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EBA Guidelines and other Convergence Instruments

The Financial Market Authority shall take into account European convergence in respect of supervisory tools and supervisory procedures in the enforcement of the provisions under national and European law. In this regard the Guidelines and Recommendations and other measures passed by resolution that are issued by the European Banking Authority (EBA ) must be applied. In addition the warnings and recommendations passed by the European Systemic Risk Board (ESRB ) must also be complied with.

Against this background, it is necessary to note, that the FMA takes into account the Guidelines and Recommendations issued by EBA since 1 January 2011, as the legal successor to CEBS in its enforcement activities within the corresponding legal framework. These also include the Guidelines and Recommendations issued by CEBS until 31.12.2010 that are still in force.

In accordance with Article 16 (3) of the EBA Regulation, the Guidelines and Recommendations published by EBA are also to be applied by the banking industry. Furthermore, the FMA also expects that the Guidelines and Recommendations previously published by CEBS are also taken into account accordingly by the banking industry. The FMA makes all EBA Guidelines published to date available for download in both German and English language versions (as far as available). The Guidelines and Recommendations issued by EBA and other related measures can also be found on the EBA website in the “Regulation and Policy” section under the corresponding topic. In addition all CEBS guidelines can be found on the EBA website in the publications section of the “CEBS Archive”.

Table: EBA Guidelines and other Convergence Instruments
TitleCodeRelease Date
Guidelines on the overall recovery capacity in recovery planning

Show description: Guidelines on the overall recovery capacity in recovery planning

Implementation: FMA: fully compliant
EBA/GL/2023/06 Format: pdf11.10.2023
Guidelines amending Guidelines EBA/GL/2022/01 on improving resolvability for institutions and resolution authorities under articles 15 and 16 of Directive 2014/59/EU (Resolvability Guidelines) to introduce a new section on resolvability testing

Show description: Guidelines amending Guidelines EBA/GL/2022/01 on improving resolvability for institutions and resolution authorities under articles 15 and 16 of Directive 2014/59/EU (Resolvability Guidelines) to introduce a new section on resolvability testing

Implementation: FMA: fully compliant
EBA/GL/2023/05 Format: pdf25.08.2023
Guidelines amending Guidelines EBA/GL/2021/02 ("The ML/TF Risk Factors Guidelines") with regard to non-profit organisations (NPOs)

Show description: Guidelines amending Guidelines EBA/GL/2021/02 ("The ML/TF Risk Factors Guidelines") with regard to non-profit organisations (NPOs)

Implementation: FMA: fully compliant
EBA/GL/2023/03 Format: pdf03.08.2023
Guidelines on policies and controls for the effective management of money laundering and terrorist financing (ML/TF) risks when providing access to financial services

Show description: Guidelines on policies and controls for the effective management of money laundering and terrorist financing (ML/TF) risks when providing access to financial services

Implementation: FMA: fully compliant
EBA/GL/2023/04 Format: pdf03.08.2023
Guidelines (revised) on methods for calculating contributions to deposit guarantee schemes under Directive 2014/49/EU repealing and replacing Guidelines EBA/GL/2015/10

Show description: Guidelines (revised) on methods for calculating contributions to deposit guarantee schemes under Directive 2014/49/EU repealing and replacing Guidelines EBA/GL/2015/10

Implementation: FMA: fully compliant
EBA/GL/2023/02 Format: pdf11.07.2023
Joint ESMA/EBA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/2034

Show description: Joint ESMA/EBA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/2034

Implementation: FMA: fully compliant
EBA/GL/2022/09 Format: pdf19.04.2023
Guidelines to resolution authorities on the publication of the writedown and conversion and bail-in exchange mechanic

Show description: Guidelines to resolution authorities on the publication of the writedown and conversion and bail-in exchange mechanic

Implementation: FMA: fully compliant
EBA/GL/2023/01 Format: pdf05.04.2023
Guidelines on the use of Remote Customer Onboarding Solutions under Article 13(1) of Directive (EU) 2015/849

Show description: Guidelines on the use of Remote Customer Onboarding Solutions under Article 13(1) of Directive (EU) 2015/849

Implementation: FMA: fully compliant
EBG/GL/2022/15 Format: pdf30.03.2023
Guidelines on IRRBB and CSRBB

Show description: Guidelines on IRRBB and CSRBB

Implementation: FMA: fully compliant
EBA/GL/2022/14 Format: pdf02.03.2023
Guidelines for institutions and resolution authorities to complement the resolvability assessment for transfer strategies (Transferability guidelines)

Show description: Guidelines for institutions and resolution authorities to complement the resolvability assessment for transfer strategies (Transferability guidelines)

