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 25 of 28 · View all sources
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 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
Suitability and appropriateness
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
Answered 2016-10-10
Record keeping
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 Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
Answered 2016-10-10
Mid-month reports
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-10-03
Application of the double volume mechanism to newly issued instruments
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2016-10-03
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
Regulated markets under the UCITS Directive
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management - short-term MMF
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management - Issuer concentration
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management EPM OTC EMIR
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
KIID Collateral management
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-10-01
Impact of EMIR on UCITS - Valuation of OTC derivatives
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-07-19
Timing of the closed period
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2016-07-13
Use of EuSEF and EuVECA designations
European Social Entrepreneurship Funds Regulation (EuSEF) Regulation (EU) No 346/2013
Answered 2016-05-31
Master-feeder structures
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-04-01
Default management (old CCP question 3 dated 4/02/2016)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 48 of EMIR - old CCP question 3 dated 4/02/2016
Answered 2016-02-04
Default management (old CCP question 3 dated 4/02/2016)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 48 of EMIR - old CCP question 3 dated 4/02/2016
Answered 2016-02-04
Directive 2014/91/EU (UCITS V) – update of documentation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-02-01
Directive 2014/91/EU (UCITS V) – update of documentation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-02-01
Directive 2014/91/EU (UCITS V) – update of documentation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2016-02-01
The requirement to “remain publicly available”; TD Art 4, 5 and 6
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Responsibilities of the host Member State; TD Art. 21(3)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Dissemination of regulated information; Implementing Directive 2007/14/EC (L2D) Art. 12
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Reporting of payments to governments at consolidated level; TD Art 6
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Additional information in annual and half yearly financial reports; TD Art. 4–5
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Horizontal aggregation; TD Art 13a
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Change of home Member State and impact on Prospectus Regulation; TD Art 2(1)(i) letter (iii)
Transparency Directive (TD) Directive 2004/109/EC · Art. Prospectus Regulation (Regulation 2017/1129)
Answered 2015-10-23
Additional periodic information (including quarterly reports); TD Art 3
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Major shareholding notification – group notifications; TD Art. 12(3)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
The requirement to make regulated information public; TD Art. 21(1)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Publication of sanctions and administrative measures without “undue delay”; TD Art 29
Transparency Directive (TD) Directive 2004/109/EC
Answered 2015-10-23
Segregation and portability (old CCP question 8 dated 31/03/2015)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 39 of EMIR - old CCP question 8 dated 31/03/2015
Answered 2015-03-31
Authorisation of a CCP (old CCP question 6 dated 31/03/2015)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 14 of EMIR - old CCP question 6 dated 31/03/2015
Answered 2015-03-31
Financial derivative instruments - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2015-01-09
Financial derivative instruments - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2015-01-09
Financial derivative instruments - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2015-01-09
Financial derivative instruments - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2015-01-09
Financial derivative instruments - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2015-01-09
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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