the programme of operations
    • SECTION 10 Use of endorsement
      • Article 24 Expected use of endorsement
    • SECTION 11 Outsourcing
      • Article 25 Outsourcing requirements
  • CHAPTER 3 CERTIFICATION
    • SECTION 1 Application for certification
      • Article 26 Information for application for certification
      • Article 27 General requirements for the application for certification
    • SECTION 2 Systemic importance
      • Article 28 Systemic importance
  • CHAPTER 4 FINAL PROVISIONS
    • Article 29 Entry into force
  • Signature
  • ANNEX I DOCUMENT REFERENCES (Article 2)
  • ANNEX II GENERAL INFORMATION (Article 7)
  • ANNEX III INFORMATION TO BE PRESENTED WITH REGARD TO THE OWNERSHIP STRUCTURE (Article 8)
  • ANNEX IV ORGANISATIONAL STRUCTURE (Article 11)
  • ANNEX V INFORMATION TO BE PRESENTED WITH REGARD TO CORPORATE GOVERNANCE (Article 12)
  • ANNEX VI SELF DECLARATION (Article 15(2))
  • ANNEX VII ISSUANCE AND REVIEW OF CREDIT RATINGS (Articles 16, 17 and 18)
  • ANNEX VIII INDEPENDENCE AND AVOIDANCE OF CONFLICTS OF INTEREST (Article 20)
  • ANNEX IX PROGRAMME OF OPERATIONS (Article 23)
  • ANNEX X RECORD KEEPING, BUSINESS CONTINUITY PLANNING AND INFORMATION SYSTEMS (Article 11)
  • ANNEX XI USE OF ENDORSEMENT (Article 24)
  • ANNEX XII SYSTEMIC IMPORTANCE INDICATORS (Article 28)

2015

Commission Delegated Regulation (EU) 2015/1

• Preamble
• Article -1 Definitions
• Article 1 General principles
• Article 2 Pricing policies and procedures
• Article 3 List of fees charged to each client
• Article 4 Credit rating types
• Article 5 Data to be provided
• Article 6 Initial reporting
• Article 7 Ongoing reporting
• Article 8 Reporting procedures
• Article 9 Entry into force
• Signature
• ANNEX I Table 1 Reporting of pricing policies per rating class in force and subsequent material updates Table 2 Reporting of fee schedules per rating class in force and subsequent material updates Table 3 Reporting of fee programmes per rating class in force and subsequent material updates Table 4 Reporting of pricing procedures in force and subsequent material updates
• ANNEX II Table 1 Data to be reported to the FCA for each individual credit rating assigned under the issuer-pays model Table 2 Data to be provided to the FCA for fees received on a per client basis for rating services and ancillary services
• ANNEX III Table 1 Data to be provided to the FCA for fees received for subscription or investor-pays based rating services

Commission Delegated Regulation (EU) 2015/2

• Preamble
• Article -1 Definitions
• Article 1 Data to be reported
• Article 2 Reporting of default status and withdrawals
• Article 3 Rating types
• Article 4 Corporate ratings
• Article 5 Structured finance ratings
• Article 6 Sovereign and public finance ratings
• Article 7 Other financial instruments
• Article 8 Reporting for the purpose of publication on the public rating database
• Article 9 Reporting for the purpose of the FCA supervision
• Article 10 Reporting for the purpose of historical performance
• Article 11 Initial reporting
• Article 12 Data structure
• Article 13 Reporting procedures
• Article 15 Entry into force
• Signature
• ANNEX I PART 1 LIST OF FIELDS FOR THE QUALITATIVE DATA FILE PART 2 LIST OF FIELDS FOR THE RATING DATA FILE
• ANNEX II Correlation table

• • Commission Delegated Regulation (EU) 2015/3 [revoked]
    • [revoked]

Capital Requirements Directive/Regulation

2013

• Commission Implementing Regulation (EU) No 1423/2013
  • Preamble
  • Article 1 Subject matter
  • Article 2 Full reconciliation of own funds items to audited financial statements
  • Article 3 Description of the main features of Common Equity Tier 1, Additional Tier 1 and Tier 2 instruments issued by institutions
  • Article 4 Disclosure of nature and amounts of specific items on own funds
  • Article 5 Disclosure of nature and amounts of specific items on own funds during the transitional period
  • Article 6 Entry into force
  • Signature
  • ANNEX I Balance Sheet Reconciliation Methodology
  • ANNEX II Capital instruments’ main features template
  • ANNEX III Instructions for completing the capital instruments main features template
  • ANNEX IV Own funds disclosure template
  • ANNEX V Instructions for completing the own funds disclosure template
  • ANNEX VI Transitional own funds disclosure template
  • ANNEX VII Instructions for completing the transitional own funds disclosure template

2014

Commission Delegated Regulation (EU) No 1152/2014

• Preamble
• Article 1 Definitions
• Article 2 Location of general credit exposures
• Article 3 Geographical location of trading book exposures
• Article 4 Geographical location of securitisation exposures
• Article 5 Entry into force
• Signature

Commission Delegated Regulation (EU) No 1187/2014

• Preamble
• Article 1 Subject matter
• Article 2 Definitions
• Article 3 Identification of exposures resulting from transactions
• Article 4 Underlying exposures to transactions which themselves have underlying assets
• Article 5 Calculation of the exposure value
• Article 6 Procedure for determining the contribution of underlying exposures to overall exposures
• Article 7 Additional exposure constituted by the structure of a transaction
• Article 8 Entry into force
• Signature

Commission Delegated Regulation (EU) No 183/2014

• Preamble
• Article 1 Identification of General and Specific Credit Risk Adjustments for the purposes of Articles 111, 159, 166, 167, 168, 178, 246 and 266 of Regulation (EU) No 575/2013
• Article 2 Assigning Specific Credit Risk Adjustments for a group of exposures to the exposures within the group
• Article 3 Calculation credit risk adjustments for the purpose of determining the exposure value according to Articles 111, 166, 167, 168, 246 and 266 of Regulation (EU) No 575/2013
• Article 4 Calculation of general and specific credit risk adjustments for the purposes of the treatment of expected loss amounts according to Article 159 of Regulation (EU) No 575/2013
• Article 5 Calculation of Specific Credit Risk Adjustments for own funds requirements for the purposes of the determination of default according to Article 178 of Regulation (EU) No 575/2013
• Article 6 Documentation
• Article 7 Entry into force
• Signature

Commission Delegated Regulation (EU) No 241/2014

• Preamble
• CHAPTER I GENERAL
  • Article B1 Definitions
  • Article 1 Subject matter
• CHAPTER II ELEMENTS OF OWN FUNDS
  • SECTION 1 Common Equity Tier 1 capital and instruments
    • Subsection 1 Foreseeable dividends and charges
      • Article 2 Meaning of foreseeable in foreseeable dividend for the purposes of Article 26(2)(b) of Regulation (EU) No 575/2013
      • Article 3 Meaning of foreseeable in foreseeable charge for the purposes of Article 26(2)(b) of Regulation (EU) No 575/2013
    • Subsection 2 Cooperative societies, savings institutions, mutuals and similar institutions
      • Article 4 Type of undertaking recognised under applicable national law as a cooperative society for the purposes of Article 27(1)(a)(ii) of Regulation (EU) No 575/2013
      • Article 5 Type of undertaking recognised under applicable national law as a savings institution for the purposes of Article 27(1)(a)(iii) of Regulation (EU) No 575/2013
      • Article 6 Type of undertaking recognised under applicable national law as a mutual for the purposes of Article 27(1)(a)(i) of Regulation (EU) No 575/2013
      • Article 7 Type of undertaking recognised under applicable national law as a similar institution for the purposes of Article 27(1)(a)(iv) of Regulation (EU) No 575/2013
      • Article 7a Multiple distributions constituting a disproportionate drag on own funds
      • Article 7b Preferential distributions regarding preferential rights to payments of distributions
      • Article 7c Calculation of the payout ratio for the purposes of point (b) of Article 7b(8)
      • Article 7d Preferential distributions regarding the order of distribution payments
    • Subsection 3 Indirect funding
      • Article 8 Indirect funding of capital instruments for the purposes of Article 28(1)(b,) Article 52(1)(c) and Article 63(c) of Regulation (EU) No 575/2013
      • Article 9 Applicable forms and nature of indirect funding of capital instruments for the purposes of Article 28(1)(b) and 52(1)(c) and 63(c) of Regulation (EU) No 575/2013
    • Subsection 4 Limitations on redemption of capital instruments
      • Article 10 Limitations on redemption of capital instruments issued by mutuals, savings institutions, cooperative societies and similar institutions for the purposes of Article 29(2)(b) of Regulation (EU) No 575/2013 and Article 78(3) of Regulation (EU) No 575/2013
      • Article 11 Limitations on redemption of capital instruments issued by mutuals, savings institutions, cooperative societies and similar institutions for the purposes of Article 29(2)(b) of Regulation (EU) No 575/2013 and Article 78(3) of Regulation (EU) No 575/2013
  • SECTION 2 Prudential Filters
    • Article 12 The concept of gain on sale for the purposes of Article 32(1)(a) of Regulation (EU) No 575/2013
  • SECTION 3 Deductions from Common Equity Tier 1 items
    • Article 13 Deduction of losses for the current financial year for the purposes of Article 36(1)(a) of Regulation (EU) No 575/2013
    • Article 14 Deductions of deferred tax assets that rely on future profitability for the purposes of Article 36(1)(c) of Regulation (EU) No 575/2013
    • Article 15 Deduction of defined benefit pension fund assets for the purposes of Article 36(1)(e) of Regulation (EU) No 575/2013 and Article 41(1)(b) of Regulation (EU) No 575/2013
    • Article 15a Indirect holdings for the purposes of Article 36(1)(f),(h) and (i) of Regulation (EU) No 575/2013
    • Article 15b Synthetic holdings for the purposes of Article 36(1)(f),(h) and (i) of Regulation (EU) No 575/2013
    • Article 15c Calculation of indirect holdings for the purposes of points (f),(h) and (i) of Article 36(1) of Regulation (EU) No 575/2013
    • Article 15d Default approach for the calculation of indirect holdings for the purposes of points (f),(h) and (i) of Article 36(1) of Regulation (EU) No 575/2013
    • Article 15e Structure-based approach for the calculation of indirect holdings for the purposes of points (f), (h) and (i) of Article 36(1) of Regulation (EU) No 575/2013
    • Article 15f Calculation of synthetic holdings for the purposes of points (f),(h) and (i) of Article 36(1) of Regulation (EU) No 575/2013
    • Article 15g Calculation of significant investments for the purposes of Article 36(1)(i) of Regulation (EU) No 575/2013
    • Article 15h Holdings of Additional Tier 1 and Tier 2
    • Article 15i Order and maximum amount of deductions of indirect holdings of own funds instruments of financial sector entities
    • Article 15j Goodwill
    • Article 16 Deductions of foreseeable tax charges for the purposes of Article 36(1)(l) and Article 56(f) of Regulation (EU) No 575/2013
  • SECTION 4 Other deductions for Common Equity Tier 1, additional Tier 1 and Tier 2 items
    • Article 17 Other deductions for capital instruments of financial institutions for the purposes of Article 36(3) of Regulation (EU) No 575/2013
    • Article 18 Capital instruments of third country insurance and reinsurance undertakings for the purposes of Article 36(3) of Regulation (EU) No 575/2013
    • Article 19 Capital instruments of undertakings excluded from the scope of Directive 2009/138/EC for the purposes of Article 36(3) of Regulation (EU) No 575/2013
• CHAPTER III ADDITIONAL TIER 1 CAPITAL
  • SECTION 1 Form and nature of incentives to redeem
    • Article 20 Form and nature of incentives to redeem for the purposes of Article 52(1)(g) and 63(h)of Regulation (EU) No 575/2013
  • SECTION 2 Conversion or write-down of the principal amount
    • Article 21 Nature of the write-up of the principal amount following a write-down for the purposes of Article 52(1)(n) and Article 52(2)(c)(ii) of Regulation (EU) No 575/2013
    • Article 22 Procedures and timing for determining that a trigger event has occurred for the purposes of Article 52(1)(n) of Regulation (EU) No 575/2013
  • SECTION 3 Features of instruments that could hinder recapitalisation
    • Article 23 Features of instruments that could hinder recapitalisation for the purposes of Article 52(1)(o) of Regulation (EU) No 575/2013
  • SECTION 4 Use of special purposes entities for indirect issuance of own funds instruments
    • Article 24 Use of special purposes entities for indirect issuance of own funds instruments for the purposes of Article 52(1)(p) and Article 63(n) of Regulation (EU) No 575/2013
    • Article 24a Distribution on own funds instruments — broad market indices
• CHAPTER IV GENERAL REQUIREMENTS
  • SECTION 1 Indirect holdings arising from index holdings
    • Article 25 Extent of conservatism required in estimates for calculating exposures used as an alternative to the underlying exposures for the purposes of Article 76(2) of Regulation (EU) No 575/2013
    • Article 26 Meaning of operationally burdensome in Article 76(3) of Regulation (EU) No 575/2013
  • SECTION 2 Supervisory permission for reducing own funds
    • Article 27 Meaning of sustainable for the income capacity of the institution for the purposes of Article 78(1)(a) of Regulation (EU) No 575/2013
    • Article 28 Process and data requirements for an application by an institution to carry out redemptions, reductions and repurchases — for the purposes of Article 77 of Regulation (EU) No 575/2013
    • Article 29 Submission of application by the institution to carry out redemptions, reductions and repurchases for the purposes of Article 77 and Article 78 of Regulation (EU) No 575/2013 and appropriate bases of limitation of redemption for the purposes of paragraph 3 of Article 78 of Regulation (EU) No 575/2013
    • Article 30 Content of the application to be submitted by the institution for the purposes of Article 77 of Regulation (EU) No 575/2013
    • Article 31 Timing of the application to be submitted by the institution and processing of the application by the competent authority for the purposes of Article 77 of Regulation (EU) No 575/2013
    • Article 32 Applications for redemptions, reductions and repurchases by mutuals, cooperative societies, savings institutions or similar institutions for the purposes of Article 77 of Regulation (EU) No 575/2013
  • SECTION 3 Temporary waiver from deduction from own funds
    • Article 33 Temporary waiver from deduction from own funds for the purposes of Article 79(1) of Regulation (EU) No 575/2013
• CHAPTER V MINORITY INTEREST AND ADDITIONAL TIER 1 AND TIER 2 INSTRUMENTS ISSUED BY SUBSIDIARIES
  • Article 34 The type of assets that can relate to the operation of special purpose entities and meaning of minimal and insignificant regarding qualifying Additional Tier 1 and Tier 2 capital issued by special purpose entities for the purposes of Article 83(1) of Regulation (EU) No 575/2013
  • Article 34a Minority interests included in consolidated Common Equity Tier 1 capital
• CHAPTER Va Own Funds Based On Fixed Overheads
  • Article 34b Calculation of the eligible capital of at least one quarter of the fixed overheads of the preceding year for the purposes of Article 97(1) of Regulation (EU) No 575/2013
  • Article 34c Conditions for the adjustment by the competent authority of the requirement to hold eligible capital of at least one quarter of the fixed overheads of the previous year according to Article 97(2) of Regulation (EU) No 575/2013
  • Article 34d Calculation of projected fixed overheads in the case of a firm that has not completed business for one year according to Article 97(3) of Regulation (EU) No 575/2013
• CHAPTER VI SPECIFICATION OF THE TRANSITIONAL PROVISIONS OF REGULATION (EU) No 575/2013 IN RELATION TO OWN FUNDS
  • Article 35 Additional filters and deductions for the purposes of Article 481(1) of Regulation (EU) No 575/2013
  • Article 36 Items excluded from grandfathering of capital instruments not consituting state aid in Common Equity Tier 1 or Additional Tier 1 items in other elements of own funds for the purposes of Article 487(1) and (2) of Regulation (EU) No 575/2013
  • Article 37
• Signature

