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 26 of 28 · View all sources
Financial derivative instruments - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2015-01-05
Management of EuSEF and EuVECA by AIFMs
European Social Entrepreneurship Funds Regulation (EuSEF) Regulation (EU) No 346/2013
Answered 2014-11-11
Management of EuSEF and EuVECA by AIFMs
European Social Entrepreneurship Funds Regulation (EuSEF) Regulation (EU) No 346/2013
Answered 2014-11-11
Management of EuSEF and EuVECA by AIFMs
European Social Entrepreneurship Funds Regulation (EuSEF) Regulation (EU) No 346/2013
Answered 2014-11-11
Organisational requirements (old CCP question 13 dated 21/05/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 26 of EMIR - old CCP question 13 dated 21/05/2014
Answered 2014-05-21
Risk Committee (old CCP question 20 dated 21/05/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 28 of EMIR - old CCP question 20 dated 21/05/2014
Answered 2014-05-21
Prudential Requirements (old CCP question 21 dated 21/05/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Guideline and Recommendation 3(b)(v) - old CCP question 21 dated 21/05/2014
Answered 2014-05-21
Management and marketing of AIFs by EuSEF and EuVECA managers
European Social Entrepreneurship Funds Regulation (EuSEF) Regulation (EU) No 346/2013
Answered 2014-03-26
Registration of EuSEF and EuVECA managers
European Social Entrepreneurship Funds Regulation (EuSEF) Regulation (EU) No 346/2013
Answered 2014-03-26
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-24
KIID Financial indices
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2014-03-20
Default Fund (old CCP question 12 dated 11/02/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 42 of EMIR - old CCP question 12 dated 11/02/2014
Answered 2014-02-11
Use of margins posted by non-defaulted Clearing Members (old CCP question 18 dated 11/02/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 45(4) of EMIR - old CCP question 18 dated 11/02/2014
Answered 2014-02-11
Transparency (old CCP question 16 dated 11/02/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 38 of EMIR - old CCP question 16 dated 11/02/2014
Answered 2014-02-11
Limited exposures of Clearing Members (old CCP question 17 dated 11/02/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Articles 43(3) and 48(2) of EMIR - old CCP question 17 dated 11/02/2014
Answered 2014-02-11
Application of the exemptions to Title IV of EMIR (old CCP question 19 dated 11/02/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 1 of EMIR - old CCP question 19 dated 11/02/2014
Answered 2014-02-11
Investment Policy (old CCP question 11 dated 11/02/2014)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 47 of EMIR - old CCP question 11 dated 11/02/2014
Answered 2014-02-11
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - exchange-traded derivatives and centrally-cleared OTC transactions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-12-01
Allocation of additional resources (old CCP question 15 dated 5/08/2013)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 35 RTS on CCPs - old CCP question 15 dated 5/08/2013
Answered 2013-08-05
Definitions (old CCP question 14 dated 5/08/2013)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 2 of EMIR - old CCP question 14 dated 5/08/2013
Answered 2013-08-05
Article 47 of EMIR – Deposit of financial instruments
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 47 of EMIR - old CCP question 4 dated 5/08/2013
Answered 2013-08-05
ESMA’s guidelines on ETFs and other UCITS issues - Secondary market
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-07-11
ESMA’s guidelines on ETFs and other UCITS issues - Information to be inserted in the prospectus
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-07-11
ESMA’s guidelines on ETFs and other UCITS issues - Information to be inserted in the prospectus UCITS
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-07-11
ESMA’s guidelines on ETFs and other UCITS issues - Secondary market
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-07-11
Outsourcing (old CCP question 10 dated 4/06/2013)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 14 of EMIR - old CCP question 10 dated 4/06/2013
Answered 2013-06-04
Capital (old CCP question 7 dated 4/06/2013)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 16 of EMIR - old CCP question 7 dated 4/06/2013
Answered 2013-06-04
Review of models, Stress-testing and back-testing (old CCP question 5 dated 20/03/2013)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 49 of EMIR - old CCP question 5 dated 20/03/2013
Answered 2013-03-20
Most relevant currencies for the determination of participation in a college (old CCP question 2 dated 20/03/2013)
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 18 of EMIR - old CCP question 1 dated 20/03/2013
Answered 2013-03-20
Most relevant currencies for the determination of participation in a college
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs · Art. Article 18 of EMIR - old CCP question 1 dated 20/03/2013
Answered 2013-03-20
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
ESMA’s guidelines on ETFs and other UCITS issues - Efficient portfolio management techniques
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
ESMA’s guidelines on ETFs and other UCITS issues - Efficient portfolio management techniques
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
ESMA’s guidelines on ETFs and other UCITS issues - UCITS ETF label
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
ESMA’s guidelines on ETFs and other UCITS issues - Efficient portfolio management techniques
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
KIID Transitional provisions
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2013-03-15
Uncovered Credit Default Swap - Differences in durations of the sovereign CDS position and the hedged exposure
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
ETFs
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Shares pledged as collateral
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
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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