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 19 of 28 · View all sources
Update of prospectuses as per Article 29(2) (ESMA70-145-114_Q&A 8.4)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-05-24
Prudential requirements - Operational risks
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-05-24
Client categorisation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-05-05
Control access to the fee and other information by trading venue
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-03-28
Systematic internaliser
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-03-28
Scope of the trading obligation for interest rate derivatives
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-03-28
ADNT - Liquidity band
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2018-03-28
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-03-23
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-03-23
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-03-23
Requirements for CSD links
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-03-23
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-03-23
Disclosure of inside information related to Pillar II requirements
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2018-03-23
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2018-03-23
Conduct of business rules
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-03-23
Authorisation and supervision of CSDs
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-03-23
Article 16 during the transitional period (ESMA70-145-114_Q&A 6.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-03-22
Minimum size of orders held in an order management facility for non-equity financial instruments
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Regulation 2017/583- RTS on transparency requirements in respect of non-equity financial instruments (RTS 2)
Answered 2018-02-07
Ancillary services
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2018-02-06
Commodity benchmarks (ESMA70-145-114 Q&A_4.5)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Definition of a benchmark in relation to investment funds (ESMA70-145-114 Q&A_5.6)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Definition of a benchmark in relation to investment funds (ESMA70-145-114 Q&A_5.5)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Definition of a benchmark in relation to investment funds (ESMA70-145-114 Q&A_5.4)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2018-02-05
Shares - Covering a short sale with claims to as yet unissued shares (subscription rights, convertible bonds)
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-02-05
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Application of MiFID II after 3 January 2018, including issues of ‘late transposition’
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-18
Reference price waiver and multi-listed shares
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-12-18
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2017-12-18
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Spot month
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-12-15
Authorisation and registration vis-à-vis the applicability of the requirements of the BMR (ESMA70-145-114_Q&A 7.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-12-14
Written plans for cessation or material changes of a benchmark (ESMA70-145-114_Q&A 8.1)
Benchmarks Regulation (BMR) - Regulation 2016/1011
Answered 2017-12-14
Organisational requirements: Record keeping
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-12-14
Emission allowances market participants (EAMPs) - Time span for the calculation of the CO2 equivalent emissions and the rated thermal input
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-12-14
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-12-14
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-12-14
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-12-14
Types of transactions by PDMRs prohibited during closed periods
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-11-21
Trading during closed periods and prohibition of insider dealing
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-11-21
Transaction reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-11-17
Protection of securities of participants and those of their clients
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2017-11-17
Geographical scope of the temporary suspension of transparency
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2017-11-15
Transparency - Trading venues
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Regulation 2017/583- RTS on transparency requirements in respect of non-equity financial instruments (RTS 2)
Answered 2017-11-15
EU trading venue through sub-delegated DEA and exemption offered under Article 2(1)(d) of MiFID II
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Regulation 2017/584- RTS on organisational requirements for trading venues (RTS 7)
Answered 2017-11-15
Authorisation as an investment firm under MiFID II to provide DEA to an EU trading venue
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-11-15
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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