Commission Delegated Regulation (EU) No 523/2014

• Preamble
• Article 1 Definitions
• Article 2 Close correspondence
• Article 3 Entry into force
• Signature

Commission Delegated Regulation (EU) No 525/2014

• Preamble
• Article 1 Definition of market for the purpose of calculating the overall net position in equity instruments referred to in Article 341(2) of Regulation (EU) No 575/2013
• Article 2 Entry into force
• Signature

Commission Delegated Regulation (EU) No 526/2014

• Preamble
• Article 1 Determining an appropriate proxy spread
• Article 2 Identification of LGDMKT
• Article 3 Quantitative limits on the number and size of qualifying portfolios
• Article 4 Entry into force
• Signature

Commission Delegated Regulation (EU) No 527/2014

• Preamble
• Article B1 Definitions
• Article 1 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
• Article 2 Conditions for classes of Additional Tier 1 instruments
• Article 3 Conditions for classes of Tier 2 instruments
• Article 4 Conditions for classes of Other Instruments
• Article 5 Write down, write up and conversion procedures
• Article 6
• Signature

Commission Delegated Regulation (EU) No 528/2014

• Preamble
• Article 1 Determination of the Own funds requirements for the non-delta risk of options and warrants
• Article 2
• Article 3 Determination of own funds requirements according to the simplified approach
• Article 4 Overview of determination of own funds requirements according to the Delta-plus approach
• Article 5 Determination of the Own funds requirements for gamma risk according to the Delta-plus approach
• Article 6 Determination of the Own funds requirements for vega risk according to the Delta-plus approach
• Article 7 Conditions of application of the scenario approach
• Article 8 Definition of the scenario matrix according to the scenario approach
• Article 9 Determination of the own funds requirements according to the scenario approach
• Article 10 Entry into force

Commission Delegated Regulation (EU) No 529/2014

• Preamble
• Article 1 Subject matter
• Article 2 Categories of extensions and changes
• Article 3 Principles of classification of extensions and changes
• Article 4 Material changes to the IRB approach
• Article 5 Changes to the IRB approach not considered material
• Article 6 Material extensions and changes to the AMA
• Article 7 Extensions and changes to the AMA not considered material
• Article 7a Material extensions and changes to the IMA
• Article 7b Extensions and changes to the IMA not considered material
• Article 8 Documentation of extensions and changes
• Article 9 Entry into force

Commission Delegated Regulation (EU) No 530/2014

• Preamble
• Article 1 Definition of exposures to specific risk which are material in absolute terms according to Article 77(4) of Directive 2013/36/EU
• Article 2 Definition of large number of material positions in debt instruments of different issuers according to Article 77(4) of Directive 2013/36/EU
• Article 3 Entry into force
• Signature

Commission Delegated Regulation (EU) No 604/2014

• Preamble
• Article B1 Definitions
• Article 1 Subject matter and scope
• Article 2 Application of the criteria
• Article 3 Qualitative criteria
• Article 4 Quantitative criteria
• Article 5 Calculation of remuneration awarded
• Article 6 Entry into force
• Signature

Commission Delegated Regulation (EU) No 625/2014

• Preamble
• CHAPTER I DEFINITIONS AND EXPOSURE TO THE RISK OF A SECURITISATION
  • Article B1 Definitions
  • Article 1 Definitions
• CHAPTER II EXPOSURE TO THE CREDIT RISK OF A SECURITISATION POSITION
  • Article 2 Particular cases of exposure to the credit risk of a securitisation position
• CHAPTER III RETENTION OF NET ECONOMIC INTEREST
  • Article 3 Retainers of material net economic interest
  • Article 4 Fulfilment of the retention requirement through a synthetic or contingent form of retention
  • Article 5 Retention option (a): pro rata retention in each of the tranches sold or transferred to investors
  • Article 6 Retention option (b): retention of the originator's interest for revolving exposures
  • Article 7 Retention option (c): retention of randomly selected exposures
  • Article 8 Retention option (d): retention of the first loss tranche
  • Article 9 Retention option (e): retention of a first loss in every securitised exposure
  • Article 10 Measurement of the level of retention
  • Article 11 Measurement of retention for the undrawn amounts in exposures in the form of credit facilities
  • Article 12 Prohibition of hedging or selling the retained interest
  • Article 13 Exemptions to Article 405(1) of Regulation (EU) No 575/2013
  • Article 14 Retention on a consolidated basis
• CHAPTER IV DUE DILIGENCE REQUIREMENTS FOR INSTITUTIONS BECOMING EXPOSED TO A SECURITISATION POSITION
  • Article 15 Outsourcing and other general considerations
  • Article 16 Specification of risk characteristics and structural features
  • Article 17 Frequency of review
  • Article 18 Stress Tests
  • Article 19 Exposures in the trading book and non-trading book
  • Article 20 Positions in the correlation trading portfolio
• CHAPTER V REQUIREMENTS FOR ORIGINATORS, SPONSORS AND ORIGINAL LENDERS
  • Article 21 Policies for credit granting
  • Article 22 Disclosure of the level of the commitment to maintain a net economic interest
  • Article 23 Disclosure of materially relevant data
• CHAPTER VI FINAL PROVISIONS
  • Article 24 Entry into force
• Signature

Commission Implementing Regulation (EU) No 1030/2014

• Preamble
• Article 1 Uniform format
• Article 2 Date of disclosure
• Article 3 Disclosure location
• Article 4
• Signature
• ANNEX Template For The Identification Of Global Systemically Important Institutions (G-SIIs)

Commission Implementing Regulation (EU) No 602/2014

• Preamble
• Article B1 Definitions
• Article 1 General considerations
• Article 2 Calculation of additional risk weight
• Article 3 Entry into force
• Signature

Commission Implementing Regulation (EU) No 680/2014

• CHAPTER 1 SUBJECT MATTER AND SCOPE
  • Article 1 Subject matter and scope
• CHAPTER 2 REPORTING REFERENCE AND REMITTANCE DATES AND REPORTING THRESHOLDS
  • Article 2 Reporting reference dates
  • Article 3 Reporting remittance dates
  • Article 4 Reporting thresholds — entry and exit criteria
• CHAPTER 3 FORMAT AND FREQUENCY OF REPORTING ON OWN FUNDS, OWN FUNDS REQUIREMENTS AND FINANCIAL INFORMATION
  • SECTION 1 Format and frequency of reporting on own funds and own funds requirements
    • Article 5 Format and frequency of reporting on own funds and on own funds requirements for institutions on an individual basis, except for investment firms subject to article 95 and 96 of Regulation (EU) No 575/2013
    • Article 6 Format and frequency of reporting on own funds and own funds requirements on a consolidated basis, except for groups which only consist of investment firms subject to articles 95 and 96 of Regulation (EU) No 575/2013
    • Article 7 Format and frequency of reporting on own funds and own funds requirements for investment firms subject to Articles 95 and 96 Regulation (EU) No 575/2013 on an individual basis
    • Article 8 Format and frequency of reporting on own funds and own funds requirements for groups which only consist of investment firms subject to Article 95 and 96 Regulation (EU) No 575/2013 on a consolidated basis
  • SECTION 2 Format and frequency of reporting on financial information on a consolidated basis
    • Article 9 Format and frequency of reporting on financial information for institutions subject to section 403(1) of the Companies Act 2006 and other credit institutions not subject to that section applying UK-adopted international accounting standards on a consolidated basis
    • Article 10 Format and frequency of reporting on financial information for credit institutions applying UK-adopted international accounting standards on a consolidated basis, by virtue of Article 99(3) Regulation (EU) No 575/2013
    • Article 11 Format and frequency of reporting on financial information for institutions applying national accounting frameworks developed under Directive 86/635/EEC UK law on a consolidated basis
• CHAPTER 4 FORMAT AND FREQUENCY OF SPECIFIC REPORTING OBLIGATIONS ON LOSSES STEMMING FROM LENDING COLLATERALISED BY IMMOVABLE PROPERTY ACCORDING TO ARTICLE 101 OF REGULATION (EU) No 575/2013
  • Article 12
• CHAPTER 5 FORMAT AND FREQUENCY OF REPORTING ON LARGE EXPOSURES ON AN INDIVIDUAL AND A CONSOLIDATED BASIS
  • Article 13
• CHAPTER 6 FORMAT AND FREQUENCY OF REPORTING ON LEVERAGE RATIO ON AN INDIVIDUAL AND A CONSOLIDATED BASIS
  • Article 14
• CHAPTER 7 FORMAT AND FREQUENCY OF REPORTING ON LIQUIDITY AND ON STABLE FUNDING ON AN INDIVIDUAL AND A CONSOLIDATED BASIS
  • Article 15 Format and frequency of reporting on liquidity coverage requirement
  • Article 16 Format and frequency of reporting on stable funding
• CHAPTER 7a
  • Article 16a Format and frequency of reporting on asset encumbrance on an individual and a consolidated basis
• CHAPTER 7b
  • Article 16b
• CHAPTER 8 IT SOLUTIONS FOR THE SUBMISSION OF DATA FROM INSTITUTIONS TO COMPETENT AUTHORITIES
  • Article 17
• CHAPTER 9 TRANSITIONAL AND FINAL PROVISIONS
  • Article 18 Transitional period
  • Article 19 Entry into Force
• Signature
• ANNEX I
• ANNEX II
• ANNEX III
• ANNEX IV
• ANNEX V
• ANNEX VI
• ANNEX VII
• ANNEX VIII
• ANNEX IX
• ANNEX X
• ANNEX XI
• ANNEX XII
• ANNEX XIII
• ANNEX XIV
• ANNEX XV

• Commission Implementing Regulation (EU) No 945/2014
  • Preamble
  • Article 1 Stock indices for the purposes of Article 344 of Regulation (EU) No 575/2013
  • Article 2 Entry into Force
  • Signature
  • ANNEX

2015

Commission Delegated Regulation (EU) 2015/1555

• Preamble
• Article 1 Subject matter
• Article 2 Disclosure of the geographical distribution of credit exposures
• Article 3 Disclosure of the amount of institution specific countercyclical buffer
• Article 4 Entry into force and application
• Signature
• ANNEX I STANDARD FORMAT FOR DISCLOSURE OF INFORMATION IN RELATION TO THE COMPLIANCE OF INSTITUTIONS WITH THE REQUIREMENT FOR A COUNTERCYCLICAL CAPITAL BUFFER
• ANNEX II INSTRUCTIONS FOR DISCLOSURE STANDARD FORMATS

Commission Delegated Regulation (EU) 2015/1556

• Preamble
• Article 1
• Article 2
• Signature

Commission Delegated Regulation (EU) 2015/585

• Preamble
• Article 1
• Article 2
• Signature

• Commission Implementing Regulation (EU) 2015/2197
  • Preamble
  • Article 1
  • Article 2
  • Signature
  • ANNEX List of closely correlated currencies

2016

Commission Delegated Regulation (EU) 2016/101

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article 1 Methodology for calculating Additional Valuation Adjustments (AVAs)
  • Article 2 Definitions
  • Article 3 Sources of market data
• CHAPTER II SIMPLIFIED APPROACH FOR THE DETERMINATION OF AVAs
  • Article 4 Conditions for use of the simplified approach
  • Article 5 Determination of AVAs under the simplified approach
  • Article 6 Determination of total AVAs calculated under the simplified approach
• CHAPTER III CORE APPROACH FOR THE DETERMINATION OF AVAs
  • Article 7 Overview of the core approach
  • Article 8 General provisions for the calculations of AVAs under the core approach
  • Article 9 Calculation of market price uncertainty AVA
  • Article 10 Calculation of close-out costs AVA
  • Article 11 Calculation of model risk AVA
  • Article 12 Calculation of unearned credit spreads AVA
  • Article 13 Calculation of investing and funding costs AVA
  • Article 14 Calculation of concentrated positions AVA
  • Article 15 Calculation of future administrative costs AVA
  • Article 16 Calculation of early termination AVA
  • Article 17 Calculation of operational risk AVA
• CHAPTER IV DOCUMENTATION, SYSTEMS AND CONTROLS
  • Article 18 Documentation requirements
  • Article 19 Systems and controls requirements
• CHAPTER V FINAL PROVISIONS
  • Article 20 Entry into force
• Signature
• ANNEX Formulae to be used for the purpose of aggregating AVAs under Articles 9(6), 10(7) and 11(7)

Commission Implementing Regulation (EU) 2016/1646

• Preamble
• Article 1 Main indices
• Article 2 Recognised exchanges
• Article 3 Entry into force
• Signature
• ANNEX I MAIN INDICES SPECIFIED UNDER ARTICLE 197 OF REGULATION (EU) No 575/2013
• ANNEX II RECOGNISED EXCHANGES SPECIFIED UNDER ARTICLE 197 OF REGULATION (EU) No 575/2013

