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 17 of 28 · View all sources
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Past performance - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Disclosure of the benchmark index in the objectives and investment policies - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Disclosure of the benchmark index in the objectives and investment policies - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Disclosure of the benchmark index in the objectives and investment policies - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2019-03-01
Maturity Date, expiry date and termination date
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Complex trades
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
MiFIR data reporting - LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Maturity Date, expiry date and termination date
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Maturity Date, expiry date and termination date
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2019-02-04
Direct Electronic Access (DEA) and algorithmic trading - Article 19 of CDR 2017/565 - high frequency trading techniques tests
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-02-01
Annexes 14 and 15: Inside Information or Significant Event Information - Step-Up/Step-Down Coupon Value
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
How to provide the amount guaranteed for underlying exposures (collateral section)
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annexes 14 and 15: Inside Information or Significant Event Information - Perfection Of Sale: how should this be completed for CLO securitisations?
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Use of the response option ‘OTHR’ (i.e. ‘Other’) in {LIST} fields.
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Purpose RREL27
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annex 4: Underlying Exposures - Corporate - Managed by CLO
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Use LDOR code in the field for ‘Current Interest Rate Index’ or ‘Revised Interest Rate Index’
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Legal Entity Identifier fields and the Global Legal Entity Identifier Foundation?
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Revision Margin and Revision Date fields
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annex 4: Underlying Exposures - Corporate - Collateral valuation fields for corporate and leveraged lending
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annexes 5 and 8: Underlying Exposures – Automobile and Leasing - Original Loan-To-Value
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Annexes 6 and 7: Underlying Exposures - Credit Cards and Consumer - What level of the credit card receivable is the ‘underlying exposure’? The account or the product/card level?
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Primary Income Currency
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Total Credit Limit
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Definition of ‘arrears’
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Rounding numerical fields
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Reporting frequency for ABCP transactions
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Disclosures for public vs. private securitisations
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Differences in the same field vs. other existing templates
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Change of the reporting entity and unique identifier fields Unique identifier: RREL1; CREL1; CRPL1; AUTL1; CMRL1; CCDL1; LESL1; ESTL1; IVSS1; IVAS1; IVAN1
Securitisation Regulation (EU) 2017/2402
Answered 2019-01-31
Scope of application of the Commission Delegated Regulations adopted under the BMR (ESMA70-145-114 Q&A_4.6)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2019-01-30
Schedule for the initial implementation of the systematic internaliser regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2019-01-30
Methodology and input data (ESMA70-145-114_Q&A 5.13)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-12-18
Methodology and input data (ESMA70-145-114 Q&A 5.12)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-12-18
Margin requirements (old CCP question 9 dated 3/12/2018)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 41 of EMIR - old CCP question 9 dated 3/12/2018
Answered 2018-12-03
Identification of the relevant competent authority
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-11-14
Requirement imposed on market markers to post simultaneous two-way quotes of comparable size
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-11-14
Application of the prohibition contained in Article 19(11) MAR to issuers
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-11-12
Risk warning prominence
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. ESMA Decision 2018/795; ESMA Decision 2019/796
Answered 2018-11-09
Payments
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries · Art. ESMA Decision 2018/795; ESMA Decision 2019/796
Answered 2018-11-09
Use of benchmarks: bilateral agreement on exchanged collateral (ESMA70-145-114_Q&A 5.11)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-11-07
Provisions of Article 17(6) of MiFID II and of Chapter IV of RTS 6
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Can a market operator or an investment firm operating an MTF apply for a single segment of the MTF to be registered as an SME growth market?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Can a trading venue use its trading systems and platforms to arrange transactions that are then reported and ultimately executed on another trading venue?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Order-counting methodology for bulk quotes
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
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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