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 22 of 28 · View all sources

Information on cost and charges

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

Answer Published

Answered 2017-06-06

Post-sale reporting

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

Answer Published

Answered 2017-06-06

Post-sale reporting

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

Answer Published

Answered 2017-06-06

Post-sale reporting

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

Answer Published

Answered 2017-06-06

Post-sale reporting

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

Answer Published

Answered 2017-06-06

Access to CSDs

Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR

Answer Published

Answered 2017-06-02

Calculation of the “current volume weighted spread reflected in the order book” for negotiated transactions

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

Answer Published

Answered 2017-05-31

“Continuous” assessment and monitoring of market and credit risk in Article 17(2) of RTS 6

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

Answer Published

Answered 2017-05-31

Assignment of MICs to APAs

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets · Art. Commission Delegated Regulation (EU) 2017/587 (RTS 1) and Regulation 2017/583 (RTS 2)

Answer Published

Answered 2017-05-31

Blanket cancellation of orders policy

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

Answer Published

Answered 2017-05-30

Impact of EMIR on UCITS - Exemption for intra-group transactions under EMIR

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

Answer Published

Answered 2017-05-24

Best Execution

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries

Answer Published

Answered 2017-04-04

Best Execution

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

Answer Published

Answered 2017-04-04

Best Execution

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

Answer Published

Answered 2017-04-04

Inducements

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

Answer Published

Answered 2017-04-04

Inducements

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

Answer Published

Answered 2017-04-04

Best Execution

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

Answer Published

Answered 2017-04-04

Inducements

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

Answer Published

Answered 2017-04-04

Best Execution

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

Answer Published

Answered 2017-04-04

Organized Trading facilities OTFs - Difference with MTFs

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Transparency - Trading venues

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

Answer Published

Answered 2017-04-03

Transaction reporting

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

Answer Published

Answered 2017-04-03

Transparency - pre-trade quote publication and ISIN

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

Answer Published

Answered 2017-04-03

Business Case: Inflation Indexed bond

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

Answer Published

Answered 2017-04-03

Field 23 – Seniority of the Bond

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs - Liquidity of sovereign debt instruments

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

Answer Published

Answered 2017-04-03

Direct Electronic Access (DEA) and algorithmic trading

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

Answer Published

Answered 2017-04-03

Systematic internaliser

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

Answer Published

Answered 2017-04-03

Replay functionality of surveillance systems

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

Answer Published

Answered 2017-04-03

Algorithmic trading

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

Answer Published

Answered 2017-04-03

Algorithmic trading - OTC trading

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Algorithmic trading

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

Answer Published

Answered 2017-04-03

DEA users - HFT technique

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

High-Frequency Trading (HFT) technique - Identification and authorisation

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs -

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

Answer Published

Answered 2017-04-03

Organized Trading facilities OTFs

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

Answer Published

Answered 2017-04-03

Transparency - OTC transactions reported to APA - outsourcing post-transparency reporting requirement

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)

Answer Published

Answered 2017-04-03

Additional national requirements

Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR

Answer Published

Answered 2017-03-31

Maturity Date, expiry date and termination date

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

Answer Published

Answered 2017-02-04

Date and time of the request of admission and admission

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

Answer Published

Answered 2017-02-02

Instrument identification code and Underlying instrument code

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

Answer Published

Answered 2017-02-02

Base Point Spread of the index/benchmark of a floating rate bond

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

Answer Published

Answered 2017-02-02

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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