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 11 of 28 · View all sources

EU Climate Transition Benchmarks and EU Paris-Aligned Benchmarks

Benchmarks Regulation (BMR) - Regulation 2016/1011

Answer Published

Answered 2021-07-16

Including information from a new RD or URD in a tripartite prospectus

Prospectus Regulation 2017/1129

Answer Published

Answered 2021-07-16

Updating the information in a tripartite prospectus after an RD or URD has expired (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

Published Answer Updated

Answered 2021-07-16

Application of Article 1(6b) (reverse acquistion)

Prospectus Regulation 2017/1129

Answer Published

Answered 2021-07-16

Application of the guidelines to funds with multiple portfolio managers

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Answer Published

Answered 2021-07-01

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

Answer Published

Answered 2021-05-28

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, question 4

Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA 70-145-114 QAs on BMR Q&A 10.10)

Benchmarks Regulation (BMR) - Regulation 2016/1011

Answer Published

Answered 2021-05-28

Reporting to national competent authorities under Articles 3, 24 and 42

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

Answer Published

Answered 2021-05-28

Reporting to national competent authorities under Articles 3, 24 and 42

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

Answer Published

Answered 2021-05-28

Annexes 5 and 8: Underlying Exposures – Automobile and Leasing - Year of Registration

Securitisation Regulation (EU) 2017/2402

Answer Published

Answered 2021-05-28

Reporting to national competent authorities under Articles 3, 24 and 42

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

Answer Published

Answered 2021-05-28

ESMA’s guidelines on performance fees in UCITS and certain types of AIFs

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

Answer Published

Answered 2021-05-28

ESMA’s guidelines on performance fees in UCITS and certain types of AIFs

Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU

Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA 70-145-114 QAs on BMR Q&A 10.8)

Benchmarks Regulation (BMR) - Regulation 2016/1011

Answer Published

Answered 2021-05-28

Information on cost and charges

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

Answer Published

Answered 2021-05-28

MiFIR data reporting - Reporting of reference rates not included in RTS 23 and 22

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

Answer Published

Answered 2021-05-28

How to handle character limitations in certain fields RREL79; RREL82; IVFS4

Securitisation Regulation (EU) 2017/2402

Answer Published

Answered 2021-05-28

Reporting of Geographic Region fields

Securitisation Regulation (EU) 2017/2402

Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA70-145-114 QAs on BMR Q&A 10.7)

Benchmarks Regulation (BMR) - Regulation 2016/1011

Answer Published

Answered 2021-05-28

Templates in the benchmark statement and the methodology (ESMA 70-145-114 QAs on BMR Q&A 10.9)

Benchmarks Regulation (BMR) - Regulation 2016/1011

Answer Published

Answered 2021-05-28

Arrears 1-29 Days

Securitisation Regulation (EU) 2017/2402

Answer Published

Answered 2021-05-28

Reporting of changes to the reference rate in an SFT

Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP

Answer Published

Answered 2021-05-20

Credit rating disclosure in prospectuses (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

Published Answer Updated

Answered 2021-05-05

Supplements - Supplement to prospectuses: audited annual financial statements (Deleted 09/09/2026)

Prospectus Regulation 2017/1129

Published Answer Updated

Answered 2021-05-05

Performance reference period in case of funds’ mergers

Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC

Answer Published

Answered 2021-05-01

Minimum tick size regime under Article 49 of MiFID II - Pre-trade transparency waivers

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

Answer Published

Answered 2021-04-06