Commission Implementing Regulation (EU) 2016/1799

• Preamble
• TITLE I QUANTITATIVE FACTORS, QUALITATIVE FACTORS AND BENCHMARK
  • CHAPTER 1 Quantitative factors
    • Article 1 Quantitative factors of the mapping of a rating category
    • Article 2 Items used for the calculation of the quantitative factors
    • Section 1 Calculation of the quantitative factors of a rating category where a sufficient number of credit ratings is available
      • Article 3 Determination of whether a sufficient number of credit ratings is available
      • Article 4 Short run default rates of a rating category where a sufficient number of credit ratings is available
      • Article 5 Long run default rate of a rating category where a sufficient number of credit ratings is available
    • Section 2 Calculation of the quantitative factors of a rating category where a sufficient number of credit ratings is not available
      • Article 6 Items used and long run default rate of a rating category where a sufficient number of credit ratings is not available
  • CHAPTER 2 Qualitative factors
    • Article 7 Qualitative factors of the mapping of a rating category
    • Article 8 Definition of default used by the ECAI
    • Article 9 Time horizon of a rating category
    • Article 10 Meaning and relative position of a rating category
    • Article 11 Creditworthiness of items assigned the same rating category
    • Article 12 Estimate provided by the ECAI of the long run default rate associated with all items assigned the same rating category
    • Article 13 Internal mapping of a rating category established by the ECAI
  • CHAPTER 3 Benchmark and related references
    • Article 14 Benchmark
    • Article 15 Reference meaning of the rating category per credit quality step
• TITLE II MAPPING TABLES
  • Article 16 Mapping tables
• TITLE III FINAL PROVISION
  • Article 17 Entry into force
• Signature
• ANNEX I Benchmarks for the purposes of Article 14
• ANNEX II Reference meaning of the rating category per credit quality step for the purposes of Article 15
• ANNEX III Mapping tables for the purposes of Article 16

Commission Implementing Regulation (EU) 2016/1801

• Preamble
• Article 1 Mapping tables under the standardised approach
• Article 2 Mapping tables under the ratings-based method
• Article 3 Entry into Force
• Signature
• ANNEX I Mapping table under the standardised approach as referred to in Article 1
• ANNEX II Mapping table under the ratings-based method as referred to in Article 2

Commission Implementing Regulation (EU) 2016/200

• Preamble
• Article 1 Disclosure of the leverage ratio and application of Article 499(2) of Regulation (EU) No 575/2013
• Article 2 Change of the decision on which leverage ratio to disclose
• Article 3 Breakdown of the leverage ratio total exposure measure
• Article 4 Reconciliation of leverage ratio to published financial statements
• Article 5 Disclosure of the amount of derecognised fiduciary items
• Article 6 Disclosure of qualitative information on risk of excessive leverage and factors impacting the leverage ratio
• Article 7 Entry into force
• Signature
• ANNEX I CRR Leverage Ratio — Disclosure Template CRR Leverage Ratio — Disclosure Template
• ANNEX II INSTRUCTIONS FOR THE COMPLETION OF THE TEMPLATES IN ANNEX I

• Commission Implementing Regulation (EU) 2016/2070
  • Article 1 Reporting by the institutions on an individual and consolidated basis
  • Article 2 Reporting of information for credit risk
  • Article 3 Reporting of information for market risk
  • Article 4 Reference and remittance dates
  • Article 5 Initial market valuation for market risk
  • Article 6 IT solutions for the reporting
  • Article 7 Transitional provisions for reference dates, remittance dates, and for reporting of credit risk templates
  • Article 8 Entry into force
  • Signature
  • ANNEX I DEFINITION OF SUPERVISORY BENCHMARKING PORTFOLIOS
  • ANNEX II SUPERVISORY BENCHMARKING PORTFOLIOS
  • ANNEX III RESULTS SUPERVISORY BENCHMARKING PORTFOLIOS
  • ANNEX IV RESULTS SUPERVISORY BENCHMARKING PORTFOLIOS
  • ANNEX V MARKET BENCHMARKING PORTFOLIOS
  • ANNEX VI RESULTS SUPERVISORY BENCHMARKING PORTFOLIOS
  • ANNEX VII RESULTS SUPERVISORY BENCHMARKING PORTFOLIOS. MARKET RISK

2017

Commission Delegated Regulation (EU) 2017/180

• Preamble
• Article 1 Procedures for sharing assessments
• Article 2 Procedures for sharing information with other competent authorities and EBA
• Article 3 Overview
• Article 4 Computation of potential differences for credit risk using the Standardised Approach
• Article 5 Computation of potential differences for credit risk using outturns
• Article 6 Assessment standards
• Article 7 General assessment standards for internal approaches for credit risk
• Article 8 Assessment standards for internal approaches for credit risk specific to the LDP
• Article 9 General assessment standards for internal approaches for market risk
• Article 10 Assessment of differences in the outcomes of internal approaches for market risk
• Article 11 Assessment of the level of own funds for internal approaches for market risk
• Article 12 Entry into force
• Signature

Commission Delegated Regulation (EU) 2017/2295

• Preamble
• Article 1 Disclosure requirements for all institutions
• Article 2 Additional disclosure requirements for certain institutions
• Article 3 Entry into force
• Signature
• ANNEX I Disclosure templates
• ANNEX II Instructions for completing the disclosure templates

• Commission Delegated Regulation (EU) 2017/72
  • Preamble
  • Article 1 Subject matter
  • Article 2 Conditions for eligibility of exposures
  • Article 3 Quantitative conditions
  • Article 4 Qualitative conditions
  • Article 5 Time period
  • Article 6 Transitional Provision
  • Article 7 Entry into force
  • Signature

2018

Commission Delegated Regulation (EU) 2018/171

• Preamble
• Article 1 Conditions for setting the materiality threshold for retail exposures
• Article 2 Materiality threshold for exposures other than retail exposures
• Article 3 Level of risk
• Article 4 Notification of the materiality thresholds
• Article 5 Updating of the materiality thresholds
• Article 6 Date of application of the materiality thresholds
• Article 7 Entry into force
• Signature

Commission Delegated Regulation (EU) 2018/728

• Preamble
• Article 1
• Article 2
• Article 3
• Signature

• • Commission Delegated Regulation (EU) 2018/959
    • Preamble
    • CHAPTER 1 GENERAL PROVISIONS
      • Article 1 Assessment of Advanced Measurement Approaches
      • Article 2 Definitions
      • Article 3 Operational risk events related to legal risk
      • Article 4 Operational risk events related to model risk
      • Article 5 Operational risk events related to financial transactions including those related to market risk
      • Article 6 Quality and auditability of documentation
    • CHAPTER 2 QUALITATIVE STANDARDS
      • SECTION 1 Governance
        • Article 7 Operational risk management process
        • Article 8 Independent operational risk management function
        • Article 9 Senior management involvement
        • Article 10 Reporting
      • SECTION 2 Use test
        • Article 11 Use of the AMA
        • Article 12 Continuous integration of the AMA
        • Article 13 AMA used to support the operational risk management of the institution
        • Article 14 AMA used to enhance the operational risk organization and control of the institution
        • Article 15 Comparison of the AMA with the less sophisticated approaches
      • SECTION 3 Audit and internal validation
        • Article 16 Audit and internal validation functioning
        • Article 17 Audit and internal validation governance
      • SECTION 4 Data quality and IT infrastructure
        • Article 18 Data quality
        • Article 19 Supervisory assessment of IT infrastructure
    • CHAPTER 3 QUANTITATIVE STANDARDS
      • SECTION 1 Use of internal data, external data, scenario analysis and BEICF ( the four elements )
        • Article 20 General principles
        • SUB-SECTION 1 Internal data
          • Article 21 Internal data features
          • Article 22 Scope of operational risk loss
          • Article 23 Recorded loss amount of the operational risk items
          • Article 24 Operational risk losses that are related to credit risk
          • Article 25 External data
          • Article 26 Scenario analysis
          • Article 27 Business Environment and Internal Control Factors
      • SECTION 2 Core modelling assumptions of the operational risk measurement system
        • Article 28 General assessment
        • Article 29 Building the calculation data set
        • Article 30 Granularity
        • Article 31 Identification of the loss distributions
        • Article 32 Determination of aggregated loss distributions and risk measures
      • SECTION 3 Expected loss and Correlation
        • Article 33 Expected losses
        • Article 34 Correlation
      • SECTION 4 Capital allocation mechanism
        • Article 35 Consistency of the operational risk measurement system
    • CHAPTER 4 INSURANCE AND OTHER RISK TRANSFER MECHANISMS
      • Article 36 General principles
      • Article 37 Authorisation equivalence of the insurance provider
      • Article 38 Provision of the insurance via a third party
      • Article 39 Multiple counting of risk mitigation techniques
      • Article 40 Insurance risk mapping process
      • Article 41 Use of a sophisticated risk mitigation calculation
      • Article 42 Alignment of the risk mitigation calculation with the operational risk profile
      • Article 43 Capture of all the relevant elements
      • Article 44 Other risk transfer mechanisms
    • CHAPTER 5 FINAL PROVISION
      • Article 45 Transitional provision
      • Article 46 Entry into force
    • Signature

European Long-term Investment Funds Regulation

2018

• • Commission Delegated Regulation (EU) 2018/480
    • Preamble
    • Article 1 Hedging derivatives
    • Article 2 Sufficient length of the life of the LTIF
    • Article 3 Criteria for the assessment of the market for potential buyers
    • Article 4 Criteria for the valuation of the assets to be divested
    • Article 5 Specifications on the facilities available to retail investors
    • Article 6 Transitional provisions
    • Article 7 Entry into force
    • Signature

European Market Infrastructure Regulation

2012

Commission Implementing Regulation (EU) No 1247/2012

• Article -1 Definitions
• Article 1 Format of derivative contract reports
• Article 2 Frequency of derivative contract reports
• Article 3 Identification of counterparties and other entities
• Article 3a Counterparty side
• Article 3b Collateralisation
• Article 4 Specification, identification, and classification of derivatives
• Article 4a Unique Trade Identifier
• Article 4b Venue of execution
• Article 5 Reporting start date
• Article 6 Entry into force
• ANNEX Table 1 Counterparty Data Table 2 Common Data

• Commission Implementing Regulation (EU) No 1248/2012
  • Preamble
  • Article 1 Format of the application
  • Article 2 Entry into force
  • Signature
  • ANNEX FORMAT OF APPLICATION

2013

Commission Delegated Regulation (EU) No 148/2013

• Article -1 Definition
• Article 1 Details to set out in reports pursuant to Article 9(1) and (3) of Regulation (EU) No 648/2012
• Article 2 Cleared trades
• Article 3 Reporting of exposures
• Article 3a Notional amount
• Article 4 Reporting log
• Article 5 Entry into force
• Signature
• ANNEX Details to be reported to trade repositories

Commission Delegated Regulation (EU) No 149/2013

• CHAPTER I GENERAL
  • Article 1 Definitions
• CHAPTER II INDIRECT CLEARING ARRANGEMENTS (Article 4(4) of Regulation (EU) No 648/2012)
  • Article 2 Requirements for the provision of indirect clearing services by clients
  • Article 3 Obligations of CCPs
  • Article 4 Obligations of clearing members
  • Article 5 Obligations of clients
  • Article 5a Requirements for the provision of indirect clearing services by indirect clients
  • Article 5b Requirements for the provision of indirect clearing services by second indirect clients
• CHAPTER IV CRITERIA FOR THE DETERMINATION OF THE CLASSES OF OTC DERIVATIVE CONTRACTS SUBJECT TO THE CLEARING OBLIGATION (Article 5(4) of Regulation (EU) No 648/2012)
  • Article 7 Criteria to be assessed by Bank of England
• CHAPTER V PUBLIC REGISTER (Article 6(4) of Regulation (EU) No 648/2012)
  • Article 8 Details to be included in the Bank of England’s Register
• CHAPTER VI LIQUIDITY FRAGMENTATION (Article 8(5) of Regulation (EU) No 648/2012)
  • Article 9 Specification of the notion of liquidity fragmentation
• CHAPTER VII NON-FINANCIAL COUNTERPARTIES
  • Article 10 Criteria for establishing which OTC derivative contracts are objectively reducing risks
  • Article 11 (Article 10(4)(b) of Regulation (EU) No 648/2012)Clearing thresholds
• CHAPTER VIII RISK-MITIGATION TECHNIQUES FOR OTC DERIVATIVE CONTRACTS NOT CLEARED BY A CCP
  • Article 12 (Article 11(14)(a) of Regulation (EU) No 648/2012)Timely confirmation
  • Article 13 (Article 11(14)(a) of Regulation (EU) No 648/2012)Portfolio reconciliation
  • Article 14 (Article 11(14)(a) of Regulation (EU) No 648/2012)Portfolio compression
  • Article 15 (Article 11(14)(a) of Regulation (EU) No 648/2012)Dispute resolution
  • Article 16 (Article 11(14)(b) of Regulation (EU) No 648/2012)Market conditions that prevent marking-to-market
  • Article 17 (Article 11(14)(b) of Regulation (EU) No 648/2012)Criteria for using marking-to-model
  • Article 18 (Article 11(14)(c) of Regulation (EU) No 648/2012)Details of the intragroup transaction notification to the competent authority
  • Article 20 (Article 11(14)(d) of Regulation (EU) No 648/2012)Information on the intragroup exemption to be publicly disclosed
  • Article 21 Entry into force and application

Commission Delegated Regulation (EU) No 150/2013

• Preamble
• CHAPTER 1 REGISTRATION
  • SECTION 1 General
    • Article 1 Identification, legal status and class of derivatives
    • Article 2 Policies and procedures
  • SECTION 2 Ownership
    • Article 3 Ownership of the trade repository
    • Article 4 Ownership chart
  • SECTION 3 Organisational structure, governance and compliance
    • Article 5 Organisational chart
    • Article 6 Corporate governance
    • Article 7 Internal control
    • Article 8 Regulatory compliance
    • Article 9 Senior management and members of the Board
  • SECTION 4 Staffing and remuneration
    • Article 10 Staffing policies and procedures
    • Article 11 Fitness and properness
  • SECTION 5 Financial resources for the performance of the trade repository
    • Article 12 Financial reports and business plans
  • SECTION 6 Conflicts of interest
    • Article 13 Management of conflicts of interest
    • Article 14 Confidentiality
    • Article 15 Inventory and mitigation of conflicts of interest
  • SECTION 7 Resources and procedures
    • Article 16 Information Technology resources and outsourcing
    • Article 17 Ancillary services
  • SECTION 8 Access rules
    • Article 18 Transparency of access rules
    • Article 19 Verification of completeness and correctness of data
    • Article 20 Pricing policy transparency
  • SECTION 9 Operational reliability
    • Article 21 Operational risk
  • SECTION 10 Recordkeeping
    • Article 22 Recordkeeping policy
  • SECTION 11 Data availability
    • Article 23 Data availability mechanisms
    • Article 23a Direct and immediate access to data by authorities
    • Article 24 Verification of the accuracy and completeness of the application
    • Article 25 Entry into force
• Signature