Implementation: FMA: fully compliant
EBA/GL/2022/11 Format: pdf07.01.2023
Guidelines amending Guidelines EBA/GL/2018/10 on disclosure of non-performing and forborne exposures
Implementation: FMA: fully compliant
EBA/GL/2022/13 Format: pdf17.11.2022
Guidelines amending Guidelines EBA/GL/2020/14 on the specification and disclosure of systemic importance indicators
Implementation: FMA: fully compliant
EBA/GL/2022/12 Format: pdf14.11.2022
Guidelines for common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing

Show description: Guidelines for common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing

Implementation: FMA: fully compliant
EBA/GL/2022/03 Format: pdf27.10.2022
Guidelines on the remuneration, gender pay gap and approved higher ratio benchmarking exercises under CRD

Show description: Guidelines on the remuneration, gender pay gap and approved higher ratio benchmarking exercises under CRD

Implementation: FMA: fully compliant
EBA/GL/2022/06 Format: pdf27.10.2022
Guidelines on the benchmarking exercises on remuneration practices and the gender pay gap under Directive (EU) 2019/2034

Show description: Guidelines on the benchmarking exercises on remuneration practices and the gender pay gap under Directive (EU) 2019/2034

Implementation: FMA: fully compliant
EBA/GL/2022/07 Format: pdf27.10.2022
Guidelines on the data‐collection exercises regarding high earners under Directive 2013/36/EU and Directive (EU) 2019/2034

Show description: Guidelines on the data‐collection exercises regarding high earners under Directive 2013/36/EU and Directive (EU) 2019/2034

Implementation: FMA: fully compliant
EBA/GL/2022/08 Format: pdf05.10.2022
Guidelines on the criteria for the exemption of investment firms from liquidity requirements in accordance with Article 43(4) of Regulation (EU) 2019/2033

Show description: Guidelines on the criteria for the exemption of investment firms from liquidity requirements in accordance with Article 43(4) of Regulation (EU) 2019/2033

Implementation: FMA: fully compliant
EBA/GL/2022/10 Format: pdf28.09.2022
Guidelines on policies and procedures in relation to compliance management and the role and responsibilities of the AML/CFT Compliance Officer under Article 8 and Chapter VI of Directive (EU) 2015/849

Show description: Guidelines on policies and procedures in relation to compliance management and the role and responsibilities of the AML/CFT Compliance Officer under Article 8 and Chapter VI of Directive (EU) 2015/849

Implementation: FMA: fully compliant
EBA/GL/2022/05 Format: pdf19.09.2022
Revised Guidelines on equivalence of confidentiality requirements

Show description: Revised Guidelines on equivalence of confidentiality requirements

Implementation: FMA: fully compliant
EBA/GL/2022/04 Format: pdf15.06.2022
Guidelines on the limited network exclusion under PSD2

Show description: Guidelines on the limited network exclusion under PSD2

Implementation: FMA: compliant
EBA/GL/2022/02 Format: pdf08.04.2022
The Risk‐Based Supervision Guidelines

Show description: The Risk‐Based Supervision Guidelines

Implementation: FMA: fully compliant
EBA/GL/2021/16 Format: pdf06.04.2022
Annex 2 to the Guidelines on Improving Resolvability for Institutions and Resolution Authorities

Show description: Annex 2 to the Guidelines on Improving Resolvability for Institutions and Resolution Authorities

Implementation: FMA: fully compliant
EBA/GL/2022/01 Format: xlsx05.04.2022
Guidelines on Improving Resolvability for Institutions and Resolution Authorities

Show description: Guidelines on Improving Resolvability for Institutions and Resolution Authorities

Implementation: FMA: fully compliant
EBA/GL/2022/01 Format: pdf05.04.2022
Guidelines on sound remuneration policies under Directive (EU) 2019/2034

Show description: Guidelines on sound remuneration policies under Directive (EU) 2019/2034

Implementation: FMA: fully compliant
EBA/GL/2021/13 Format: pdf15.03.2022
Guidelines on internal governance under Directive (EU) 2019/2034

Show description: Guidelines on internal governance under Directive (EU) 2019/2034

Implementation: FMA: fully compliant
EBA/GL/2021/14 Format: pdf15.03.2022
Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU

Show description: Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU

Implementation: FMA: fully compliant
EBA/GL/2021/15 Format: pdf11.02.2022
Guidelines on a common assessment methodology for granting authorisation as a credit institution under Article 8(5) of Directive 2013/36/EU

Show description: Guidelines on a common assessment methodology for granting authorisation as a credit institution under Article 8(5) of Directive 2013/36/EU

Implementation: FMA: fully compliant
EBA/GL/2021/12 Format: pdf08.02.2022
Guidelines on the delineation and reporting of available financial means (AFM) of Deposit Guarantee Schemes (DGS)

Show description: Guidelines on the delineation and reporting of available financial means (AFM) of Deposit Guarantee Schemes (DGS)

