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 18 of 28 · View all sources
Incentives to be provided under stressed market conditions by the trading venues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Market making agreement for payment received from a trading venue
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-10-04
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-10-03
Investment advice on an independent basis
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2018-10-03
Delayed disclosure of inside information under Article 17(5) of MAR: NCA’s denial of consent
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-10-01
Delayed disclosure of inside information under Article 17(5) of MAR: notification of the expected duration
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-10-01
Delayed disclosure of inside information under Article 17(5) of MAR: assessment of the relevant conditions
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-10-01
Rolling spot forex
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 2018-09-28
Language of the benchmark statement (ESMA70-145-114_Q&A 7.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Family of benchmarks in the application for endorsement (ESMA70-145-114_Q&A 7.2)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Written plans under Article 28(2) (ESMA70-145-114_Q&A 8.2)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Written plans under Article 28(2) (ESMA70-145-114_Q&A 8.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
NAV of investment funds (ESMA70-145-114_Q&A 5.10)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Financial instruments and systematic internalisers (ESMA70-145-114_Q&A 5.8)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Use of benchmarks in certificates (ESMA70-145-114 Q&A_5.9)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-09-26
Interest Rate Swaps reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
Interest Rate Swaps reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
FIRDS fields 8 to 11
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
FX Swaps reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
Field 14 and Field 17 – Total issued nominal amount
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2018-09-26
Organisational requirements: general
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Cash penalties: joint penalty mechanism
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Book-entry form
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-09-26
Structured finance products
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 2018-07-30
Securitised derivatives
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 2018-07-30
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-07-12
Provision of investment services and activities by third country firms
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-07-12
Regulated data benchmarks (ESMA70-145-114 Q&A_5.7)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-07-11
Calculation agents (ESMA70-145-114 Q&A_5.3)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-07-11
Supervision of branches
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-07-01
UCITS investing in other UCITS with different investment policies
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-07-01
Depositaries as counterparties in a transaction of assets that they hold in custody
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-07-01
Margin close-out protection
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 2018-06-01
Aggregate liability
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 2018-06-01
Monetary benefits
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 2018-06-01
Binary options
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 2018-06-01
CFDs referencing futures
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 2018-06-01
Guaranteed stop loss orders
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 2018-06-01
Clients established outside the Union and non-Union nationals
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 2018-06-01
Existing contracts
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 2018-06-01
Organized Trading facilities OTFs
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-05-29
Easy-to-borrow list and locate arrangement
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-05-28
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Application of disclosure requirements on remuneration to delegates
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2018-05-25
Initiation at own initiative
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
New categories of investment products or investment services
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-25
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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