ECB compliance with EBA 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 recommendations. The EBA publishes compliance tables together with each guideline or recommendation and its Annual Report contains a section on "Regulatory Compliance of Guidelines and Recommendations".

ECB "comply or explain" responses to EBA guidelines and recommendations

EBA Guidelines
Number EBA Guideline Date on which ECB notified EBA of compliance or intention to comply
EBA/GL/2017/16 Guidelines on PD estimation, LGD estimation and the treatment of defaulted exposures 20.06.2018
EBA/GL/2017/11 Guidelines on Internal Governance 22.05.2018
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/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/2017/06 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 575/2103 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 Article 320(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 27.12.2017
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 business reorganisation plans under Directive 2014/59/EU (BRRD) 19.07.2016
EBA/GL/2015/20 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
Joint Guidelines
Number Guideline Date on which ECB notified EBA of compliance or intention to comply
EBA/GL/2017/12 Guidelines on the assessment of members of the management body and key function holders under Dierctive 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 01.04.2015
Recommendations
Number EBA Recommendation Date on which ECB notified EBA of compliance or intention to comply
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 (amending EBA/Rec/2017/01) 12.01.2017
EBA/Rec/2015/01 (as amended) Recommendations on the equivalence of confidentiality regimes 02.04.2015

Last updated: 21 November 2018