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 24 of 28 · View all sources
Best Execution
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - 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
Inducements
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
Suitability and appropriateness
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
Best Execution
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - 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 Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-12-16
Post-sale reporting
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-12-16
Underwriting and placing
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Underwriting and placing
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Underwriting and placing
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-12-16
Investment limits
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-11-21
Investment limits
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-11-21
Intervention to allow smaller tick size
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Liquidity band for instruments trading in different currencies across trading venues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Recalculation of ADNT
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Average daily number of transactions (ADNT)
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2016-11-18
Data disaggregation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-11-18
Data disaggregation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-11-18
Data disaggregation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-11-18
Exchange rate
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Main business is not to produce investment recommendations
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Information implicitly recommending or suggesting an investment strategy
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Communications not referring to one or several issuers
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Communications made orally or via electronic means
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-10-26
Translation requirements in relation to the remuneration disclosure - UCITS KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-12
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-12
Impact of SFTR on UCITS - Commencement of reporting under SFTR
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-12
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Underwriting and placing
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Best Execution
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Inducements
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Recording of telephone conversations and electronic communications
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Suitability and appropriateness
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Source: European Securities and Markets Authority. Updated weekly. Q&As are non-binding guidance published under the ESA Single Rulebook Q&A process.
📋 Track EU financial regulation continuously
Forseti monitors EU financial regulation and delivers personalised alerts anchored to verified official sources.
14-day free trial. No credit card required.