Implementation: FMA: fully compliant
EBA/GL/2021/17 Format: pdf31.01.2022
Guidelines on stress tests of deposit guarantee schemes under Directive 2014/49/EU (Guidelines on DGS stress tests) (Revised)

Show description: Guidelines on stress tests of deposit guarantee schemes under Directive 2014/49/EU (Guidelines on DGS stress tests) (Revised)

Implementation: FMA: fully compliant
EBA/GL/2021/10 Format: pdf14.12.2021
Annex 1 to EBA/GL/2021/10EBA/GL/2021/10 Format: xlsx14.12.2021
Guidelines on Recovery Plan Indicators
Implementation: FMA: compliant
EBA/GL/2021/11 Format: pdf14.12.2021
Guidelines on large exposures breaches and time and measures to return to compliance

Show description: Guidelines on large exposures breaches and time and measures to return to compliance

Implementation: FMA: fully compliant
EBA/GL/2021/09 Format: pdf03.11.2021
Guidelines on sound remuneration policies under Directive 2013/36/EU

Show description: Guidelines on sound remuneration policies under Directive 2013/36/EU

Implementation: FMA: partially non-compliant
EBA/GL/2021/04 Format: pdf29.10.2021
Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU

Show description: Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU

Implementation: FMA: fully compliant
EBA/GL/2021/06 Format: pdf18.10.2021
Annex I to EBA/GL/2021/06EBA/GL/2021/06 Format: xlsx18.10.2021
Guidelines on internal governance under Directive 2013/36/EU

Show description: Guidelines on internal governance under Directive 2013/36/EU

Implementation: FMA: partially non-compliant
EBA/GL/2021/05 Format: pdf05.10.2021
Guidelines on the monitoring of the threshold and other procedural aspects on the establishment of intermediate EU parent undertakings under Article 21b of Directive 2013/36/EU

Show description: Guidelines on the monitoring of the threshold and other procedural aspects on the establishment of intermediate EU parent undertakings under Article 21b of Directive 2013/36/EU

Implementation: FMA: fully compliant
EBA/GL/2021/08 Format: pdf14.09.2021
Revised Guidelines on major incident reporting under PSD2 (Directive (EU) 2015/2366)

Show description: Revised Guidelines on major incident reporting under PSD2 (Directive (EU) 2015/2366)

Implementation: FMA: fully compliant
EBA/GL/2021/03 Format: pdf07.09.2021
Guidelines on criteria for the use of data inputs in the risk-measurement model referred to in Article 325bc of Regulation (EU) No 575/2013 (CRR)

Show description: Guidelines on criteria for the use of data inputs in the risk-measurement model referred to in Article 325bc of Regulation (EU) No 575/2013 (CRR)

Implementation: FMA: fully compliant
EBA/GL/2021/07 Format: pdf29.08.2021
The ML/TF Risk Factors Guidelines

Show description: The ML/TF Risk Factors Guidelines

Implementation: FMA: fully compliant
EBA/GL/2021/02 Format: pdf26.07.2021
Guidelines specifying the conditions for the application of the alternative treatment of institutions’ exposures related to ‘tri-party repurchase agreements’ set out in Article 403(3) of Regulation (EU) 575/2013 for large exposures purposes
Implementation: FMA: intends to comply by 28.06.2021
EBA/GL/2021/01 Format: pdf25.03.2021
Guidelines amending Guidelines EBA/GL/2020/02 on legislative and non‐legislative moratoria on loan repayments applied in the light of the COVID‐19 crisis

Show description: Guidelines amending Guidelines EBA/GL/2020/02 on legislative and non‐legislative moratoria on loan repayments applied in the light of the COVID‐19 crisis

Implementation: FMA: compliant
EBA/GL/2020/15 Format: pdf02.12.2020
Guidelines on the appropriate subsets of sectoral exposures to which competent or designated authorities may apply a systemic risk buffer in accordance with Article 133(5)(f) of Directive 2013/36/EU

Show description: Guidelines on the appropriate subsets of sectoral exposures to which competent or designated authorities may apply a systemic risk buffer in accordance with Article 133(5)(f) of Directive 2013/36/EU

Implementation: FMA: intends to comply
EBA/GL/2020/13 Format: pdf10.11.2020
Guidelines on credit risk mitigation for institutions applying the IRB approach with own estimates of LGDs

Show description: Guidelines on credit risk mitigation for institutions applying the IRB approach with own estimates of LGDs

Implementation: FMA: intends to comply by 01.01.2022
EBA/GL/2020/05 Format: pdf28.08.2020
Guidelines on the treatment of structural FX under Article 352(2) of Regulation (EU) No 575/2013 (CRR)

Show description: Guidelines on the treatment of structural FX under Article 352(2) of Regulation (EU) No 575/2013 (CRR)

Implementation: FMA: compliant
EBA/GL/2020/09 Format: pdf28.08.2020
Guidelines amending Guidelines EBA/GL/2018/01 on uniform disclosures under Article 473a of Regulation (EU) No 575/2013 (CRR) on the transitional period for mitigating the impact of the introduction of IFRS 9 on own funds to ensure compliance with ...

