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 8 of 28 · View all sources
Issuer concentration
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2023-02-01
Issuer concentration
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
Answered 2023-02-01
Transaction reporting
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. MiFID RTS 22
Answered 2022-12-16
Financial Instruments Reference Data
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. RTS 23
Answered 2022-12-16
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-12-16
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-12-16
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business · Art. Article 1(2) ECSPR
Answered 2022-12-16
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-12-16
Authorisation and supervision of CSPs
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-12-16
Authorisation and supervision of CSPs
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-12-16
Transaction reporting
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. MiFID RTS 22
Answered 2022-12-16
Cancellations and corrections
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. MiFID RTS 22
Answered 2022-12-16
Transaction reporting
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. Article 26 RTS 22
Answered 2022-12-16
Financial Instruments Reference Data
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. RTS 23
Answered 2022-12-16
Transaction reporting
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. MiFID RTS 22
Answered 2022-12-16
DLT MTF
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. RTS 24
Answered 2022-12-16
Scope
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
Answered 2022-12-16
Transaction reporting
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR) · Art. MiFID RTS 22
Answered 2022-12-16
Multilateral and bilateral systems - Systematic internalisers
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-12-16
Persons professionally arranging or executing transactions
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
Answered 2022-11-15
Settlement fails
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2022-11-15
Cash penalties: calculation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2022-10-18
Cash penalties: costs and process
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2022-10-18
Cash penalties: scope
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
Answered 2022-10-18
Prospectus exemption in connection with a takeover by means of an exchange offer
Prospectus Regulation 2017/1129
Answered 2022-10-12
Agricultural contracts
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Scope of the ancillary activity test
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Third country issues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Position limits - the definition of "a lot"
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Direct Electronic Access (DEA) and algorithmic trading - Trading venues
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Position limits for options and futures
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Securitised derivatives
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Art 57(1) and 58(1) of MiFID II
Answered 2022-09-23
Intercommodity spread or diff contracts
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Various underlyings listed in Annex I, Section C(10) of MIFID II?
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Position limits on a trading venue or EEOTC
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Position reporting
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Investor protection and marketing communication
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Hedge exemption
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
Simplified approach for regulatory capital requirements
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
Answered 2022-09-23
Calculation of denominator
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
General provisions
Regulation 2020/1503 - European crowdfunding service providers for business
Answered 2022-09-23
Positions with different maturities
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
Answered 2022-09-23
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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