• Commission Delegated Regulation (EU) No 151/2013
  • Article 1 Publication of aggregate data
  • Article 2 Data access by relevant authorities
  • Article 3 Third country authorities
  • Article 4 Operational standards for aggregation and comparison of data
  • Article 5 Operational standards for access to data
  • Article 6 Entry into force

2016

• Commission Delegated Regulation (EU) 2016/2251
  • Preamble
  • CHAPTER I GENERAL PROVISIONS ON RISK MANAGEMENT PROCEDURES
    • SECTION 1 Definitions and general requirements
      • Article 1 Definitions
      • Article 2 General requirements
      • Article 3 Exchange of collateral agreement
    • SECTION 2 Eligibility
      • Article 4 Eligible collateral
      • Article 5 Eligibility criteria for units or shares in UK UCITS
      • Article 5A Eligibility criteria for units or shares in funds
      • Article 6 Credit quality assessment
      • Article 7 Specific requirements for eligible assets
      • Article 8 Concentration limits for initial margin
    • SECTION 3 Calculation and collection of margins
      • Article 9 Frequency of calculation and determination of the calculation date
      • Article 10 Calculation of variation margin
      • Article 11 Calculation of initial margin
      • Article 12 Provision of variation margin
      • Article 13 Provision of initial margin
    • SECTION 4 Initial margin models
      • Article 14 General requirements
      • Article 15 Confidence interval and MPOR
      • Article 16 Calibration of the parameters of the model
      • Article 17 Diversification, hedging and risk offsets across underlying classes
      • Article 18 Qualitative requirements
    • SECTION 5 Collateral management and segregation
      • Article 19 Collateral management and segregation
      • Article 20 Treatment of collected initial margins
    • SECTION 6 Valuation of collateral
      • Article 21 Calculation of the adjusted value of collateral
      • Article 22 Own estimates of the adjusted value of collateral
  • CHAPTER II SPECIFIC PROVISIONS ON RISK MANAGEMENT PROCEDURES
    • SECTION 1 Exemptions
      • Article 23 CCPs
      • Article 24 Non-financial counterparties and third-country counterparties
      • Article 25 Minimum transfer amount
      • Article 26 Margin calculation with third-country counterparties
    • SECTION 2 Exemptions in calculating levels of initial margin
      • Article 27 Foreign exchange contracts
      • Article 28 Threshold based on notional amount
      • Article 29 Threshold based on initial margin amounts
    • SECTION 3 Exemptions from the requirement to post or collect initial or variation margin
      • Article 30 Treatment of derivatives associated to covered bonds for hedging purposes
      • Article 30a Treatment of derivatives in connection with securitisations for hedging purposes
      • Article 31 Treatment of derivatives with counterparties in third countries where legal enforceability of netting agreements or collateral protection cannot be ensured
      • Article 31a Treatment of physically settled foreign exchange forwards and physically settled foreign exchange swaps
  • CHAPTER III INTRAGROUP DERIVATIVE CONTRACTS
    • SECTION 1 Procedures for counterparties and the Financial Conduct Authority when applying exemptions for intragroup derivative contracts
      • Article 32 Procedures for counterparties and the Financial Conduct Authority
    • SECTION 2 Applicable criteria for applying exemptions for intragroup derivative contracts
      • Article 33 Applicable criteria on the legal impediment to the prompt transfer of own funds and repayment of liabilities
      • Article 34 Applicable criteria on the practical impediments to the prompt transfer of own funds and repayment of liabilities
  • CHAPTER IV TRANSITIONAL AND FINAL PROVISIONS
    • Article 35 Transitional provisions
    • Article 35A Application of Articles 4(1), 6, 7, 8, point (e) of Article 19(1), Articles 22, 23, 28, 29, 30, 39 and Annexes I, II and III
    • Article 35B Transitional for establishment and validation of procedure
    • Article 36 Application of 9(2), Article 11, Articles 13 to 18, points (c), (d) and (f) of Article 19(1), Article 19(3) and Article 20
    • Article 37 Application of Articles 9(1), 10 and 12
    • Article 38 Dates of application for specific contracts
    • Article 39 Calculation of aggregate average notional amount
    • Article 40 Entry into force
  • Signature
  • ANNEX I Correspondence of Probability of default ( PD ) to Credit quality steps for the purposes of Articles 6 and 7
  • ANNEX II Methodology to adjust the value of collateral for the purposes of Article 21
  • ANNEX III Own volatility estimates of the haircuts to be applied to the market value of collateral for the purposes of Article 22
  • ANNEX IV Standardised Method for the calculation of initial margin for the purposes of Articles 9 and 11

2020

• • Commission Delegated Regulation (EU) 2020/447
    • Preamble
    • Article 1 Criteria to determine which arrangements under covered bonds mitigate counterparty credit risk
    • Article 2 Criteria to determine which arrangements under securitisations mitigate counterparty credit risk
    • Article 3 Amendment to Delegated Regulation (EU) 2015/2205
    • Article 4 Amendment to Delegated Regulation (EU) 2016/1178
    • Article 5 Entry into force
    • Signature

European Social Entrepreneurship Funds Regulation

2014

• • Commission Implementing Regulation (EU) No 594/2014 [revoked]
    • [revoked]

European Venture Capital Funds Regulation

2014

• • Commission Implementing Regulation (EU) No 593/2014 [revoked]
    • [revoked]

Financial Conglomerates Directive

2014

• Commission Delegated Regulation (EU) No 342/2014
  • Preamble
  • CHAPTER I SUBJECT MATTER AND DEFINITIONS
    • Article 1 Subject matter
    • Article 2 Definitions
  • CHAPTER II TECHNICAL PRINCIPLES
    • Article 3 Elimination of multiple gearing and the intra-group creation of own funds
    • Article 4 Transferability and availability of own funds
    • Article 5 Sector specific own funds
    • Article 6 Deficit of own funds at the financial conglomerate level
    • Article 7 Consistency
    • Article 8 Consolidation
    • Article 9 Solvency requirement
    • Article 10 The financial conglomerate's own funds and solvency requirements
    • Article 11 Treatment of cross sector holdings
    • Article 12 Notional own funds and notional solvency requirements for non-regulated financial sector entities
    • Article 13 Sectoral transitional and grandfathering arrangements
  • CHAPTER III TECHNICAL CALCULATION METHODS
    • Article 14 Specification of technical calculation under method 1 pursuant to Annex 2 (Table 1) of the Financial Conglomerates Part of the PRA Rulebook and Annex 1R (Table 1) of Chapter 3 of the FCA General Prudential sourcebook
    • Article 15 Specification of technical calculation under method 2 pursuant to Annex 2 (Table 2) of the Financial Conglomerates Part of the PRA Rulebook and Annex 1R (Table 2) of Chapter 3 of the FCA General Prudential sourcebook
    • Article 16 Specification of circumstances for the use of a combination of methods 1 and 2
  • CHAPTER IV FINAL PROVISIONS
    • Article 17 Entry into force
  • Signature
  • ANNEX Calculation methodology for Method 2 pursuant to Annex 2 (Table 2) of the Financial Conglomerates Part of the PRA Rulebook and Annex 1R (Table 2) of Chapter 3 of the FCA General Prudential sourcebook Deduction and aggregation method

2015

• • Commission Delegated Regulation (EU) 2015/2303
    • Preamble
    • Article 1 Subject matter
    • Article 2 Significant intra-group transactions
    • Article 3 Significant risk concentration
    • Article 4 Supervisory measures
    • Article 5
    • Signature

Fourth Money Laundering Directive

2019

• • Commission Delegated Regulation (EU) 2019/758
    • Preamble
    • Article -1 Interpretation
    • Article 1 Subject matter and scope
    • Article 2 General obligations for each third country
    • Article 3 Individual risk assessments
    • Article 4 Customer data sharing and processing
    • Article 5 Disclosure of information related to suspicious transactions
    • Article 6 Transfer of customer data to the United Kingdom
    • Article 7 Record-keeping
    • Article 8 Additional measures
    • Article 9 Entry into force
    • Signature

Insurance Distribution Directive

2017

• Commission Implementing Regulation (EU) 2017/1469
  • Preamble
  • Article -1 Application
  • Article 1 Name and company logo of the manufacturer
  • Article 2 Reference to complete pre-contractual and contractual information
  • Article 3 Length
  • Article 4 Presentation and order of content
  • Article 5 Plain language
  • Article 6 Headings and information thereunder
  • Article 7 Use of icons
  • Article 8 Entry into force
  • Signature

2019

• • Commission Delegated Regulation (EU) 2019/1935
    • Preamble
    • Article 1 Amendments to Directive (EU) 2016/97
    • Article 2 Entry into force and date of application
    • Signature

Market Abuse Regulation

2016

Commission Delegated Regulation (EU) 2016/1052

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article -3 Definitions
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1
• CHAPTER II BUY-BACK PROGRAMMES
  • Article 2 Disclosure and reporting obligations
  • Article 3 Conditions for trading
  • Article 4 Trading restrictions
• CHAPTER III STABILISATION MEASURES
  • Article 5 Conditions regarding the stabilisation period
  • Article 6 Disclosure and reporting obligations
  • Article 7 Price conditions
  • Article 8 Conditions for ancillary stabilisation
• CHAPTER IV FINAL PROVISION
  • Article 9 Entry into force
• Signature

Commission Delegated Regulation (EU) 2016/908

• Preamble
• CHAPTER I GENERAL PROVISION
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Definitions
• CHAPTER II ACCEPTED MARKET PRACTICES
  • SECTION 1 Establishing an accepted market practice
    • Article 2 General requirements
  • SECTION 2 Specification of the criteria to consider when establishing accepted market practices
    • Article 3 Transparency
    • Article 4 Safeguards of the operations of the market forces and interplay of the forces of supply and demand
    • Article 5 Impact on market liquidity and efficiency
    • Article 6 Impact on the proper functioning of the market
    • Article 7 Risks for the integrity of related markets
    • Article 8 Investigation of the market practice
    • Article 9 Structural characteristics of the market
  • SECTION 4 Maintenance, modification and termination of accepted market practices
    • Article 12 Review of an established AMP
    • Article 13 Criteria for modifying or terminating an established AMP
• CHAPTER III FINAL PROVISION
  • Article 14 Entry into force
• Signature
• ANNEX Template for notifying the intention to establish accepted market practices

Commission Delegated Regulation (EU) 2016/909

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1
• Article 2
• Article 3
• Signature
• ANNEX Notifications of financial instruments pursuant to Article 4(1) of Regulation (EU) No 596/2014

Commission Delegated Regulation (EU) 2016/957

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 General requirements
• Article 3 Prevention, monitoring and detection
• Article 4 Training
• Article 5 Reporting obligations
• Article 6 Timing of STORs
• Article 7 Content of STORs
• Article 8 Means of transmission
• Article 9 Entry into force
• Signature
• ANNEX STOR template

Commission Delegated Regulation (EU) 2016/958

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Definitions
• CHAPTER II PRODUCTION OF RECOMMENDATIONS
  • Article 2 Identity of producers of recommendations
  • Article 3 General obligations in relation to objective presentation of recommendations
  • Article 4 Additional obligations in relation to objective presentation of recommendations applicable to the persons referred to Article 3(1)(34)(i) of Regulation (EU) No 596/2014 and experts
  • Article 5 General obligations in relation to disclosure of interests or of conflicts of interest
  • Article 6 Additional obligations in relation to disclosure of interests or of conflicts of interest by persons referred to in Article 3(1)(34)(i) of Regulation (EU) No 596/2014 and experts
  • Article 7 Dissemination of recommendations by the producer
• CHAPTER III DISSEMINATION OF RECOMMENDATIONS PRODUCED BY THIRD PARTIES
  • Article 8 Arrangements for dissemination of recommendations
  • Article 9 Additional arrangements for dissemination of summary or extract of recommendations
  • Article 10 Additional arrangements for dissemination of substantially altered recommendations
• CHAPTER IV FINAL PROVISIONS
  • Article 11 Entry into force
• Signature

Commission Delegated Regulation (EU) 2016/960

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 General requirements
• Article 2 Procedures for the purposes of conducting market soundings
• Article 3 Standard set of information for the communications to persons receiving the market sounding
• Article 4 Data regarding persons receiving the market sounding
• Article 5 Procedure for notifying where the information has ceased to be inside information
• Article 6 Record keeping requirements
• Article 7 Entry into force
• Signature

Commission Implementing Regulation (EU) 2016/1055

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Definitions
• CHAPTER II TECHNICAL MEANS FOR APPROPRIATE PUBLIC DISCLOSURE OF INSIDE INFORMATION
  • Article 2 Means for public disclosure of inside information
  • Article 3 Posting of inside information on a website
• CHAPTER III TECHNICAL MEANS FOR DELAYING THE PUBLIC DISCLOSURE OF INSIDE INFORMATION
  • Article 4 Notification of delayed disclosure of inside information and written explanation
  • Article 5 Notification of intention to delay the disclosure of inside information
• CHAPTER IV FINAL PROVISIONS
  • Article 6 Entry into force
• Signature

Commission Implementing Regulation (EU) 2016/347

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 Format for drawing up and updating the insider list
• Article 3 SME growth market issuers
• Article 4 Entry into force
• Signature
• ANNEX I TEMPLATE 1 Insider list: section related to [Name of the deal-specific or event-based inside information] TEMPLATE 2 Permanent insiders section of the insider list
• ANNEX II Template for the insider list to be submitted by issuers of financial instruments admitted to trading on SME growth markets

Commission Implementing Regulation (EU) 2016/378

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1
• Article 2
• Article 3
• Signature
• ANNEX Standards and formats of the submission of notifications to the Financial Conduct Authority according to Regulation (EU) No 596/2014

Commission Implementing Regulation (EU) 2016/523

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 Format and template for the notification
• Article 3 Entry into force
• Signature
• ANNEX Template for notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them

• Commission Implementing Regulation (EU) 2016/959
  • Preamble
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Electronic format for the records
  • Article 2 Format for the record keeping of the written minutes or notes
  • Article 3 Format for the record keeping of the data regarding potential investors
  • Article 4 Format for communicating and recording that the information has ceased to be inside information
  • Article 5 Entry into force
  • Signature
  • ANNEX I Template for the written minutes and notes referred to in Article 6(2)(d) of Delegated Regulation (EU) 2016/960 where inside information is disclosed
  • ANNEX II Template for the written minutes and notes referred to in Article 6(2)(d) of Delegated Regulation (EU) 2016/960 where no inside information is disclosed
  • ANNEX III Template for recording the communication given in accordance with the first subparagraph of Article 11(6) of Regulation (EU) No 596/2014 to inform the person having received the market sounding that the information disclosed has ceased to be inside information