Show description: Guidelines amending Guidelines EBA/GL/2018/01 on uniform disclosures under Article 473a of Regulation (EU) No 575/2013 (CRR) on the transitional period for mitigating the impact of the introduction of IFRS 9 on own funds to ensure compliance with ...

Implementation: FMA: compliant
EBA/GL/2020/12 Format: pdf11.08.2020
Guidelines on supervisory reporting and disclosure requirements in compliance with CRR “quick fix” in response to the COVID‐19 pandemic

Show description: Guidelines on supervisory reporting and disclosure requirements in compliance with CRR “quick fix” in response to the COVID‐19 pandemic

Implementation: FMA: compliant
EBA/GL/2020/11 Format: pdf11.08.2020
Guidelines on the pragmatic 2020 supervisory review and evaluation process in light of the COVID-19 crisis

Show description: Guidelines on the pragmatic 2020 supervisory review and evaluation process in light of the COVID-19 crisis

Implementation: FMA: compliant
EBA/GL/2020/10 Format: pdf23.07.2020
Guidelines on the determination of the weighted average maturity (WAM) of the contractual payments due under the tranche of a securitisation transaction in accordance with point (a) of Article 257(1) of Regulation (EU) No 575/2013

Show description: Guidelines on the determination of the weighted average maturity (WAM) of the contractual payments due under the tranche of a securitisation transaction in accordance with point (a) of Article 257(1) of Regulation (EU) No 575/2013

Implementation: FMA: Compliant
EBA/GL/2020/04 Format: pdf29.06.2020
Guidelines on loan origination and monitoring

Show description: Guidelines on loan origination and monitoring

Implementation: FMA: compliant
EBA/GL/2020/06 Format: pdf26.06.2020
Guidelines amending Guidelines EBA/GL/2020/02 on legislative and non-legislative moratoria on loan repayments applied in the light of the COVID-19 crisis

Show description: Guidelines amending Guidelines EBA/GL/2020/02 on legislative and non-legislative moratoria on loan repayments applied in the light of the COVID-19 crisis

Implementation: FMA: compliant
EBA/GL/2020/08 Format: pdf25.06.2020
Guidelines on reporting and disclosure of exposures subject to measures applied in response to the COVID‐19 crisis

Show description: Guidelines on reporting and disclosure of exposures subject to measures applied in response to the COVID‐19 crisis

Implementation: FMA: partially compliant
EBA/GL/2020/07 Format: pdf02.06.2020
Annex 1 of EBA/GL/2020/07 - Covid-19 Reporting TemplatesEBA/GL/2020/07 Format: xlsx02.06.2020
Annex 2 to EBA/GL/2020/07 - Covid-19 reporting instructionsEBA/GL/2020/07 Format: pdf02.06.2020
Annex 3 of EBA/GL/2020/07 - Disclosure TemplateEBA/GL/2020/07 Format: xlsx02.06.2020
Guidelines on legislative and non-legislative moratoria on loan repayments applied in the light of the COVID-19 crisis

Show description: Guidelines on legislative and non-legislative moratoria on loan repayments applied in the light of the COVID-19 crisis

Implementation: FMA: compliant
EBA/GL/2020/02 Format: pdf02.04.2020
Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions (The AML/CFT Colleges Guidelines)

Show description: Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions (The AML/CFT Colleges Guidelines)

Implementation: FMA: fully compliant
JC 2019 81 Format: pdf23.03.2020
Guidelines on ICT and security risk management

Show description: Guidelines on ICT and security risk management

Implementation: FMA: intends to comply from 30.06.2020
EBA/GL/2019/04 Format: pdf03.03.2020
Guidelines amending Guidelines EBA/GL/2018/05 on fraud reporting under the Payment Services Directive (PSD2)

Show description: Guidelines amending Guidelines EBA/GL/2018/05 on fraud reporting under the Payment Services Directive (PSD2)

Implementation: FMA: compliant
EBA/GL/2020/01 Format: pdf06.02.2020
Guidelines on harmonised definitions and templates for funding plans of credit institutions under Recommendation of the European Systemic Risk Board of 20 December 2012 (ESRB/2012/2)

Show description: Guidelines on harmonised definitions and templates for funding plans of credit institutions under Recommendation of the European Systemic Risk Board of 20 December 2012 (ESRB/2012/2)

Implementation: FMA: intends to comply from 31.12.2020
EBA/GL/2019/05 Format: pdf09.12.2019
Annex 1 of EBA/GL/2019/05 - Reporting on Funding PlansEBA/GL/2019/05 Format: pdf09.12.2019
Annex 2 of EBA/GL/2019/05 - Reporting TemplatesEBA/GL/2019/05 Format: xlsx09.12.2019
Guidelines on Outsourcing

