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Compliance with guidelines and recommendations

The European Banking Authority (EBA) and the Joint Committee of the European Supervisory Authorities issue guidelines or recommendations in the field of banking supervision. In accordance with Article 16 of Regulation No. 1093/2010 establishing a European Banking Authority, the competent authorities must inform the EBA whether they comply or intend to comply with these. If an authority does not comply or intend to comply it must explain why.

The table below contains those guidelines and recommendations which have applied to the ECB since it assumed its supervisory tasks on 4 November 2014, and shows the dates on which the ECB notified the EBA of its compliance or intention to comply.

The EBA website is the official source of information on EBA guidelines and recommendation. The EBA publishes compliance tables together with each set of guidelines or recommendation.

EBA Guidelines
Number EBA Guidelines Date on which ECB notified EBA of compliance or intention to comply
EBA/GL/2022/15 Guidelines on the use of remote customer onboarding solutions 02.06.2023
EBA/GL/2022/14 Guidelines on interest rate risks for banking book (IRRBB) and credit spread risk arising from non-trading book activities (CSRBB) 17.04.2023
EBA/GL/2022/13 Guidelines amending Guidelines EBA/GL/2018/10 on disclosure of nonperforming and forborne exposures 13.01.2023
EBA/GL/2022/12 Guidelines amending Guidelines EBA/GL/2020/14 on the specification and disclosure of systemic importance indicators 10.01.2023
EBA/GL/2022/08 Guidelines on the data collection exercises regarding high earners under Directive 2013/36/EU and under Directive (EU) 2019/2034 29.11.2022
EBA/GL/2022/06 Guidelines on the benchmarking exercises on remuneration practices, the gender pay gap and approved higher ratios under Directive 2013/36/EU 29.11.2022
EBA/GL/2022/04 Guidelines on the equivalence of confidentiality and professional secrecy regimes of third-country authorities 11.08.2022
EBA/GL/2022/03 Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing under Directive 2013/36/EU 07.12.2022
EBA/GL/2022/01 Guidelines on improving resolvability for institutions and resolution authorities under articles 15 and 16 BRRD 08.06.2022
EBA/GL/2021/15 Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU 08.07.2022
EBA/GL/2021/12 Guidelines on a common assessment methodology for granting authorisation as a credit institution under Article 8(5) of Directive 2013/36/EU 06.04.2022
EBA/GL/2021/11 Guidelines on recovery plan indicators under Article 9 of Directive 2014/59/EU 02.02.2022
EBA/GL/2021/10 Guidelines on stress tests of deposit guarantee schemes under Directive 2014/49/EU repealing and replacing Guidelines EBA/GL/2016/04 31.01.2022
EBA/GL/2021/09 Guidelines specifying the criteria to assess the exceptional cases when institutions exceed the large exposure limits of Article 395(1) of Regulation (EU) No 575/2013 and the time and measures to return to compliance pursuant to Article 396(3) of Regulation (EU) No 575/2013 17.12.2021
EBA/GL/2021/08 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 18.02.2022
EBA/GL/2021/07 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 06.10.2021
EBA/GL/2021/06 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 29.12.2021
EBA/GL/2021/05 Guidelines on internal governance under Directive 2013/36/EU 08.12.2021
EBA/GL/2021/04 Guidelines on sound remuneration policies under Directive 2013/36/EU 08.12.2021
EBA/GL/2021/01 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 28.06.2021
EBA/GL/2020/15 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 28.01.2021
EBA/GL/2020/14 Guidelines on the specification and disclosure of systemic importance indicators 08.02.2021
EBA/GL/2020/13 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

05.07.2023

EBA/GL/2020/12 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 the CRR ‘quick fix’ in response to the COVID-19 pandemic 27.01.2021
EBA/GL/2020/11 Guidelines on supervisory reporting and disclosure requirements in compliance with the CRR ‘quick fix’ in response to the COVID-19 pandemic 27.01.2021
EBA/GL/2020/10 Guidelines on the pragmatic 2020 supervisory review and evaluation process in light of the COVID‐19 crisis 14.09.2020
EBA/GL/2020/09 Guidelines on the treatment of structural FX under Article 352(2) of Regulation (EU) No 575/2013 03.12.2021
EBA/GL/2020/08 Guidelines amending Guidelines EBA/GL/2020/02 on legislative and non-legislative moratoria 24.07.2020
EBA/GL/2020/07

Guidelines on reporting and disclosure of exposures subject to measures applied in response to the COVID‐19 crisis [Repealed] 