2017

• Commission Implementing Regulation (EU) 2017/1158 [revoked]
  • [revoked]

2018

• • Commission Implementing Regulation (EU) 2018/292 [revoked]
    • [revoked]

Markets in Financial Instruments Directive/Regulation

2016

Commission Delegated Regulation (EU) 2016/2020

• Preamble
• Article -3 Application
• Article -2 Interpretation
• Article -1 Definitions
• Article 1 Sufficient third party buying and selling interest
• Article 2 Average frequency of trades
• Article 3 Average size of trades
• Article 4 Number and type of active market participants
• Article 5 Average size of spreads
• Article 6 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2016/2021

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Information to be made available to CCPs and trading venues
• Article 2 General conditions for the information through licensing to be provided to CCPs and trading venues
• Article 3 Differentiation and non-discrimination
• Article 4 Other conditions under which access is granted
• Article 5 Standards guiding how a benchmark may be proven to be new
• Article 6 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2016/2022

• Preamble
• Article -1 Interpretation
• Article 1 Information necessary for the registration
• Article 2 Information submission requirements
• Article 3 Information concerning type of clients in the Union
• Article 4 Entry into force and application
• Signature

• Commission Implementing Regulation (EU) 2016/824
  • Preamble
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Definitions
  • Article 2 Information to be provided on MTFs and OTFs
  • Article 3 Additional information to be provided on MTFs
  • Article 4 Information to be provided on MTFs already in operation
  • Article 5 Additional information to be provided on MTFs for registration as an SME growth market
  • Article 6 Additional information to be provided on OTFs
  • Article 7 Asset class specific information
  • Article 8 Material changes
  • Article 9 Format for providing the description
  • Article 11 Entry into force and application
  • Signature
  • ANNEX Formats

2017

Commission Delegated Regulation (EU) 2017/1943

• Preamble
• Article -1 Interpretation
• Article 1 General information
• Article 2 Information on capital
• Article 3 Information on shareholders
• Article 4 Information on the management body and persons who direct the business
• Article 5 Financial information
• Article 6 Information on the organisation of the firm
• Article 7 General requirements
• Article 8 Requirements applicable to the management of investment firms that are natural persons or investment firms that are legal persons managed by a single natural person
• Article 9 Requirements applicable to shareholders and members with qualifying holdings
• Article 10 Effective exercise of supervisory functions
• Article 11 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/1946

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Subject matter
• Article 2 Information to be provided by the proposed acquirer
• Article 3 General information relating to the identity of the proposed acquirer
• Article 4 Additional information relating to the proposed acquirer that is a natural person
• Article 5 Additional information relating to the proposed acquirer that is a legal person
• Article 6 Information on the persons that will effectively direct the business of the target entity
• Article 7 Information relating to the proposed acquisition
• Article 8 Information on the new proposed group structure and its impact on supervision
• Article 9 Information relating to the financing of the proposed acquisition
• Article 10 Additional information for qualifying holdings of up to 20 %
• Article 11 Additional requirements for qualifying holdings between 20 % and 50 %
• Article 12 Additional requirements for qualifying holdings of 50 % or more
• Article 13 Reduced information requirements
• Article 14
• Signature

Commission Delegated Regulation (EU) 2017/2154

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 Requirements for the provision of indirect clearing services by clients
• Article 3 Obligations of CCPs
• Article 4 Obligations of clearing members
• Article 5 Obligations of clients
• Article 6 Requirements for the provision of indirect clearing services by indirect clients
• Article 7 Requirements for the provision of indirect clearing services by second indirect clients
• Article 8 Entry into force
• Signature

Commission Delegated Regulation (EU) 2017/2194

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Package orders for which there is a liquid market as a whole
• Article 2 Asset-class specific criteria for package orders consisting exclusively of interest rate derivatives
• Article 3 Asset-class specific criteria for package orders consisting exclusively of equity derivatives
• Article 4 Asset-class specific criteria for package orders consisting exclusively of credit derivatives
• Article 5 Asset-class specific criteria for package orders consisting exclusively of commodity derivatives
• Article 6 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/2417

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Derivatives subject to the trading obligation
• Article 2 Dates from which the trading obligation takes effect
• Article 3 Entry into force
• Signature
• ANNEX Derivatives subject to the trading obligation

Commission Delegated Regulation (EU) 2017/566

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 Obligation to calculate the ratio of unexecuted orders to transactions
• Article 3 Methodology
• Article 4 Entry into force and application
• Signature
• ANNEX Counting methodology for orders set out for each type

Commission Delegated Regulation (EU) 2017/568

• Preamble
• Article Article -3 Definitions
• Article -2 Application
• Article Article -1 Interpretation
• Article 1 Transferable securities — freely negotiable
• Article 2 Transferable securities — fair, orderly and efficient trading
• Article 3 Transferable securities — official listing
• Article 4 Units and shares in collective investment undertakings
• Article 5 Derivatives
• Article 6 Emission allowances
• Article 7 Verification of issuer obligations
• Article 8 Facilitation of access to information
• Article 9 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/569

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Connection between a derivative related or referenced to a financial instrument suspended or removed from trading and the original financial instrument
• Article 2 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/570

• Preamble
• Article -2 Definitions
• Article -1 Interpretation
• Article 1 Material market in terms of liquidity
• Article 2 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/571

• Preamble
• CHAPTER I AUTHORISATION (Article 61(2) of Directive 2014/65/EU)
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Information to the competent authority
  • Article 2 Information on the organisation
  • Article 3 Corporate governance
  • Article 4 Information on the members of the management body
• CHAPTER II ORGANISATIONAL REQUIREMENTS (Article 64(3), (4) and (5), Article 65(4), (5) and (6), and Article 66(2), (3) and (4) of Directive 2014/65/EU)
  • Article 5 Conflicts of interest
  • Article 6 Organisational requirements regarding outsourcing
  • Article 7 Business continuity and back-up facilities
  • Article 8 Testing and capacity
  • Article 9 Security
  • Article 10 Management of incomplete or potentially erroneous information by APAs and CTPs
  • Article 11 Management of incomplete or potentially erroneous information by ARMs
  • Article 12 Connectivity of ARMs
  • Article 13 Other services provided by CTPs
• CHAPTER III PUBLICATION ARRANGEMENTS (Article 64(1) and (2) and Article 65(1) of Directive 2014/65/EU)
  • Article 14 Machine readability
  • Article 15 Scope of the consolidated tape for shares, depositary receipts, ETFs, certificates and other similar financial instruments
  • Article 15a Scope of the consolidated tape for bonds, structured finance products, emission allowances and derivatives
  • Article 16 Identification of original and duplicative trade reports in shares, depositary receipts, ETFs, certificates and other similar financial instruments
  • Article 17 Publication of original reports in shares, depositary receipts, ETFs, certificates and other similar financial instruments
  • Article 18 Details to be published by the APA
  • Article 19 Non-discrimination
  • Article 20 Details to be published by the CTP
  • Article 21 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/572

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Offering of pre-trade and post-trade transparency data
• Article 2 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/573

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Fair and non-discriminatory co-location services
• Article 2 Transparency when providing co-location services
• Article 3 Fair and non-discriminatory fees
• Article 4 Transparency of fee structures
• Article 5 Prohibited fee structures
• Article 6 Entry into force
• Signature

Commission Delegated Regulation (EU) 2017/574

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Reference time
• Article 2 Level of accuracy for operators of trading venues
• Article 3 Level of accuracy for members or participants of a trading venue
• Article 4 Compliance with the maximum divergence requirements
• Article 5 Entry into force and application
• Signature
• ANNEX Table 1 Level of accuracy for operators of trading venues Table 2 Level of accuracy for members or participants of a trading venue

Commission Delegated Regulation (EU) 2017/575 [deleted]

• [deleted]

Commission Delegated Regulation (EU) 2017/576 [deleted]

• [deleted]

Commission Delegated Regulation (EU) 2017/577

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Subject matter and scope
• Article 2 Content of the data requests and information to be reported
• Article 3 Frequency of data requests and response times for trading venues, APAs and CTPs
• Article 4 Format of the data requests
• Article 5 Type of data that must be stored and the minimum period of time trading venues, APAs and CTPs shall store data
• Article 6 Reporting requirements for trading venues and CTPs for the purpose of the volume cap mechanism
• Article 7 Reporting requirements for competent authorities to ESMA for the purposes of the volume cap mechanism and the trading obligation for derivatives
• Article 8 Reporting requirements for ESMA for the purpose of the volume cap mechanism
• Article 9 Entry into force and application
• Signature
• ANNEX Table 1 Symbol table for Table 2 Table 2 Formats of the report for the purpose of the volume cap mechanism

Commission Delegated Regulation (EU) 2017/578

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Obligation for investment firms to enter into a market making agreement
• Article 2 Content of market making agreements
• Article 3 Exceptional circumstances
• Article 4 Identification of exceptional circumstances
• Article 5 Obligation for trading venues to have market making schemes in place
• Article 6 Minimum obligations as regards the market making schemes
• Article 7 Fair and non-discriminatory market making schemes
• Article 8 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/579

• Preamble
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 Contracts with a direct, substantial and foreseeable effect within the Union
• Article 3 Cases where it is necessary or appropriate to prevent the evasion of rules or obligations provided for in Regulation (EU) No 600/2014
• Article 4 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/580

• Preamble
• Article -3 Definition
• Article -2 Application
• Article -1 Interpretation
• Article 1 Scope, standards and format of relevant order data
• Article 2 Identification of the relevant parties
• Article 3 Trading capacity of members or participants of the trading venue and liquidity provision activity
• Article 4 Date and time recording
• Article 5 Validity period and order restrictions
• Article 6 Priority and sequence numbers
• Article 7 Identification codes for orders in financial instruments
• Article 8 Events affecting the orders in financial instruments
• Article 9 Type of order in financial instruments
• Article 10 Prices relating to orders
• Article 11 Order instructions
• Article 12 Trading venue transaction identification code
• Article 13 Trading phases and indicative auction price and volume
• Article 14 Entry into force and application
• Signature
• ANNEX

Commission Delegated Regulation (EU) 2017/581

• Preamble
• CHAPTER I NON-DISCRIMINATORY ACCESS TO CCPs AND TRADING VENUES
  • SECTION 1 Non-discriminatory access to CCPs
    • Article -1 Interpretation
    • Article 1 Conditions on the denial of access by a CCP
    • Article 2 Denial of access by a CCP based on the anticipated volume of transactions
    • Article 3 Denial of access by a CCP based on operational risk and complexity
    • Article 4 Denial of access by a CCP based on other factors creating significant undue risks
  • SECTION 2 Non-discriminatory access to trading venues
    • Article 5 Conditions on the denial of access by a trading venue
    • Article 6 Denial of access by a trading venue based on operational risk and complexity
    • Article 7 Denial of access by a trading venue based on other factors creating significant undue risks
    • Article 8 Conditions under which access is deemed to threaten the smooth and orderly functioning of markets or adversely affect systemic risk
• CHAPTER II CONDITIONS UNDER WHICH ACCESS MUST BE PERMITTED
  • Article 9 Conditions under which access must be permitted
  • Article 10 Non-discriminatory and transparent clearing fees charged by CCPs
  • Article 11 Non-discriminatory and transparent fees charged by trading venues
• CHAPTER III CONDITIONS FOR NON-DISCRIMINATORY TREATMENT OF CONTRACTS
  • Article 12 Collateral and margining requirements of economically equivalent contracts
  • Article 13 Netting of economically equivalent contracts
  • Article 14 Cross-margining of correlated contracts cleared by the same CCP
• CHAPTER IV TRANSITIONAL ARRANGEMENTS AND FINAL PROVISIONS
  • Article 15 Notification procedure from the CCP to its competent authority
  • Article 18 Notification procedure from the trading venue to its competent authority regarding an extension of the transitional period
  • Article 19 Further specifications for the calculation of notional amount
  • Article 20 Approval and verification method by the competent authority
  • Article 21 Entry into force and application
• Signature
• ANNEX Form 1 Notification referred to in Article 15 Form 2 Notification referred to in Article 16 Form 3.1 General notification referred to in Article 17 Form 3.2 Notification of notional amount referred to in Article 17 Form 4.1 General notification referred to in Article 18 Form 4.2 Notification of notional amount referred to in Article 18

Commission Delegated Regulation (EU) 2017/582

• Preamble
• Article -1 Interpretation
• Article 1 Arrangements to facilitate the transfer of information
• Article 2 Pre-trade check for cleared derivative transactions concluded on a trading venue
• Article 3 Time frames for the transfer of information for cleared derivative transactions concluded on a trading venue
• Article 4 Time frames for the transfer of information for cleared derivative transactions concluded on a bilateral basis
• Article 5 Treatment of cleared derivative transactions not accepted for clearing
• Article 6 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/583