Show description: Guidelines on Outsourcing

Implementation: FMA: compliant
EBA/GL/2019/02 Format: pdf05.06.2019
Guidelines for the estimation of LGD appropriate for an economic downturn (‘Downturn LGD estimation’)

Show description: Guidelines for the estimation of LGD appropriate for an economic downturn (‘Downturn LGD estimation’)

Implementation: FMA: intend to comply by 01.01.2021
EBA/GL/2019/03 Format: pdf04.06.2019
Guidelines on disclosure of non-performing and forborne exposures

Show description: Guidelines on disclosure of non-performing and forborne exposures

Implementation: FMA: compliant
EBA/GL/2018/10 Format: pdf26.04.2019
Guidelines on management of non-performing and forborne exposures

Show description: Guidelines on management of non-performing and forborne exposures

Implementation: FMA: compliant
EBA/GL/2018/06 Format: pdf04.04.2019
Recommendations amending Recommendations EBA/REC/2015/01 on the equivalence of confidentiality regimes
Implementation: FMA: compliant
EBA/REC/2018/03 Format: pdf03.04.2019
Guidelines on the STS criteria for ABCP securitisation

Show description: Guidelines on the STS criteria for ABCP securitisation

Implementation: FMA: compliant
EBA/GL/2018/08 Format: pdf20.03.2019
Guidelines on the STS criteria for non-ABCP securitisation

Show description: Guidelines on the STS criteria for non-ABCP securitisation

Implementation: FMA: compliant
EBA/GL/2018/09 Format: pdf20.03.2019
Guidelines on specification of types of exposures to be associated with high risk under Article 128(3) of Regulation (EU) No 575/2013

Show description: Guidelines on specification of types of exposures to be associated with high risk under Article 128(3) of Regulation (EU) No 575/2013

Implementation: FMA: compliant
EBA/GL/2019/01 Format: pdf15.03.2019
Guidelines on the conditions to benefit from an exemption from the contingency mechanism under Article 33(6) of Regulation (EU) 2018/389 (RTS on SCA & CSC)

Show description: Guidelines on the conditions to benefit from an exemption from the contingency mechanism under Article 33(6) of Regulation (EU) 2018/389 (RTS on SCA & CSC)

Implementation: FMA: compliant
EBA/GL/2018/07 Format: pdf21.01.2019
Guidelines on institutions’ stress testing

Show description: Guidelines on institutions’ stress testing

Implementation: FMA: compliant
EBA/GL/2018/04 Format: pdf20.12.2018
Guidelines on complaints-handling for the securities and banking sectors

Show description: Guidelines on complaints-handling for the securities and banking sectors

Implementation: FMA: compliant
JC 2018 35 Format: pdf04.10.2018
Guidelines on reporting requirements for fraud data under Article 96(6) PSD2

Show description: Guidelines on reporting requirements for fraud data under Article 96(6) PSD2

Implementation: FMA: fully compliant
EBA/GL/2018/05 Format: pdf17.09.2018
Recommendations amending Recommendations EBA/REC/2015/01 on the equivalence of confidentiality regimes

Show description: Recommendations amending Recommendations EBA/REC/2015/01 on the equivalence of confidentiality regimes

Implementation: FMA: compliant
EBA/REC/2018/01 Format: pdf07.08.2018
Guidelines on PD estimation, LGD estimation and the treatment of defaulted exposures

Show description: Guidelines on PD estimation, LGD estimation and the treatment of defaulted exposures

Implementation: FMA: intend to comply from 01.01.2021
EBA/GL/2017/16 Format: pdf25.04.2018
Guidelines on connected clients under Article 4(1)(39) of Regulation (EU) No 575/2013

Show description: Guidelines on connected clients under Article 4(1)(39) of Regulation (EU) No 575/2013

Implementation: FMA: compliant
EBA/GL/2017/15 Format: pdf23.02.2018
Guidelines on Supervision of Significant Branches

Show description: Guidelines on Supervision of Significant Branches

Implementation: FMA: compliant
EBA/GL/2017/14 Format: pdf16.02.2018
Recommendation on the coverage of entities in the group recovery plan

Show description: Recommendation on the coverage of entities in the group recovery plan

Implementation: FMA: compliant
EBA/REC/2017/02 Format: pdf26.01.2018
Joint Guidelines to prevent terrorist financing and money laundering in electronic fund transfers

Show description: Joint Guidelines to prevent terrorist financing and money laundering in electronic fund transfers

Implementation: FMA: compliant
JC/GL/2017/16 Format: pdf16.01.2018
Guidelines on uniform disclosures under Article 473a of Regulation (EU) No 575/2013 as regards transitional arrangements for mitigating the impact of the introduction of IFRS 9 on own funds

