Level 3 Materials
Status:We have included on this webpage links to the pdf version of pre-IP completion day Level 3 material (EU non-legislative materials). Please note you should read these materials alongside the ESA’s lists (ESMA/EIOPA/EBA) of the UK’s compliance notifications.
Both the Level 3 materials and the notification lists should be read in conjunction with our guidance on our approach to EU non-legislative materials after IP completion day at https://www.fca.org.uk/publication/corporate/brexit-our-approach-to-eu-non-legislative-materials.pdf.
This is a non-exhaustive set of Level 3 material added here for reference and the notification lists are accurate as at IP completion day.
121 - 140 of 186 items.
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Final Report on Guidelines on the revised common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing
Chapter: Level 3 Guidance, Dossier: CRR-CRD
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Questions and Answers: Implementation of the Regulation (EU) No 462/2013 on Credit Rating Agencies
Chapter: Level 3 Guidance, Dossier: CRAR
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Guidelines on the STS criteria for ABCP securitisation
Chapter: Level 3 Guidance, Dossier: SR
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Guidelines on sound remuneration policies under the AIFMD
Chapter: Level 3 Guidance, Dossier: AIFMD
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Guidelines on the data collection exercise regarding high earners
Chapter: Level 3 Guidance, Dossier: CRR-CRD
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Guidelines on MiFID II product governance requirements
Chapter: Level 3 Guidance, Dossier: MIFID
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Guidelines on implicit support for securitisation transactions
Chapter: Level 3 Guidance, Dossier: CRR-CRD
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Guidelines MMF stress tests Final Report
Chapter: Level 3 Guidance, Dossier: UCITS
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Guidelines on the applicable notional discount rate for variable remuneration
Chapter: Level 3 Guidance, Dossier: CRR-CRD
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Guidelines on the management of interest rate risk arising from non-trading activities
Chapter: Level 3 Guidance, Dossier: CRR-CRD
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Opinion relating to the intended Accepted Market Practice on liquidity contracts notified by the Autorité des marchés financiers
Chapter: Level 3 Guidance, Dossier: MAR
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Questions and Answers On the Regulation on short selling and certain aspects of credit default swaps (SSR)
Chapter: Level 3 Guidance, Dossier: SSR
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Guidelines: Transaction reporting, order record keeping and clock synchronisation under MiFID II
Chapter: Level 3 Guidance, Dossier: MIFID
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PRIIPs - Flow diagram for the risk and reward calculations in the PRIIPs KID
Chapter: Level 3 Guidance, Dossier: PRIIPS
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Inducements : Report on good and poor practices
Chapter: Level 3 Guidance, Dossier: MIFID
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Guidelines on ICT Risk Assessment under the Supervisory Review and Evaluation process (SREP)
Chapter: Level 3 Guidance, Dossier: CRR-CRD
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ESMA's Guidelines on position calculation under EMIR
Chapter: Level 3 Guidance, Dossier: EMIR