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 23 of 28 · View all sources
Request for admission to trading by issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-02-02
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-02-02
Instrument identification code and Underlying instrument code
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-02-02
Classification of Financial Instruments (CFI) and Financial Instrument Short Name (FISN)
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2017-02-02
Trading venue and co-location
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-01-31
Level at which the firm must perform the calculation where it is part of a group or operates EU branches
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-01-31
Transactions that should be exempted from, and included in, the calculation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-01-31
Market makers
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2017-01-31
Recommendations on multiple issuers
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-01-27
Segment information; Paragraphs 17 to 19 of the APMs Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-01-27
Labels used on APMs; Paragraphs 22 and 25 of the APMs Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-01-27
Concept of “corresponding previous periods”; Paragraph 37 of the APMs Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-01-27
Recommendations relating to several financial instruments independently
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-01-27
Recommendations on a derivative referencing an index
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-01-27
Interim financial reports; Paragraphs 3 and 4 of the APMs Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-01-27
Financial measures calculated using exclusively figures stemming from financial statements; Paragraphs 4, 17 to 19 of the APMs Guidelines.
Transparency Directive (TD) Directive 2004/109/EC
Answered 2017-01-27
Price of options granted for free
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2017-01-20
Recommendation on derivatives traded solely outside a trading venue
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Notification of shares received as part of remuneration package
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Communications containing purely factual information
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Applicability of ESMA’s Guidelines on Alternative Performance Measures (APMs) to prospectuses comprising documents published before and on/after 3 July 2016
Transparency Directive (TD) Directive 2004/109/EC
Answered 2016-12-20
Threshold calculation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Identification of derivatives in investment recommendations
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Price of gifts, donation and inheritance
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
Answered 2016-12-20
LEI of the issuer
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Date and time of the request of admission and admission
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
Answered 2016-12-20
Communications on previously disseminated investment recommendations
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-12-20
Non-EU entities above position limits
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Position limits - net positions held by clearing members
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Authorisation for dealing in commodity derivatives
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Does trading activity in C6 contracts which takes place on OTFs after 3 January 2018 need to be counted towards the ancillary thresholds prior to that date?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Order book - Tick size regime
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Automated Order Router (AOR) and algorithmic trading
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Applicability of position limits
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
Economically Equivalent OTC contracts
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-12-19
disclosure of cost on return
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
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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