Show description: Guidelines on uniform disclosures under Article 473a of Regulation (EU) No 575/2013 as regards transitional arrangements for mitigating the impact of the introduction of IFRS 9 on own funds

Implementation: FMA: compliant
EBA/GL/2018/01 Format: pdf16.01.2018
Guidelines on major incident reporting under Directive (EU) 2015/2366 (PSD2)

Show description: Guidelines on major incident reporting under Directive (EU) 2015/2366 (PSD2)

Implementation: FMA: compliant
EBA/GL/2017/10 Format: pdf19.12.2017
Annex 1 of EBA Guidelines EBA/GL/2017/10 (Guidelines on major incident reporting under Directive (EU) 2015/2366 (PSD2))

Show description: Annex 1 of EBA Guidelines EBA/GL/2017/10 (Guidelines on major incident reporting under Directive (EU) 2015/2366 (PSD2))

EBA/GL/2017/10 Format: xlsx19.12.2017
Guidelines on procedures for complaints of alleged infringements of Payment Services Directive 2

Show description: Guidelines on procedures for complaints of alleged infringements of Payment Services Directive 2

Implementation: FMA: compliant
EBA/GL/2017/13 Format: pdf05.12.2017
Guidelines on the information to be provided for the authorisation of payment institutions and e-money institutions and for the registration of account information service providers under Article 5(5) of Directive (EU) 2015/2366

Show description: Guidelines on the information to be provided for the authorisation of payment institutions and e-money institutions and for the registration of account information service providers under Article 5(5) of Directive (EU) 2015/2366

Implementation: FMA: compliant
EBA/GL/2017/09 Format: pdf08.11.2017
Guidelines on credit institutions’ credit risk management practices and accounting for expected credit losses

Show description: Guidelines on credit institutions’ credit risk management practices and accounting for expected credit losses

Implementation: FMA: compliant
EBA/GL/2017/06 Format: pdf20.09.2017
Guidelines on ICT Risk Assessment under the Supervisory Review and Evaluation process (SREP)

Show description: Guidelines on ICT Risk Assessment under the Supervisory Review and Evaluation process (SREP)

Implementation: FMA: compliant
EBA/GL/2017/05 Format: pdf12.09.2017
Guidelines on the criteria on how to stipulate the minimum monetary amount of the professional indemnity insurance or other comparable guarantee under Article 5(4) of Directive (EU) 2015/2366

Show description: Guidelines on the criteria on how to stipulate the minimum monetary amount of the professional indemnity insurance or other comparable guarantee under Article 5(4) of Directive (EU) 2015/2366

Implementation: FMA: compliant
EBA/GL/2017/08 Format: pdf12.09.2017
Guidelines concerning the interrelationship between the BRRD sequence of writedown and conversion and CRR/CRD

Show description: Guidelines concerning the interrelationship between the BRRD sequence of writedown and conversion and CRR/CRD

Implementation: FMA: compliant
EBA/GL/2017/02 Format: pdf11.07.2017
Guidelines on the rate of conversion of debt to equity in bail-in

Show description: Guidelines on the rate of conversion of debt to equity in bail-in

Implementation: FMA: compliant
EBA/GL/2017/03 Format: pdf11.07.2017
Guidelines on the treatment of shareholders in bail-in or the write-down and conversion of capital instruments

Show description: Guidelines on the treatment of shareholders in bail-in or the write-down and conversion of capital instruments

Implementation: FMA: compliant
EBA/GL/2017/04 Format: pdf11.07.2017
The Risk-Based Supervision Guidelines: Joint Guidelines on the characteristics of a risk-based approach to anti-money laundering and terrorist financing supervision, and the steps to be taken when conducting supervision on a risk-sensitive basis

Show description: The Risk-Based Supervision Guidelines: Joint Guidelines on the characteristics of a risk-based approach to anti-money laundering and terrorist financing supervision, and the steps to be taken when conducting supervision on a risk-sensitive basis

Implementation: FMA: compliant
ESAs 2016 72 Format: pdf07.04.2017
Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector

Show description: Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector

Implementation: FMA: compliant
JC/GL/2016/01 Format: pdf05.04.2017
Guidelines on ICAAP and ILAAP information collected for SREP purposes

Show description: Guidelines on ICAAP and ILAAP information collected for SREP purposes

Implementation: FMA: compliant
EBA/GL/2016/10 Format: pdf10.02.2017
Guidelines on the application of the definition of default under Article 178 of Regulation (EU) No 575/2013

Show description: Guidelines on the application of the definition of default under Article 178 of Regulation (EU) No 575/2013

Implementation: FMA: intend to comply from 01.01.2021
EBA/GL/2016/07 Format: pdf18.01.2017
Guidelines on corrections to modified duration for debt instruments under the second subparagraph of Article 340(3) of Regulation (EU) 575/2013