• Preamble
• CHAPTER I DEFINITIONS
  • Article -3 Definitions
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Definitions
• CHAPTER II PRE-TRADE TRANSPARENCY FOR REGULATED MARKETS, MULTILATERAL TRADING FACILITIES AND ORGANISED TRADING FACILITIES
  • Article 2 Pre-trade transparency obligations(Article 8(1) and (2) of Regulation (EU) No 600/2014)
  • Article 3 Orders which are large in scale(Article 9(1)(a) of Regulation (EU) No 600/2014)
  • Article 4 Type and minimum size of orders held in an order management facility(Article 9(1)(a) of Regulation (EU) No 600/2014)
  • Article 5 Size specific to the financial instrument(Articles 8(4) and 9(1)(b) of Regulation (EU) No 600/2014)
  • Article 6 The classes of financial instruments for which there is not a liquid market(Article 9(1)(c) of Regulation (EU) No 600/2014)
• CHAPTER III POST-TRADE TRANSPARENCY FOR TRADING VENUES AND INVESTMENT FIRMS TRADING OUTSIDE A TRADING VENUE
  • Article 7 Post-trade transparency obligations (Article 10(1) and Article 21(1) and (5) of Regulation (EU) No 600/2014)
  • Article 8 Deferred publication of transactions(Article 11(1) and (3) and Article 21(4) of Regulation (EU) No 600/2014)
  • Article 9 Transactions which are large in scale(Article 11(1)(a) of Regulation (EU) No 600/2014)
  • Article 10 The size specific to the financial instrument(Article 11(1)(c) of Regulation (EU) No 600/2014)
  • Article 11 Transparency requirements in conjunction with deferred publication at the discretion of the competent authorities(Article 11(3) of Regulation (EU) No 600/2014)
  • Article 12 Application of post-trade transparency to certain transactions executed outside a trading venue(Article 21(1) of Regulation (EU) No 600/2014)
• CHAPTER IV PROVISIONS COMMON TO PRE-TRADE AND POST-TRADE TRANSPARENCY
  • Article 13 Methodology to perform the transparency calculations(Article 9(1) and (2), Article 11(1) and Article 22(1) of Regulation (EU) No 600/2014)
  • Article 13A transitional period for publication of transparency calculations
  • Article 14 Transactions to which the exemption in Article 1(6) of Regulation (EU) No 600/2014 applies(Article 1(6) of Regulation (EU) No 600/2014)
  • Article 15 Transactions to which the exemption in Article 1(6) of Regulation (EU) No 600/2014 does not apply(Article 1(7) of Regulation (EU) No 600/2014)
  • Article 16 Temporary suspension of transparency obligations(Article 9(5)(a) of Regulation (EU) No 600/2014)
  • Article 17 Provisions for the liquidity assessment for bonds and for the determination of the pre-trade size specific to the instrument thresholds based on trade percentiles
  • Article 18 Transitional provisions
  • Article 19 Entry into force and application
• Signature
• ANNEX I Description of the type of system and the related information to be made public in accordance with Article 2 Information to be made public in accordance with Article 2
• ANNEX II Details of transactions to be made available to the public
• ANNEX III Liquidity assessment, LIS and SSTI thresholds for non-equity financial instruments
• ANNEX IV Reference data to be provided for the purpose of transparency calculations

Commission Delegated Regulation (EU) 2017/584

• Preamble
• CHAPTER I GENERAL ORGANISATIONAL REQUIREMENTS FOR TRADING VENUES ENABLING OR ALLOWING ALGORITHMIC TRADING THROUGH THEIR SYSTEMS
  • Article -3 Definitions
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Subject matter and scope(Article 48 of Directive 2014/65/EU)
  • Article 2 Self-assessments of compliance with Article 48 of Directive 2014/65/EU(Article 48 of Directive 2014/65/EU)
  • Article 3 Governance of trading venues(Article 48(1) of Directive 2014/65/EU)
  • Article 4 Compliance function within the governance arrangements(Article 48(1) of Directive 2014/65/EU)
  • Article 5 Staffing(Article 48(1) of Directive 2014/65/EU)
  • Article 6 Outsourcing and procurement(Article 48(1) of Directive 2014/65/EU)
• CHAPTER II CAPACITY AND RESILIENCE OF TRADING VENUES
  • Article 7 Due diligence for members of trading venues(Article 48(1) of Directive 2014/65/EU)
  • Article 8 Testing of the trading systems(Article 48(1) of Directive 2014/65/EU)
  • Article 9 Conformance testing(Article 48(6) of Directive 2014/65/EU)
  • Article 10 Testing the members' algorithms to avoid disorderly trading conditions(Article 48(6) of Directive 2014/65/EU)
  • Article 11 Trading venues' capacity(Article 48(1) of Directive 2014/65/EU)
  • Article 12 General monitoring obligations(Article 48(1) of Directive 2014/65/EU)
  • Article 13 Ongoing monitoring(Article 48(1) of Directive 2014/65/EU)
  • Article 14 Periodic review of the performance and capacity of the algorithmic trading systems(Article 48(1) of Directive 2014/65/EU)
  • Article 15 Business continuity arrangements(Article 48(1) of Directive 2014/65/EU)
  • Article 16 Business continuity plan (Article 48(1) of Directive 2014/65/EU)
  • Article 17 Periodic review of business continuity arrangements(Article 48(1) of Directive 2014/65/EU)
  • Article 18 Prevention of disorderly trading conditions(Article 48(4), (5) and (6) of Directive 2014/65/EU)
  • Article 19 Mechanisms to manage volatility(Article 48(5) of Directive 2014/65/EU)
  • Article 20 Pre-trade and post-trade controls(Article 48(4) and (6) of Directive 2014/65/EU)
  • Article 21 Pre-determination of the conditions to provide direct electronic access(Article 48(7) of Directive 2014/65/EU)
  • Article 22 Specific requirements for trading venues permitting sponsored access(Article 48(7) of Directive 2014/65/EU)
  • Article 23 Security and limits to access(Article 48(1) of Directive 2014/65/EU)
  • Article 24 Entry into force
• Signature
• ANNEX Parameters to be considered in the self-assessments of the trading venues, as referred to in Article 2(1)

Commission Delegated Regulation (EU) 2017/585

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Content, standards, form and format of reference data
• Article 2 Timing for provision of reference data to competent authorities
• Article 3 Identification of financial instruments and legal entities
• Article 4 Arrangements to ensure effective receipt of reference data
• Article 5 Arrangements to ensure the quality of the reference data
• Article 6 Methods and arrangements for supplying reference data
• Article 7 Arrangements for efficient exchange and publication of reference data
• Article 8 Entry into force and application
• Signature
• ANNEX Table 1

Commission Delegated Regulation (EU) 2017/586 [revoked]

• [revoked]

Commission Delegated Regulation (EU) 2017/587

• Preamble
• CHAPTER I GENERAL
  • Article -3 Definitions
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 Definitions
  • Article 2 Transactions not contributing to the price discovery process(Article 23(1) of Regulation (EU) No 600/2014)
• CHAPTER II PRE-TRADE TRANSPARENCY
  • Section 1 Pre-trade transparency for trading venues
    • Article 3 Pre-trade transparency obligations(Article 3(1) and (2) of Regulation (EU) No 600/2014)
    • Article 4 Most relevant market in terms of liquidity(Article 4(1)(a) of Regulation (EU) No 600/2014)
    • Article 5 Specific characteristics of negotiated transactions(Article 4(1)(b) of Regulation (EU) No 600/2014)
    • Article 6 Negotiated transactions subject to conditions other than the current market price(Article 4(1)(b) of Regulation (EU) No 600/2014)
    • Article 7 Orders that are large in scale(Article 4(1)(c) of Regulation (EU) No 600/2014)
    • Article 8 Type and minimum size of orders held in an order management facility(Article 4(1)(d) of Regulation (EU) No 600/2014)
  • Section 2 Pre-trade transparency for systematic internalisers and investment firms trading outside a trading venue
    • Article 9 Arrangements for the publication of a firm quote(Article 14(1) of Regulation (EU) No 600/2014)
    • Article 10 Prices reflecting prevailing market conditions(Article 14(3) of Regulation (EU) No 600/2014)
    • Article 11 Standard market size(Article 14(2) and (4) of Regulation (EU) No 600/2014)
• CHAPTER III POST-TRADE TRANSPARENCY FOR TRADING VENUES AND INVESTMENT FIRMS TRADING OUTSIDE A TRADING VENUE
  • Article 12 Post-trade transparency obligations(Article 6(1) and Article 20(1) and (2) of Regulation (EU) No 600/2014)
  • Article 13 Application of post-trade transparency to certain types of transactions executed outside a trading venue(Article 20(1) of Regulation (EU) No 600/2014)
  • Article 14 Real time publication of transactions(Article 6(1) of Regulation (EU) No 600/2014)
  • Article 15 Deferred publication of transactions(Article 7(1) and 20(1) and (2) of Regulation (EU) No 600/2014)
  • Article 16 References to trading day and daily trading hours
• CHAPTER IV PROVISIONS COMMON TO PRE-TRADE AND POST-TRADE TRANSPARENCY CALCULATIONS
  • Article 17 Methodology, date of publication and date of application of the transparency calculations(Article 22(1) of Regulation (EU) No 600/2014)
  • Article 17A transitional period for publication of transparency calculations
  • Article 18 Reference to competent authorities(Article 22(1) of Regulation (EU) No 600/2014)
  • Article 19 Transitional provisions
  • Article 20 Entry into force and application
• Signature
• ANNEX I Information to be made public
• ANNEX II Orders large in scale compared with normal market size, standard market sizes and deferred publications and delays
• ANNEX III Reference data to be provided for the purpose of transparency calculations

Commission Delegated Regulation (EU) 2017/588

• Preamble
• Article -3 definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Most relevant market in terms of liquidity
• Article 2 Tick size for shares, depositary receipts and exchange-traded funds(Article 49(1) and (2) of Directive 2014/65/EU)
• Article 3 Average daily number of transactions for shares and depositary receipts(Article 49(1) and (2) of Directive 2014/65/EU)
• Article 3A Transitional period for publication of average daily number of transactions
• Article 4 Corporate actions(Article 49(1) and (2) of Directive 2014/65/EU)
• Article 5 Transitional provisions
• Article 6 Entry into force and application
• Signature
• ANNEX Tick size table

Commission Delegated Regulation (EU) 2017/589

• Preamble
• CHAPTER I GENERAL ORGANISATIONAL REQUIREMENTS
  • Article -3 Definitions
  • Article -2 Application
  • Article -1 Interpretation
  • Article 1 General organisational requirements(Article 17(1) of Directive 2014/65/EU)
  • Article 2 Role of the compliance function(Article 17(1) of Directive 2014/65/EU)
  • Article 3 Staffing(Article 17(1) of Directive 2014/65/EU)
  • Article 4 IT outsourcing and procurement(Article 17(1) of Directive 2014/65/EU)
• CHAPTER II RESILIENCE OF TRADING SYSTEMS
  • SECTION I Testing and deployment of trading algorithms systems and strategies
    • Article 5 General methodology(Article 17(1) of Directive 2014/65/EU)
    • Article 6 Conformance testing(Article 17(1) of Directive 2014/65/EU)
    • Article 7 Testing environments(Article 17(1) of Directive 2014/65/EU)
    • Article 8 Controlled deployment of algorithms(Article 17(1) of Directive 2014/65/EU)
  • SECTION 2 Post-deployment management
    • Article 9 Annual self-assessment and validation(Article 17(1) of Directive 2014/65/EU)
    • Article 10 Stress testing(Article 17(1) of Directive 2014/65/EU)
    • Article 11 Management of material changes(Article 17(1) of Directive 2014/65/EU)
  • SECTION 3 Means to ensure resilience
    • Article 12 Kill functionality(Article 17(1) of Directive 2014/65/EU)
    • Article 13 Automated surveillance system to detect market manipulation(Article 17(1) of Directive 2014/65/EU)
    • Article 14 Business continuity arrangements(Article 17(1) of Directive 2014/65/EU)
    • Article 15 Pre-trade controls on order entry(Article 17(1) of Directive 2014/65/EU)
    • Article 16 Real-time monitoring(Article 17(1) of Directive 2014/65/EU)
    • Article 17 Post-trade controls(Article 17(1) of Directive 2014/65/EU)
    • Article 18 Security and limits to access(Article 17(1) of Directive 2014/65/EU)
• CHAPTER III DIRECT ELECTRONIC ACCESS
  • Article 19 General provisions for DEA(Article 17(5) of Directive 2014/65/EU)
  • Article 20 Controls of DEA providers(Article 17(5) of Directive 2014/65/EU)
  • Article 21 Specifications for the systems of DEA providers(Article 17(5) of Directive 2014/65/EU)
  • Article 22 Due diligence assessment of prospective DEA clients(Article 17(5) of Directive 2014/65/EU)
  • Article 23 Periodic review of DEA clients(Article 17(5) of Directive 2014/65/EU)
• CHAPTER IV INVESTMENT FIRMS ACTING AS GENERAL CLEARING MEMBERS
  • Article 24 Systems and controls of investment firms acting as general clearing members(Article 17(6) of Directive 2014/65/EU)
  • Article 25 Due diligence assessments of prospective clearing clients(Article 17(6) of Directive 2014/65/EU)
  • Article 26 Position limits(Article 17(6) of Directive 2014/65/EU)
  • Article 27 Disclosure of information about the services provided(Article 17(6) of Directive 2014/65/EU)
• CHAPTER V HIGH-FREQUENCY ALGORITHMIC TRADING TECHNIQUE AND FINAL PROVISIONS
  • Article 28 Content and format of order records(Article 17(2) of Directive 2014/65/EU)
  • Article 29 Entry into force and application(Article 17(2) of Directive 2014/65/EU)
• Signature
• ANNEX I Criteria to be considered in the investment firm's self-assessment as referred to in Article 9(1)
• ANNEX II Content and format of order records as referred to in Article 28

Commission Delegated Regulation (EU) 2017/590

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Data standards and formats for transaction reporting
• Article 2 Meaning of transaction
• Article 3 Meaning of execution of a transaction
• Article 4 Transmission of an order
• Article 5 Identification of the investment firm executing a transaction
• Article 6 Designation to identify natural persons
• Article 7 Details of the identity of the client and identifier and details for the decision maker
• Article 8 Identification of person or computer algorithm responsible for the investment decision
• Article 9 Identification of person or computer algorithm responsible for execution of a transaction
• Article 10 Designation to identify an applicable waiver
• Article 11 Designation to identify a short sale
• Article 12 Reporting of an execution for a combination of financial instruments
• Article 13 Conditions upon which legal entity identifiers are to be developed, attributed and maintained
• Article 14 Reporting transactions executed by branches
• Article 15 Methods and arrangements for reporting financial transactions
• Article 17 Entry into force and application
• Signature
• ANNEX I
• ANNEX II National client identifiers for natural persons to be used in transaction reports

