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 15 of 28 · View all sources
Annex 4: Underlying Exposures - Corporate - Origination date and original principal balance in case of a revolving loan with multiple advances
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
Annex 4: Underlying Exposures - Corporate - Maturity date
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
How to report replacement of counterparties in the counterparty information section of Annexes 14 and 15?
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
Annexes 14 and 15: Inside Information or Significant Event Information - Disbursement Date
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
‘No Data’ options ND1-ND4, as well as ND5 (‘Not Applicable’)
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
‘No Data’ options ND1-ND4, as well as ND5 (‘Not Applicable’)
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
Annexes 12 and 13: Investor Reports - Loss Given Default and Probability of Default
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
Annexes 12 and 13: Investor Reports - Risk Transfer Method
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
Annexes 12 and 13: Investor Reports - Must rating triggers be reported in the tests/events/triggers information section of Annexes 12 and 13?
Securitisation Regulation (EU) 2017/2402
Answered 2019-07-17
Item 18.1.1 of Annex I of the Commission Delegated Regulation (EU) 2019/980 (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Inclusion of Alternative Performance Measures (APMs) in information disclosed about the offer to the public or the admission to trading on a regulated market
Prospectus Regulation 2017/1129
Answered 2019-07-12
Home Member State - Nearly equivalence of Euro 1,000 (Article 2(m)(ii) of the Prospectus Regulation) (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Responsibility Statements (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Incorporation by reference: language requirements
Prospectus Regulation 2017/1129
Answered 2019-07-12
Responsibility Statements (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Quality of translations of passported prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Rights issue: communication by a custodian to its clients in a member state about pre-emption rights in relation to a public offer of new shares taking place in another EEA member state
Prospectus Regulation 2017/1129
Answered 2019-07-12
Quality of translations of passported prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Quality of translations of passported prospectuses (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Supplements - Application of Article 23(3) subparagraphs 1 and 2 (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Supplements - Supplement to prospectuses: interim financial information (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Scope of the wording ‘any bankruptcies, receiverships or liquidations’ used in Annex 1, item 12.1 and Annex 3, item 8.1 (Deleted 09/09/2026)
Prospectus Regulation 2017/1129
Answered 2019-07-12
Estimate expenses charged by a financial intermediary in a retail cascade
Prospectus Regulation 2017/1129
Answered 2019-07-12
Incorporation by reference: language requirements
Prospectus Regulation 2017/1129
Answered 2019-07-12
Inclusion of “extra” information in individual summaries
Prospectus Regulation 2017/1129
Answered 2019-07-12
Offering programmes
Prospectus Regulation 2017/1129
Answered 2019-07-12
Supplements - Non-relevant information in relation to a published prospectus that does not trigger the obligation to publish a supplement
Prospectus Regulation 2017/1129
Answered 2019-07-12
Commodity benchmark definition (ESMA70-145-114_Q&A 5.14)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2019-07-11
The contribution to the euro short-term rate (€STR) (ESMA70-145-114 Q&A_4.2)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2019-07-11
Internalised settlement - Reporting parameters
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2019-07-11
Internalised settlement - scope
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2019-07-11
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-07-11
Voluntary SI regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Markets in Financial Instruments Regulations (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2019-06-03
Mandatory SI regime
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Markets in Financial Directorate II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-06-03
Supervision of depositary functions in case of branches in other Member States
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Performance of depositary functions where there are branches in other Member States
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Distinction between depositary tasks and mere supporting tasks
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Delegation by a depositary to another legal entity belonging to the same group
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Depositary tasks entrusted to third parties
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-06-01
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Information on cost and charges
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2019-05-29
Responsibility for information contained in an STS notification
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Information which will be available on ESMA’s website regarding STS notifications
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
Annexes 14 and 15: Inside Information or Significant Event Information - Inside information or significant event information template for private securitisations?
Securitisation Regulation (EU) 2017/2402
Answered 2019-05-27
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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