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 28 of 28 · View all sources
Third country branches
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Date and time of first notification and/or publication
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Application outside the EU and to non-EU persons
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Shares received under a bonus share issue or a share dividend distribution
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Share dividend distribution and lending agreements
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Publication of late submission of disclosable net short positions
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Late publication of a timely submission of a disclosable net short position
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Covering a short sale with an agreement entered into by another legal entity of the same group
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Enforcement - Sanctioning of violations
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Umbrella structures and master feeder structures
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Shares - Restriction on uncovered short sales in shares and instruments giving claims to as yet unissued shares (subscription rights, convertible bonds)
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Sovereign debt securities in foreign currency
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Late submissions of notifications, cancellations or modifications of net short positions
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Covering of a short sale on sovereign debt with a repo contract
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Sovereign debt - Market operators considered as third parties with whom arrangements can be made
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Identification of the UCITS
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Preparation of KIID by UCITS that are no longer marketed to the public or by UCITS in liquidation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Preparation of KIID by UCITS that are no longer marketed to the public or by UCITS in liquidation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Preparation of KIID by UCITS that are no longer marketed to the public or by UCITS in liquidation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Clear language - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Communication of KIID to investors
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Treatment of UCITS with share or unit classes
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Clear language - KIID
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-09-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Hedging strategies
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Hedging strategies
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Hedging strategies
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Disclosure of leverage
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Disclosure of leverage
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Concentration rules
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS - Fund of funds
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2012-07-01
Designation of an agent for the exercise of financial rights; TD Art. 17 and 18
Transparency Directive (TD) Directive 2004/109/EC
Answered 2011-02-25
Major shareholding notification – acquisition of a shareholder; TD Art. 9(1)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2009-10-27
Disclosure of major holdings in case of joint investors' account; TD Art. 9 and 10
Transparency Directive (TD) Directive 2004/109/EC
Answered 2009-10-27
Class by class disclosure; TD Art. 9(1)
Transparency Directive (TD) Directive 2004/109/EC
Answered 2009-04-30
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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