Commission Delegated Regulation (EU) 2017/591

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article -3 Definitions
  • AArticle -2 Application
  • Article -1 Interpretation
  • Article 1 Subject matter
  • Article 2 Definitions
• CHAPTER II METHOD FOR CALCULATING THE SIZE OF THE NET POSITION OF A PERSON
  • Article 3 Aggregation and netting of positions in a commodity derivative(Article 57(1) of Directive 2014/65/EU)
  • Article 4 Method of calculating positions for legal entities within a group(Article 57(1) of Directive 2014/65/EU)
  • Article 6 OTC contracts economically equivalent to commodity derivatives traded on trading venues(Article 57(1) of Directive 2014/65/EU)
  • Article 7 Positions qualifying as reducing risks directly related to commercial activities(Article 57(1) of Directive 2014/65/EU)
  • Article 8 Application for the exemption from position limits(Article 57(1) of Directive 2014/65/EU)
• CHAPTER III METHODOLOGY FOR THE COMPETENT AUTHORITY TO CALCULATE POSITION LIMITS
  • SECTION 1 Determination of baseline figures
    • Article 9 Methodology for determining the baseline figure for spot month limits(Article 57(4) of Directive 2014/65/EU)
    • Article 10 Deliverable supply(Article 57(3) of Directive 2014/65/EU)
    • Article 11 Methodology for determining the baseline figure for other months' limits(Article 57(4) of Directive 2014/65/EU)
    • Article 12 Open interest(Article 57(3) of Directive 2014/65/EU)
    • Article 13 Methodology for determining the baseline figure in respect of certain contracts(Article 57(4) of Directive 2014/65/EU)
  • SECTION II Factors relevant for the calculation of position limits
    • Article 14 Assessment of factors(Article 57(3) of Directive 2014/65/EU)
    • Article 15 New and illiquid contracts(Article 57(3)(g) of Directive 2014/65/EU)
    • Article 16 The maturity of the commodity derivatives contracts(Article 57(3)(a) of Directive 2014/65/EU)
    • Article 17 Deliverable supply in the underlying commodity(Article 57(3)(b) of Directive 2014/65/EU)
    • Article 18 The overall open interest(Article 57(3)(c) of Directive 2014/65/EU)
    • Article 19 The number of market participants(Article 57(3)(e) of Directive 2014/65/EU)
    • Article 20 Characteristics of the underlying commodity market(Article 57(3)(f) of Directive 2014/65/EU)
    • Article 21 Volatility of the relevant markets(Article 57(3)(d)) of Directive 2014/65/EU)
    • Article 22 Entry into force and application
• Signature

Commission Delegated Regulation (EU) 2017/592

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Application of thresholds
• Article 2 Overall market threshold
• Article 3 Main business threshold
• Article 4 Procedure for calculation
• Article 5 Transactions qualifying as reducing risks
• Article 6 Entry into force and application
• Signature

Commission Implementing Regulation (EU) 2017/1005

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Scope
• Article 2 Definition of the term 'trading venue operator'
• Article 3 Format of the publication and communication by trading venue operators
• Article 4 Timing of the publications and communications by trading venue operators
• Article 5 Format of the publications and communications by competent authorities
• Article 6 Timing of the publications and communications by competent authorities
• Article 7 Entry into force and application
• Signature
• ANNEX Table 1 Symbol table to be applied to all Tables Table 2 Format of the publication and communication to the relevant competent authority by a trading venue operator of its decision to suspend or remove the financial instrument and related derivatives from trading; and of its decision to lift a suspension of a financial instrument and related derivatives Format of the publication and communication by the Competent Authority of the decision to suspend or remove a financial instrument and related derivatives from trading and to lift a suspension of a financial instrument and related derivatives

Commission Delegated Regulation (EU) 2017/1018 [revoked]

• [revoked]

Commission Implementing Regulation (EU) 2017/1093

• Preamble
• Article -3 Definitions
• Article -2 Application
• Article -1 Interpretation
• Article 1 Weekly reports
• Article 2 Daily reports
• Article 3 Reporting format
• Article 4 Entry into force
• Signature
• ANNEX I Format for the weekly Reports
• ANNEX II Format for daily Reports

Commission Implementing Regulation (EU) 2017/1110

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Designation of a contact point
• Article 2 Provision of information and notification to the competent authority
• Article 3 Receipt of application
• Article 4 Requests for additional information
• Article 5 Notification of changes to the membership of the management body
• Article 6 Communication of the decision to grant or refuse the authorisation
• Article 7 Entry into force and application
• Signature
• ANNEX I Application form for authorisation to provide data reporting services
• ANNEX II Application form for the list of members of the management body
• ANNEX III Application form for changes to the membership of the management body

Commission Implementing Regulation (EU) 2017/1111 [revoked]

• [revoked]

Commission Implementing Regulation (EU) 2017/1945

• Preamble
• Article -2 Definitions
• Article -1 Interpretation
• Article 1 Designation of a contact point
• Article 2 Submission of the application
• Article 3 Receipt of the application form and acknowledgement of receipt
• Article 4 Request of additional information
• Article 5 Notification of changes to the membership of the management body
• Article 6 Communication of the decision
• Article 7 Entry into force and application
• Signature
• ANNEX I Application Form for authorisation as an Investment Firm
• ANNEX II List of members of the management body
• ANNEX III Notification of information on changes to the membership of the management body

Commission Implementing Regulation (EU) 2017/953

• Preamble
• Article -2 Application
• Article -1 Interpretation
• Article 1 Reporting deadlines
• Article 2 Entry into force and application
• Signature

Commission Implementing Regulation (EU) 2017/980 [revoked]

• [revoked]

Commission Implementing Regulation (EU) 2017/981 [revoked]

• [revoked]

Commission Implementing Regulation (EU) 2017/988 [revoked]

• [revoked]

Commission Implementing Regulation (EU) 2017/2382 [revoked]

• [revoked]

• • Commission Implementing Regulation (EU) 2017/1944 [revoked]
    • [revoked]

Money Market Funds Regulation

2018

• • Commission Implementing Regulation (EU) 2018/708
    • Preamble
    • Article 1
    • Article 2
    • Signature
    • ANNEX Reporting template for managers of Money Market Funds (MMFs)

Payment Accounts Directive

2018

Commission Implementing Regulation (EU) 2018/33

• Preamble
• Article 1 Template for the statement of fees and its common symbol
• Article 2 Common symbol and logo of the payment service provider
• Article 3 Name and contact details of the account provider
• Article 4 Name and contact details of the payment account holder
• Article 5 Account name and identification
• Article 6 Calendar period
• Article 7 Date
• Article 8 Introductory statement
• Article 9 Summary of fees and interest
• Article 10 Detailed statement of fees paid on the account
• Article 11 Presentation of types of fees
• Article 12 Presentation of packages of services charged as part of fees under the sub-heading General account services
• Article 13 Presentation of packages of services linked to a payment account charged separately from fees under the sub-heading General account services
• Article 14 Detail of interest paid on the account
• Article 15 Detail of interest earned on the account
• Article 16 Additional information
• Article 17 Brand names
• Article 18 Use of electronic means
• Article 19 Entry into force
• Signature
• ANNEX Statement of fees template

• • Commission Implementing Regulation (EU) 2018/34
    • Preamble
    • Article 1 Template for the fee information document and its common symbol
    • Article 2 Common symbol and logo of the payment service provider
    • Article 3 Name of the account provider
    • Article 4 Account name
    • Article 5 Date
    • Article 6 Introductory statement
    • Article 7 Services and Fees table
    • Article 8 Presentation of packages of services charged as part of fees under the sub-heading General account services
    • Article 9 Presentation of packages of services charged separately from fees under the sub-heading a General account services
    • Article 10 Table on additional fees for services exceeding the quantity covered by packages of services linked to a payment account
    • Article 12 Brand names
    • Article 13 Use of electronic means
    • Article 14 Entry into force
    • Signature
    • ANNEX Fee information document template

Prospectus Regulation

2019

• • Commission Delegated Regulation (EU) 2019/979
    • Preamble
    • CHAPTER I KEY FINANCIAL INFORMATION IN THE PROSPECTUS SUMMARY
      • SECTION 1 Content of the key financial information in the prospectus summary
        • Article 1 Minimum content of the key financial information in the summary of a prospectus
        • Article 2 Key financial information for non-financial entities issuing equity securities
        • Article 3 Key financial information for non-financial entities issuing non-equity securities
        • Article 4 Key financial information for credit institutions
        • Article 5 Key financial information for insurance companies
        • Article 6 Key financial information for special purpose vehicles issuing asset backed securities
        • Article 7 Key financial information for closed end funds
        • Article 8 Key financial information for guarantors
      • SECTION 2 Format of the key financial information in the prospectus summary
        • Article 9 Format of the key financial information in the summary of a prospectus
    • CHAPTER II PUBLICATION OF THE PROSPECTUS
      • Article 10 Publication of the prospectus
    • CHAPTER III MACHINE READABLE DATA FOR THE CLASSIFICATION OF PROSPECTUSES
      • Article 11 Data for classification of prospectuses
      • Article 12 Practical arrangements to ensure the machine readability of the data
    • CHAPTER IV ADVERTISEMENTS
      • Article 13 Identification of the prospectus
      • Article 14 Required content
      • Article 15 Dissemination of advertisements
      • Article 16 Information concerning offers of securities
      • Article 17 Procedure for the cooperation between competent authorities
    • CHAPTER V SUPPLEMENTS TO THE PROSPECTUS
      • Article 18 Publication of a supplement to the prospectus
    • CHAPTER VI TECHNICAL ARRANGEMENTS FOR THE FUNCTIONING OF THE NOTIFICATION PORTAL
      • Article 19 Upload of documents and accompanying data
      • Article 20 Processing and notification of documents and accompanying data
      • Article 21 Download of documents and accompanying data
    • CHAPTER VII FINAL PROVISIONS
      • Article 22 Repeal
      • Article 22a Summaries of prospectuses approved between 21 July 2019 and 16 September 2020 for non-financial entities issuing equity securities
      • Article 23 Entry into force
    • Signature
    • ANNEX I NON-FINANCIAL ENTITIES (EQUITY SECURITIES) Table 1 Income statement for non-financial entities (equity securities) Table 2 Balance sheet for non-financial entities (equity securities) Table 3 Cash flow statement for non-financial entities (equity securities)
    • ANNEX II NON-FINANCIAL ENTITIES (NON-EQUITY SECURITIES) Income statement for non-equity securities Table 2 Balance sheet for non-equity securities Table 3 Cash flow statement for non-equity securities
    • ANNEX III CREDIT INSTITUTIONS (EQUITY AND NON-EQUITY SECURITIES) Table 1 Income statement for credit institutions Table 2 Balance sheet for credit institutions
    • ANNEX IV INSURANCE COMPANIES (EQUITY AND NON-EQUITY SECURITIES) Table 1 Income statement for insurance companies Table 2 Balance sheet for insurance companies
    • ANNEX V SPECIAL PURPOSE VEHICLES ( SPVS ) ISSUING ASSET BACKED SECURITIES Table 1 Income statement for SPVs in relation to asset backed securities Table 2 Balance sheet for SPVs in relation to asset backed securities
    • ANNEX VI CLOSED END FUNDS Table 1 Additional information relevant to closed end funds Table 2 Income statement for closed end funds Table 3 Balance sheet for closed end funds
    • ANNEX VII MACHINE-READABLE DATA TO BE PROVIDED TO ESMA [deleted]

Packaged Retail and Insurance-based Investment Products Regulation

2017

• • Commission Delegated Regulation (EU) 2017/653
    • Preamble
    • CHAPTER I CONTENT AND PRESENTATION OF THE KEY INFORMATION DOCUMENT
      • Article -2 Interpretation
      • Article -1 Definitions
      • Article 1 General information section
      • Article 2 What is this product? section
      • Article 3 What are the risks and what could I get in return? section
      • Article 4 What happens if [the name of the PRIIP manufacturer] is unable to pay out? section
      • Article 5 What are the costs? section
      • Article 6 How long should I hold it and can I take my money out early? section
      • Article 7 How can I complain? section
      • Article 8 Other relevant information section
      • Article 9 Template
    • CHAPTER II SPECIFIC PROVISIONS ON THE KEY INFORMATION DOCUMENT
      • Article 10 PRIIPs offering a range of options for investment
      • Article 11 What is this product section in the generic key information document
      • Article 12 What are the risks and what could I get in return? section in the generic key information document
      • Article 13 What are the costs? section in the generic key information document
      • Article 14 Specific information on each underlying investment option
    • CHAPTER III REVIEW AND REVISION OF THE KEY INFORMATION DOCUMENT
      • Article 15 Review
      • Article 16 Revision
    • CHAPTER IV DELIVERY OF THE KEY INFORMATION DOCUMENT
      • Article 17 Conditions on good time
      • Article 18 Final Provision
    • Signature
    • ANNEX I TEMPLATE FOR THE KEY INFORMATION DOCUMENT
    • ANNEX II METHODOLOGY FOR THE PRESENTATION OF RISK
    • ANNEX III PRESENTATION OF SRI
    • [deleted]
    • ANNEX 4A PERFORMANCE INFORMATION
    • [deleted]
    • ANNEX VI METHODOLOGY FOR THE CALCULATION OF COSTS
    • ANNEX VII PRESENTATION OF COSTS
    • PRIPPS RTS TP 1 Transitional provisions

Payment Services

2021

• • Strong Customer Authentication and Common and Secure Methods of Communication
    • Chapter -3 Application
    • Chapter -2 Definitions
    • Chapter -1 Guidance
    • Chapter 1 General provisions
      • Article 1 Subject matter
      • Article 2 General authentication requirements
      • Article 3 Review of the security measures
    • Chapter 2 Security measures for the application of strong customer authentication
      • Article 4 Authentication code
      • Article 5 Dynamic linking
      • Article 6 Requirements of the elements categorised as knowledge
      • Article 7 Requirements of the elements categorised as possession
      • Article 8 Requirements of devices and software linked to elements categorised as inherence
      • Article 9 Independence of the elements
    • Chapter 3 Exemptions from strong customer authentication
      • Article 10 Payment account information accessed directly by a payment service user
      • Article 10A Payment account information accessed through an account information service provider
      • Article 11 Contactless payments at point of sale
      • Article 12 Unattended terminals for transport fares and parking fees
      • Article 13 Trusted beneficiaries
      • Article 14 Recurring transactions
      • Article 15 Credit transfers between accounts held by the same natural or legal person
      • Article 16 Low-value transactions
      • Article 17 Secure corporate payment processes and protocols
      • Article 18 Transaction risk analysis
      • Article 19 Calculation of fraud rates
      • Article 20 Cessation of exemptions based on transaction risk analysis
      • Article 21 Monitoring
    • Chapter 4 Confidentiality and integrity of the payment service users’ personalised security credentials
      • Article 22 General requirements
      • Article 23 Creation and transmission of credentials
      • Article 24 Association with the payment service user
      • Article 25 Delivery of credentials, authentication devices and software
      • Article 26 Renewal of personalised security credentials
      • Article 27 Destruction, deactivation and revocation
    • Chapter 5 Common and secure open standards of communication
      • Section 1 General requirements for communication
        • Article 28 Requirements for identification
        • Article 29 Traceability
      • Section 2 Specific requirements for the common and secure open standards of communication
        • Article 30 General obligations for access interfaces
        • Article 31 Access interface options
        • Article 32 Obligations for a dedicated interface
        • Article 33 Contingency measures for a dedicated interface
        • Article 34 Certificates
        • Article 35 Security of communication session
        • Article 36 Data exchanges
    • Chapter 6 Final provisions
      • Article 37 Review
    • Appendix