04.08.2020
EBA/GL/2020/06 Guidelines on loan origination and monitoring 30.08.2021
EBA/GL/2020/05 Guidelines on Credit Risk Mitigation for institutions applying the Internal Ratings Based approach with own estimates of loss given default 03.12.2021
EBA/GL/2020/04 Guidelines on the determination of the weighted average maturity (WAM) of the contractual payments due under the tranche 09.06.2020
EBA/GL/2020/03 Guidelines on the equivalence of confidentiality regimes 16.10.2020
EBA/GL/2020/02 Guidelines on legislative and non-legislative moratoria on loan repayments applied in the light of the COVID-19 crisis 24.07.2020
EBA/GL/2019/05 Guidelines on harmonised definitions and templates for funding plans 22.03.2021
EBA/GL/2019/04 Guidelines on ICT and security risk management 12.01.2021
EBA/GL/2019/03 Guidelines for the estimation of LGD appropriate for an economic downturn 22.03.2021
EBA/GL/2019/02 Guidelines on outsourcing arrangements 08.06.2022
EBA/GL/2019/01 Guidelines on specification of types of exposures to be associated with high risk 03.05.2019
EBA/GL/2018/10 Guidelines on disclosure of non-performing and forborne exposures 12.01.2021
EBA/GL/2018/09 Guidelines on the STS criteria for Non-ABCP securitisation 29.05.2019
EBA/GL/2018/08 Guidelines on the STS criteria for ABCP securitisation 29.05.2019
EBA/GL/2018/06 Guidelines on management of non-performing and forborne exposures 01.07.2019
EBA/GL/2018/04 Guidelines on institutions’ stress testing 15.02.2019
EBA/GL/2018/03 Guidelines on the revised common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing 15.02.2019
EBA/GL/2018/02 Guidelines on the management of interest rate risk arising from non-trading book activities 01.07.2019
EBA/GL/2018/01 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 07.02.2018
EBA/GL/2017/16 Guidelines on PD estimation, LGD estimation and the treatment of defaulted exposures 22.03.2021
EBA/GL/2017/15 Guidelines on connected clients 12.04.2018
EBA/GL/2017/14 Guidelines on supervision of significant branches 20.03.2018
EBA/GL/2017/11 Guidelines on Internal Governance 22.05.2018
EBA/GL/2017/06 Guidelines on credit institutions’ credit risk management practices and accounting for expected credit losses 18.01.2018
EBA/GL/2017/05 Guidelines on ICT Risk Assessment under the Supervisory Review and Evaluation process (SREP) 04.01.2018
EBA/GL/2017/01 Guidelines on LCR disclosure to complement the disclosure of liquidity risk management under Article 435 of Regulation (EU) No 575/2013 01.10.2017
EBA/GL/2016/11 Guidelines on disclosure requirements under Part Eight of Regulation (EU) No 575/2013 18.08.2017
EBA/GL/2016/10 Guidelines on ICAAP and ILAAP information collected for SREP purposes 17.02.2017
EBA/GL/2016/09 Guidelines on corrections to modified duration for debt instruments under the second subparagraph of Article 340(3) of Regulation (EU) 575/2013 06.03.2017
EBA/GL/2016/08 Guidelines on implicit support for securitisation transactions 23.01.2017
EBA/GL/2016/07 Guidelines on the application of the definition of default under Article 178 of Regulation (EU) No 575/2013 22.03.2021
EBA/GL/2016/05 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 05.01.2017
EBA/GL/2016/04 Guidelines on stress tests of deposit guarantee schemes under Directive 2014/49/EU 15.12.2016
EBA/GL/2016/03 Guidelines on the provision of information in summary or collective form for the purposes of Article 84(3) of Directive 2014/59/EU 14.09.2016
EBA/GL/2016/01 Revised guidelines on the further specification of the indicators of global systemic importance and their disclosure 06.07.2017
EBA/GL/2015/22 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 05.08.2016
EBA/GL/2015/21 Guidelines on the minimum criteria to be fulfilled by a business reorganisation plan 19.07.2016
EBA/GL/2015/20 Guideline on the 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 03.08.2016
EBA/GL/2015/17 Guidelines specifying the conditions for group financial support under Article 23 of Directive 2014/59/EU 05.02.2016
EBA/GL/2015/16 Guidelines on the application of simplified obligations under Article 4(5) of Directive 2014/59/EU 12.01.2016
EBA/GL/2015/09 Guidelines on payment commitments under Directive 2014/49/EU on deposit guarantee schemes 18.12.2015
EBA/GL/2015/08 Guidelines on the management of interest rate risk arising from non-trading activities 24.11.2015
EBA/GL/2015/07 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 06.10.2015
EBA/GL/2015/03 Guidelines on triggers for use of early intervention measures pursuant to Article 27(4) of Directive 2014/59/EU 23.09.2015
EBA/GL/2015/02 Guidelines on the minimum list of qualitative and quantitative recovery plan indicators 01.09.2015
EBA/GL/2014/14 Guidelines on materiality, proprietary and confidentiality and on disclosure frequency under Articles 432(1), 432(2) and 433 of Regulation (EU) No 575/2013 (3 mandates) 05.06.2015
EBA/GL/2014/13 Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) 02.04.2015
EBA/GL/2014/10 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 (O-SIIs) 01.04.2015
EBA/GL/2014/06 Guidelines on the range of scenarios to be used in recovery plans 08.06.2022
Joint Guidelines
Number Joint Guidelines Date on which ECB notified EBA of compliance or intention to comply
EBA/GL/2017/12 Joint 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 22.05.2018
JC/GL/2016/01 Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector 07.07.2017
JC/GL/2014/01 Joint Guidelines on the convergence of supervisory practices relating to the consistency of supervisory coordination arrangements for financial conglomerates 08.01.2021
Recommendations
Number EBA Recommendation Date on which ECB notified EBA of compliance or intention to comply
EBA/Rec/2018/03 Recommendations amending EBA/Rec/2015/01 on the equivalence of confidentiality regimes 05.08.2019
EBA/Rec/2018/01 Recommendations amending Recommendations EBA/Rec/2015/01 on the equivalence of confidentiality regimes 31.10.2018
EBA/Rec/2017/03 Recommendations on outsourcing to cloud service providers 20.06.2018
EBA/Rec/2017/02 Recommendation on the coverage of entities in the group recovery plan 26.03.2018
EBA/Rec/2017/01 Recommendations amending EBA/Rec/2015/01 on equivalence of confidentiality regimes  12.01.2017
EBA/Rec/2015/01 (as amended) Recommendations on the equivalence of confidentiality regimes 02.04.2015

Last updated: 05.07.2023

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