EU Financial Regulatory Q&A Database

Official Q&As published by EBA, ESMA, EIOPA and the ESA Joint Committee. Non-binding but treated as authoritative guidance by national competent authorities across the EU.

EBA 4,397 ESMA 1,523 EIOPA 2,635 Joint Committee 256

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7,361 Q&As matching current filters · page 116 of 148

Recommendation on derivatives traded solely outside a trading venue

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2016-12-20

Communications on previously disseminated investment recommendations

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2016-12-20

Notification of shares received as part of remuneration package

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2016-12-20

Communications containing purely factual information

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2016-12-20

Applicability of ESMA’s Guidelines on Alternative Performance Measures (APMs) to prospectuses comprising documents published before and on/after 3 July 2016

Transparency Directive (TD) Directive 2004/109/EC

ESMA Answer Published

Answered 2016-12-20

Threshold calculation

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2016-12-20

Price of gifts, donation and inheritance

Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity

ESMA Answer Published

Answered 2016-12-20

Date and time of the request of admission and admission

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

Answered 2016-12-20

Date and time of the request of admission and admission

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

Answered 2016-12-20

Date and time of the request of admission and admission

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

Answered 2016-12-20

LEI of the issuer

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

Answered 2016-12-20

LEI of the issuer

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP

ESMA Answer Published

Answered 2016-12-20

LEI of the issuer

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

ESMA Answer Published

Answered 2016-12-20

Does trading activity in C6 contracts which takes place on OTFs after 3 January 2018 need to be counted towards the ancillary thresholds prior to that date?

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Authorisation for dealing in commodity derivatives

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Position limits - net positions held by clearing members

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Non-EU entities above position limits

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Economically Equivalent OTC contracts

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Applicability of position limits

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Automated Order Router (AOR) and algorithmic trading

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Algorithmic trading

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Algorithmic trading

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

Order book - Tick size regime

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets

ESMA Answer Published

Answered 2016-12-19

disclosure of cost on return

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best Execution

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best Execution

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best Execution

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best Execution

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best Execution

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Underwriting and placing

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Underwriting and placing

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Underwriting and placing

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Suitability and appropriateness

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best Execution

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Best execution

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Inducements

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Post-sale reporting

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries

ESMA Answer Published

Answered 2016-12-16

Supplementary transfers when using the sale of business tool

Directive 2014/59/EU (BRRD) · Art. 38

EBA Final Q&A

Answered 2016-12-16

Implementation of the exemption from bail in for “liabilities” in a fiduciary context ((Article 44(2)(d)) BRRD)

Directive 2014/59/EU (BRRD) · Art. 44

EBA Final Q&A

Answered 2016-12-09

Calculation of the predetermined amount for market making purposes

Regulation (EU) No 575/2013 (CRR) · Art. 78

EBA Final Q&A

Answered 2016-12-09

Source: EBA Single Rulebook Q&A, ESMA Q&A, EIOPA Q&A, ESA Joint Q&As. Updated weekly. Q&As are non-binding guidance.

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