Payment Services Directive

2017

• Commission Delegated Regulation (EU) 2017/2055 [revoked]
  • [revoked]

2018

• Commission Delegated Regulation (EU) 2018/389 [revoked]
  • [revoked]

2019

Commission Delegated Regulation (EU) 2019/410 [revoked]

• [revoked]

• • Commission Delegated Regulation (EU) 2019/411 [revoked]
    • [revoked]

Securities Financing Transactions Regulation

2019

Commission Delegated Regulation (EU) 2019/356

• Preamble
• Article -1 Interpretation
• Article 1 Details of SFTs to be reported
• Article 2 SFTs cleared by central counterparties
• Article 3 Collateral reporting
• Article 4 Reporting of reuse of collateral
• Article 5 Entry into force
• Signature
• ANNEX Table 1 Counterparty data Table 2 Loan and collateral data Table 3 Margin data Table 4 Re-use, cash reinvestment and funding sources data

Commission Delegated Regulation (EU) 2019/357

• Preamble
• Article -1 Interpretation
• Article 1 Details of SFTs to be made accessible
• Article 2 Single access
• Article 3 Access to details of SFTs in accordance with the mandate and specific needs of each authority concerned
• Article 4 Setting up of the access to details of SFTs
• Article 5 Operational arrangements for access to details of SFTs
• Article 6 Entry into force
• Signature

Commission Delegated Regulation (EU) 2019/358

• Preamble
• Article -1 Interpretation
• Article 1 Verification of SFT reports by trade repositories
• Article 2 Reconciliation of data by trade repositories
• Article 3 End-of-day response mechanisms
• Article 4 Access to details of SFTs
• Article 5 Calculation of, and access to position level data
• Article 6 Calculation of aggregate position data for publication
• Article 7 Publication of aggregate position data
• Article 8 Entry into force
• Signature
• ANNEX I Table 1 Reconciliation fields, tolerance levels and start date of the reconciliation phase Table 2 Reasons for rejection of an SFT report Table 3 Results of the reconciliation process
• ANNEX II Table 1 Public data

Commission Delegated Regulation (EU) 2019/359

• Preamble
• Article -1 Interpretation
• Article 1 Identification, legal status and types of securities financing transactions
• Article 2 Policies and procedures
• Article 3 Ownership of the trade repository
• Article 4 Ownership chart
• Article 5 Organisational chart
• Article 6 Corporate governance
• Article 7 Internal control
• Article 8 Regulatory compliance
• Article 9 Senior management and members of the Board
• Article 10 Staffing policies and procedures
• Article 11 Fitness and properness
• Article 12 Financial reports and business plans
• Article 13 Management of conflicts of interest
• Article 14 Confidentiality
• Article 15 Inventory and mitigation of conflicts of interest
• Article 16 Information Technology resources and outsourcing
• Article 17 Ancillary services
• Article 18 Transparency of access rules
• Article 19 Verification of completeness and correctness of data
• Article 20 Pricing policy transparency
• Article 21 Operational risk
• Article 22 Recordkeeping policy
• Article 23 Data availability mechanisms
• Article 24 Direct and immediate access to data by authorities
• Article 25 Payment of fees
• Article 26 Information to be provided in the case of extension of registration
• Article 27 Verification of the accuracy and completeness of the application
• Article 28 Entry into force
• Signature

Commission Implementing Regulation (EU) 2019/363

• Preamble
• Article -1 Interpretation
• Article 1 Data standards and formats for SFT reports
• Article 2 Identification of counterparties and other entities
• Article 3 Unique Trade Identifier
• Article 4 Counterparty side
• Article 5 Frequency of SFT reports
• Article 6 Amendments to Implementing Regulation (EU) No 1247/2012
• Article 7 Entry into force
• Signature
• ANNEX I Formats to be used for reports on the details of securities financing transactions, as referred to in Article 4(1) and (5) of Regulation (EU) 2015/2365 Table 1 Counterparty Data Table 2 Loan and Collateral Data Table 3 Margin Data Table 4 Re-use, Cost Reinvestment and Funding Sources Data Table 5 Classification of Commodities
• ANNEX II Table 1 Counterparty Data Table 2 Common Data

Commission Implementing Regulation (EU) 2019/364

• Preamble
• Article -1 Interpretation
• Article 1 Format of the application for registration and extension of registration
• Article 2 Entry into force
• Signature
• ANNEX I Format for an application for registration or extension of registration as a trade repository

• • Commission Implementing Regulation (EU) 2019/365 [revoked]
    • [revoked]

Securitisation Regulation

2019

Commission Delegated Regulation (EU) 2019/885

• Preamble
• Article -1 Definitions
• Article 1 Identification of the third party
• Article 2 Composition of the management body and the organisational structure
• Article 3 Corporate governance
• Article 4 Independence and avoidance of conflicts of interest
• Article 5 Fee structure
• Article 6 Operational safeguards and internal processes to assess STS compliance
• Article 7 Format of the application
• Article 8 Entry into force
• Signature
• ANNEX Document references

• Commission Delegated Regulation (EU) 2019/1851
  • Preamble
  • Article 1 Homogeneity of underlying exposures
  • Article 2 Homogeneity factors
  • Article 3
  • Signature

2020

Commission Delegated Regulation (EU) 2020/1224

• Preamble
• Article 1 Definitions
• SECTION 1 Information to be made available for all securitisations
  • Article 2 Information on underlying exposures
  • Article 3 Information on investor reports
  • Article 4 Information granularity
• SECTION 2 Information to be made available for securitisations for which a prospectus has to be drawn up (public securitisations)
  • Article 5 Item codes
  • Article 6 Inside information
  • Article 7 Information on significant events
  • Article 8 Information granularity
• SECTION 3 Common provisions
  • Article 9 Information completeness and consistency
  • Article 10 Information timeliness
  • Article 11 Unique identifiers
  • Article 12 Classifications reporting
  • Article 13 Entry into force
• Signature
• ANNEX I Table 1: System of Accounts Secure Codes Table 2: Servicer Watchlist Codes Table 3: Item types and codes
• ANNEX II
• ANNEX III
• ANNEX IV
• ANNEX V
• ANNEX VI
• ANNEX VII
• ANNEX VIII
• ANNEX IX
• ANNEX X
• ANNEX XI
• ANNEX XII
• ANNEX XIII
• ANNEX XIV
• ANNEX XV

Commission Delegated Regulation (EU) 2020/1226

• Preamble
• Article -1 Definitions
• Article 1 Information to be included in the STS notification
• Article 2 Additional Information
• Article 3 Entry into force
• Signature
• ANNEX I General information Specific information
• ANNEX II General information Specific information
• ANNEX III General information Specific information

Commission Delegated Regulation (EU) 2020/1229

• Preamble
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 End-of-day report
• Article 3 Scoring of completeness of data
• Article 4 Verification of completeness and consistency of information
• Article 5 Details of information to which access is to be granted
• Article 6 Terms and conditions for access to details of information
• Article 7 Standards for data collection and access
• Article 8 Recordkeeping
• ANNEX Table 1 Data completeness scoring matrix Table 2 Rejection categories

Commission Delegated Regulation (EU) 2020/1230

• Preamble
• Article -1 Interpretation
• Article 1 Definitions
• Article 2 Identification, legal status and type of securitisation
• Article 3 Organisational chart
• Article 4 Corporate governance
• Article 5 Internal control
• Article 6 Conflicts of interest
• Article 7 Ownership of the securitisation repository
• Article 8 Ownership chart
• Article 9 Policies and procedures
• Article 10 Regulatory compliance
• Article 11 Staffing policies and procedures
• Article 12 Information about the applicant’s staff members involved in the provision of core securitisation services
• Article 13 Financial reports and business plans
• Article 14 Information technology resources
• Article 15 Information collection and availability mechanisms
• Article 16 Ancillary services
• Article 17 Senior management and members of the board
• Article 18 Transparency of access rules
• Article 19 Pricing policy transparency
• Article 20 Operational risk
• Article 21 Outsourcing
• Article 22 Security
• Article 23 Verification procedures
• Article 24 Quality of information produced
• Article 25 Confidentiality
• Article 26 Record-keeping policy
• Article 27 Payment of fees
• Article 28 Verification of the accuracy and completeness of the application
• Article 29 Information requirements for a registered trade repository seeking to provide core securitisation services

Commission Implementing Regulation (EU) 2020/1225

• Preamble
• SECTION 1 TEMPLATES FOR ALL SECURITISATIONS
  • Article 1 Underlying exposures templates
  • Article 2 Investor report templates
• SECTION 2 TEMPLATES FOR SECURITISATIONS FOR WHICH A PROSPECTUS HAS TO BE DRAWN UP (PUBLIC SECURITISATIONS)
  • Article 3 Inside information templates
  • Article 4 Significant event templates
• SECTION 3 COMMON PROVISIONS
  • Article 5 Format of information
  • Article 6 Entry into force
• Signature
• ANNEX I
• ANNEX II
• ANNEX III
• ANNEX IV
• ANNEX VI
• ANNEX VII
• ANNEX VIII
• ANNEX IX
• ANNEX X
• ANNEX XI
• ANNEX XII
• ANNEX XIII
• ANNEX XIV
• ANNEX XV

Commission Implementing Regulation (EU) 2020/1227

• Preamble
• Article 1 Templates for STS notification
• Article 2 Entry into force
• Signature
• ANNEX I Field formats to be applied to the STS notification form STS notification form for non-ABCP securitisations
• ANNEX II Field formats to be applied to the STS notification form STS notification form for ABCP securitisations
• ANNEX III Field formats to be applied to the STS notification form STS notification form for ABCP Programme

• • Commission Implementing Regulation (EU) 2020/1228
    • Preamble
    • Article -1 Interpretation
    • Article 1 Format of the application for registration and extension of registration
    • ANNEX I Formats for an application for registration as a securitisation repository
    • ANNEX II Formats for an application of a trade repository for extension of registration

Short Selling Regulation

2012

Commission Delegated Regulation (EU) No 826/2012

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article 1 Subject matter
• CHAPTER II DETAILS OF THE INFORMATION ON NET SHORT POSITIONS TO BE NOTIFIED AND DISCLOSED (ARTICLE 9 OF REGULATION (EU) No 236/2012)
  • Article 2 Notification of net short positions in shares, sovereign debt and uncovered sovereign credit default swaps to competent authorities
  • Article 3 Public disclosure of information on net short positions in shares
• CHAPTER IV METHOD OF CALCULATION OF TURNOVER TO DETERMINE THE PRINCIPAL TRADING VENUE FOR A SHARE (ARTICLE 16 OF REGULATION (EU) No 236/2012)
  • Article 6 Turnover calculation to determine the principal venue for the trading of a share
• CHAPTER V FINAL PROVISIONS
  • Article 7 Entry into force
• Signature
• ANNEX I TABLE 1 List of fields for notification purpose (Article 2) TABLE 2 List of fields for public disclosure purpose (Article 3)
• ANNEX II Format of notification form for net short positions (Article 2)
• ANNEX III Format of cancellation form for erroneous notifications (Article 2)

Commission Implementing Regulation (EU) No 827/2012

• Preamble
• CHAPTER I GENERAL PROVISIONS
  • Article -1 Definitions
  • Article 1 Subject Matter
• CHAPTER II MEANS FOR PUBLIC DISCLOSURE OF SIGNIFICANT NET SHORT POSITIONS IN SHARES [ARTICLE 9 OF REGULATION (EU) No 236/2012]
  • Article 2 Means by which information may be disclosed to the public
• CHAPTER IV AGREEMENTS, ARRANGEMENTS AND MEASURES TO ADEQUATELY ENSURE AVAILABILITY FOR SETTLEMENT [ARTICLES 12 AND 13 OF REGULATION (EU) No 236/2012]
  • Article 5 Agreements to borrow and other enforceable claims having similar effect
  • Article 6 Arrangements and measures to be taken in relation to short sales of a share admitted to trading on a trading venue[Article 12(1)(c) of Regulation (EU) No 236/2012]
  • Article 7 Arrangements with third parties to be taken in relation to sovereign debt[Article 13(1)(c) of Regulation (EU) No 236/2012]
  • Article 8 Third parties with whom arrangements are made
• CHAPTER V DETERMINATION OF THE PRINCIPAL TRADING VENUE FOR THE EXEMPTION [ARTICLE 16 OF REGULATION (EU) No 236/2012]
  • Article 9 Date and period for principal trading venue calculations
  • Article 11 Effectiveness of the list of exempted shares
  • Article 12 Specific cases of review of exempted shares
• CHAPTER VI FINAL PROVISIONS
  • Article 13 Entry into force
• Signature

• • Commission Delegated Regulation (EU) No 919/2012
    • Preamble
    • Article 1 Subject matter
    • Article 2 Method of calculation of a significant fall in value for liquid and illiquid shares
    • Article 3 Method of calculation of a significant fall in value for other non-derivative financial instruments
    • Article 4 Method of calculation of a significant fall in value for derivatives
    • Article 5 Entry into force
    • Signature

Transparency Directive

2015

• Commission Delegated Regulation (EU) 2015/761
  • Preamble
  • Article -1 Definitions
  • Article 1 Subject matter
  • Article 2 Aggregation of holdings
  • Article 3 Aggregation of holdings in the case of a group
  • Article 4 Financial instruments referenced to a basket of shares or an index
  • Article 5 Financial instruments providing exclusively for a cash settlement
  • Article 6 Client-serving transactions
  • Article 7 Entry into force and application
  • Signature

2016

• Commission Delegated Regulation (EU) 2016/1437 [revoked]
  • [revoked]

2019

• • Commission Delegated Regulation (EU) 2019/815
    • Preamble
    • Article 1 Subject matter
    • Article 2 Definitions
    • Article 3 Single electronic reporting format
    • Article 4 Marking up IFRS consolidated financial statements
    • Article 5 Marking up other parts of the annual financial reports
    • Article 6 Common rules on markups
    • Article 7 XBRL taxonomy files
    • Article 8 Entry into force and application
    • Signature
    • ANNEX I Legend for Tables 1 and 2 of Annex II, and for the Tables of Annexes IV and VI
    • ANNEX II Mandatory markups
    • ANNEX III Applicable Inline XBRL specifications
    • ANNEX IV Marking up and filing rules
    • ANNEX V XBRL taxonomy files
    • ANNEX VI Schema of the core taxonomy

Undertakings in Collective Investment Schemes Directive

2010

• Commission Regulation (EU) No 584/2010 [revoked]
  • [revoked]

2016

Commission Implementing Regulation (EU) 2016/1212 [revoked]

• [revoked]