European Securities and Markets Authority Q&A Database
Official Q&As published by the European Securities and Markets Authority on MiFID II, EMIR, UCITS, AIFMD, and other EU securities regulations.
1,400 final Q&As · page 10 of 28 · View all sources
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-01-28
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-01-28
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-01-28
Reporting of settlement fails
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2022-01-25
Scope
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2021-12-17
Settlement instructions sent by CCPs
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2021-12-16
Participants' settlement efficiency
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2021-12-16
Advance notice for the marketing of new share classes of UCITS notified for cross-border marketing
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2021-12-01
Primary Income - Annex 2 Underlying Exposures - Residential Real Estate
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Securitisation Disclosure Requirements and Templates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Annex 10: Underlying Exposures - Non-Performing Exposures - Reporting of non-performing exposures securitisations – use of the EBA templates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Customer Type
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Securitisation Disclosure Requirements and Templates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Securitisation Disclosure Requirements and Templates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Disclosure requirements in Section 3 of Annex I of the benchmark statement
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2021-11-19
ESG factors and ESG objectives
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2021-11-19
Securitisation Disclosure Requirements and Templates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Securitisation Disclosure Requirements and Templates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Product governance
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2021-11-19
Annexes 12 and 13: Investor Reports - Annualised Constant Prepayment and Default Rates
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Pool Addition Date and Date Of Repurchase in a revolving deal
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Original Valuation Method
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
More frequent reporting for securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Annexes 12 and 13: Investor Reports - Trigger Measurements/Ratios
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-19
Annex 3: Underlying Exposures - Commercial Real Estate - Payment Date
Securitisation Regulation (EU) 2017/2402
Answered 2021-11-15
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 2(1), point (l) ECSPR
Answered 2021-11-10
Transitional period
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 48(1)
Answered 2021-11-10
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 2(1), point (a) of ECSPR
Answered 2021-11-10
Provisions of crowdfunding services and organisational and operational requirements
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 3(3) ECSPR
Answered 2021-11-10
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business · Art. 21(6) ECSPR
Answered 2021-11-10
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 23 ECSPR
Answered 2021-11-10
Fee rebate arrangements
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC · Art. Question related to Articles 22 and 29 Directive 2010/43/EU (UCITS level 2)
Answered 2021-11-01
LEI changes due to mergers and acquisitions
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
Answered 2021-09-21
Distribution of subscription ratings and disclosure of inside information
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2021-08-06
Credit ratings, rating outlooks and information relating thereto, pursuant to article 10(2a) of Regulation No 1060/2009
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2021-08-06
Disclosure to the public of credit ratings and inside information
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2021-08-06
Scope of the Benchmark Regulation (ESMA70-145-114 Q&As BMR - Q&A 4.7)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2021-07-29
Redeemable debt securities
Prospectus Regulation 2017/1129
Answered 2021-07-27
Interim Financial Information
Prospectus Regulation 2017/1129
Answered 2021-07-27
Profit Estimate
Prospectus Regulation 2017/1129
Answered 2021-07-27
Offers of Warrants
Prospectus Regulation 2017/1129
Answered 2021-07-27
Home Member State - Choice of the home Member State
Prospectus Regulation 2017/1129
Answered 2021-07-27
Secondary issuance prospectus for issuers listed on SME Growth markets (ESMA31-62-1258 Q&A 14.15)
Prospectus Regulation 2017/1129
Answered 2021-07-27
Restrictions on the transferability of shares (ESMA31-62-1258 Q&A14.14)
Prospectus Regulation 2017/1129
Answered 2021-07-27
Offer of securities to the public
Prospectus Regulation 2017/1129
Answered 2021-07-27
MiFIR data reporting - LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2021-07-19
Application of Level 3 guidance to EU Recovery Prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2021-07-16
Performance fees
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU · Art. Section XV: ESMA’s guidelines on performance fees in UCITS and certain types of AIFs
Answered 2021-07-16
ESMA’s guidelines on performance fees in UCITS and certain types of AIFs
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2021-07-16
Application of Article 3(2) PR
Prospectus Regulation 2017/1129
Answered 2021-07-16
Source: European Securities and Markets Authority. Updated weekly. Q&As are non-binding guidance published under the ESA Single Rulebook Q&A process.
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