Show description: Guidelines on corrections to modified duration for debt instruments under the second subparagraph of Article 340(3) of Regulation (EU) 575/2013

Implementation: FMA: compliant
EBA/GL/2016/09 Format: pdf04.01.2017
Guidelines on remuneration policies and practices related to the sale and provision of retail banking products and services

Show description: Guidelines on remuneration policies and practices related to the sale and provision of retail banking products and services

Implementation: FMA: compliant
EBA/GL/2016/06 Format: pdf13.12.2016
Guidelines on implicit support for securitisation transactions

Show description: Guidelines on implicit support for securitisation transactions

Implementation: FMA: compliant
EBA/GL/2016/08 Format: pdf24.11.2016
Guidelines on communication between competent authorities supervising credit institutions and the statutory auditor(s) and the audit firm(s) carrying out the statutory audit of credit institutions

Show description: Guidelines on communication between competent authorities supervising credit institutions and the statutory auditor(s) and the audit firm(s) carrying out the statutory audit of credit institutions

Implementation: FMA: compliant
EBA/GL/2016/05 Format: pdf07.11.2016
Guidelines on stress tests of deposit guarantee schemes under Directive 2014/49/EU

Show description: Guidelines on stress tests of deposit guarantee schemes under Directive 2014/49/EU

Implementation: FMA: compliant
EBA/GL/2016/04 Format: pdf19.10.2016
Guidelines on the provision of information in summary or collective form for the purposes of Article 84(3) of Directive 2014/59/EU

Show description: Guidelines on the provision of information in summary or collective form for the purposes of Article 84(3) of Directive 2014/59/EU

Implementation: FMA: compliant
EBA/GL/2016/03 Format: pdf19.07.2016
Guidelines on sound remuneration policies under Articles 74(3) and 75(2) of Directive 2013/36/EU and disclosures under Article 450 of Regulation (EU) No 575/2013

Show description: Guidelines on sound remuneration policies under Articles 74(3) and 75(2) of Directive 2013/36/EU and disclosures under Article 450 of Regulation (EU) No 575/2013

Implementation: FMA: compliant
EBA/GL/2015/22 Format: pdf27.06.2016
Guidelines on cooperation agreements between deposit guarantee schemes under Directive 2014/49/EU

Show description: Guidelines on cooperation agreements between deposit guarantee schemes under Directive 2014/49/EU

Implementation: FMA: compliant
EBA/GL/2016/02 Format: pdf08.06.2016
Limits on exposures to shadow banking entities which carry out banking activities outside a regulated framework under Article 395 (2) of Regulation (EU) No 575/2013

Show description: Limits on exposures to shadow banking entities which carry out banking activities outside a regulated framework under Article 395 (2) of Regulation (EU) No 575/2013

Implementation: FMA: compliant
EBA/GL/2015/20 Format: pdf03.06.2016
Final Guidelines on the minimum criteria to be fulfilled by a business reorganisation plan

Show description: Final Guidelines on the minimum criteria to be fulfilled by a business reorganisation plan

Implementation: FMA: compliant
EBA/GL/2015/21 Format: pdf19.05.2016
Guidelines specifying the conditions for group financial support under Article 23 of Directive 2014/59/EU

Show description: Guidelines specifying the conditions for group financial support under Article 23 of Directive 2014/59/EU

Implementation: FMA: compliant
EBA/GL/2015/17 Format: pdf08.12.2015
Guidelines on passport notifications for credit intermediaries under the Mortgage Credit Directive

Show description: Guidelines on passport notifications for credit intermediaries under the Mortgage Credit Directive

Implementation: FMA is not the competent authority for these Guidelines. Compliance declaration by BMFWF: compliant
EBA/GL/2015/19 Format: pdf19.10.2015
Guidelines on the application of simplified obligations under Article 4(5) of Directive 2014/59/EU

Show description: Guidelines on the application of simplified obligations under Article 4(5) of Directive 2014/59/EU

Implementation: FMA: compliant
EBA/GL/2015/16 Format: pdf16.10.2015
Guidelines on methods for calculating contributions to deposit guarantee schemes

Show description: Guidelines on methods for calculating contributions to deposit guarantee schemes

Implementation: FMA: compliant
EBA/GL/2015/10 Format: pdf22.09.2015
Guidelines on payment commitments under Directive 2014/49/EU on deposit guarantee schemes

Show description: Guidelines on payment commitments under Directive 2014/49/EU on deposit guarantee schemes

Implementation: FMA: compliant
EBA/GL/2015/09 Format: pdf11.09.2015
Guidelines on arrears and foreclosure
Implementation: FMA: compliant
EBA/GL/2015/12 Format: pdf19.08.2015
Guidelines on the Asset Separation Tool

Show description: Guidelines on the Asset Separation Tool

Implementation: FMA: compliant
EBA/GL/2015/05 Format: pdf07.08.2015
Guidelines on the sale of business tool

Show description: Guidelines on the sale of business tool

Implementation: FMA: compliant
EBA/GL/2015/04 Format: pdf07.08.2015
Guidelines on the minimum list of services and facilities

Show description: Guidelines on the minimum list of services and facilities

Implementation: FMA: compliant
EBA/GL/2015/06 Format: pdf06.08.2015
Guidelines on the interpretation of the different circumstances when an institution shall be considered as failing or likely to fail under Article 32(6) of Directive 2014/59/EU

Show description: Guidelines on the interpretation of the different circumstances when an institution shall be considered as failing or likely to fail under Article 32(6) of Directive 2014/59/EU

Implementation: FMA: compliant
EBA/GL/2015/07 Format: pdf06.08.2015
Guidelines on Product Oversight and Governance Arrangements (POG)

Show description: Guidelines on Product Oversight and Governance Arrangements (POG)

Implementation: FMA: non compliant
EBA/GL/2015/18 Format: pdf15.07.2015
Guidelines on triggers for use of early intervention measures pursuant to Article 27(4) of Directive 2014/59/EU

Show description: Guidelines on triggers for use of early intervention measures pursuant to Article 27(4) of Directive 2014/59/EU

Implementation: FMA: compliant
EBA/GL/2015/03 Format: pdf08.05.2015
Guidelines on national provisional lists of the most representative services linked to a payment account and subject to a fee under the PAD 2014/92/EU

Show description: Guidelines on national provisional lists of the most representative services linked to a payment account and subject to a fee under the PAD 2014/92/EU

Implementation: FMA: compliant
EBA/GL/2015/01 Format: pdf02.04.2015
Joint Guidelines on the convergence of supervisory practices relating to the consistency of supervisory coordination arrangements for financial conglomerates
Implementation: FMA: compliant
JC/GL/2014/01 Format: pdf22.12.2014
Guidelines on the specification of measures to reduce or remove impediments to resolvability and the circumstances in which each measure may be applied under Directive 2014/59/EU

Show description: Guidelines on the specification of measures to reduce or remove impediments to resolvability and the circumstances in which each measure may be applied under Directive 2014/59/EU

Implementation: FMA: compliant
EBA/GL/2014/11 Format: pdf19.12.2014
Guidelines on the criteria to determine the conditions of application of Article 131(3) of Directive 2013/36/EU (CRD) in relation to the assessment of other systemically important institutions

Show description: Guidelines on the criteria to determine the conditions of application of Article 131(3) of Directive 2013/36/EU (CRD) in relation to the assessment of other systemically important institutions

Implementation: FMA: compliant
EBA/GL/2014/10 Format: pdf16.12.2014
Guidelines on the types of tests, reviews or exercises that may lead to support measures under Article 32(4)(d)(iii) BRRD

Show description: Guidelines on the types of tests, reviews or exercises that may lead to support measures under Article 32(4)(d)(iii) BRRD

Implementation: FMA: compliant
EBA/GL/2014/09 Format: pdf22.09.2014
Guidelines on the range of scenarios to be used in recovery plans
Implementation: FMA: fully compliant
EBA/GL/2014/06 Format: pdf18.07.2014
Guidelines on the remuneration benchmarking exercise
Implementation: FMA: compliant
EBA/GL/2014/08 Format: pdf16.07.2014
Joint Committee Guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors

Show description: Joint Committee Guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors

Implementation: FMA: compliant
JC 2014 43 Format: pdf27.05.2014
Guidelines on the applicable notional discount rate - remuneration

Show description: Guidelines on the applicable notional discount rate - remuneration

Implementation: FMA: compliant
EBA/GL/2014/01 Format: pdf27.03.2014
Recommendation on the use of the Legal Entity Identifier (LEI) for supervisory purposes

Show description: Recommendation on the use of the Legal Entity Identifier (LEI) for supervisory purposes

Implementation: FMA: compliant
EBA/REC/2014/01 Format: pdf29.01.2014
EBA Recommendation on the development of recovery plans

Show description: EBA Recommendation on the development of recovery plans

Implementation: FMA: compliant
EBA/REC/2013/2 Format: pdf23.01.2013
EBA Recommendations on supervisory oversight of activities related to banks participation in the Euribor panel

Show description: EBA Recommendations on supervisory oversight of activities related to banks participation in the Euribor panel

Implementation: FMA: compliant
EBA/REC/2013/1 Format: pdf11.01.2013
CEBS Guidelines on Liquidity Cost Benefit Allocation Format: pdf27.10.2010
CEBS Guidelines on Liquidity Buffers & Survival Periods Format: pdf09.12.2009