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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141 Q&As matching current filters · page 2 of 3

Incentives to be provided under stressed market conditions by the trading venues

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

ESMA Answer Published

Answered 2018-10-04

Market making agreement for payment received from a trading venue

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

ESMA Answer Published

Answered 2018-10-04

Can a market operator or an investment firm operating an MTF apply for a single segment of the MTF to be registered as an SME growth market?

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

ESMA Answer Published

Answered 2018-10-04

Organized Trading facilities OTFs

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

ESMA Answer Published

Answered 2018-05-29

ADNT - Liquidity band

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

ESMA Answer Published

Answered 2018-03-28

Scope of the trading obligation for interest rate derivatives

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

ESMA Answer Published

Answered 2018-03-28

Control access to the fee and other information by trading venue

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

ESMA Answer Published

Answered 2018-03-28

Systematic internaliser

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

ESMA Answer Published

Answered 2018-03-28

Application of MiFID II after 3 January 2018, including issues of ‘late transposition’

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

ESMA Answer Published

Answered 2017-12-18

Position reporting

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

ESMA Answer Published

Answered 2017-12-15

Position reporting

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

ESMA Answer Published

Answered 2017-12-15

Position reporting

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

ESMA Answer Published

Answered 2017-12-15

Position reporting

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

ESMA Answer Published

Answered 2017-12-15

Spot month

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

ESMA Answer Published

Answered 2017-12-15

Client relationship between two counterparties that trade on a trading venue

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

ESMA Answer Published

Answered 2017-11-15

EU trading venue through sub-delegated DEA and exemption offered under Article 2(1)(d) of MiFID II

Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets · Art. Regulation 2017/584- RTS on organisational requirements for trading venues (RTS 7)

ESMA Answer Published

Answered 2017-11-15

Authorisation as an investment firm under MiFID II to provide DEA to an EU trading venue

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

ESMA Answer Published

Answered 2017-11-15

Timeline for approving connections to ARMs to NCAs

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

ESMA Answer Published

Answered 2017-11-15

Mandatory tick size regime for orders and quotes

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

ESMA Answer Published

Answered 2017-11-15

Position reporting

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

ESMA Answer Published

Answered 2017-11-13

Position reporting

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

ESMA Answer Published

Answered 2017-11-13

Position reporting

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

ESMA Answer Published

Answered 2017-11-13

Position reporting

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

ESMA Answer Published

Answered 2017-11-13

Position reporting

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

ESMA Answer Published

Answered 2017-11-13

C(10) category and ancillary activity calculations

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

ESMA Answer Published

Answered 2017-10-04

Position management controls

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

ESMA Answer Published

Answered 2017-10-04

Organized Trading facilities OTFs

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

ESMA Answer Published

Answered 2017-10-03

Organized Trading facilities OTFs

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

ESMA Answer Published

Answered 2017-10-03

Organized Trading facilities OTFs

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

ESMA Answer Published

Answered 2017-10-03

Systematic internaliser

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

ESMA Answer Published

Answered 2017-10-03

Suitability checks and controls of DEA provider

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

ESMA Answer Published

Answered 2017-10-03

Tick size regime - In case of simultaneous dual listing

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

ESMA Answer Published

Answered 2017-10-03

Direct Electronic Access (DEA) and algorithmic trading

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

ESMA Answer Published

Answered 2017-07-07

Transparent and non-discriminatory rules

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

ESMA Answer Published

Answered 2017-07-07

Under which circumstances a trading venue may cancel, vary or correct a transaction?

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

ESMA Answer Published

Answered 2017-07-07

Trading venues - maximum bid-ask ranges for all instruments traded on venues or only for instruments with market making scheme

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

ESMA Answer Published

Answered 2017-07-07

Order to Trade Ratio (OTR)

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

ESMA Answer Published

Answered 2017-07-07

Trading venues - OTRs

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

ESMA Answer Published

Answered 2017-07-07

Kill functionality

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

ESMA Answer Published

Answered 2017-07-07

Position reporting

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

ESMA Answer Published

Answered 2017-07-07

CCP - novation trade acceptance model

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

ESMA Answer Published

Answered 2017-07-07

Position reporting

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

ESMA Answer Published

Answered 2017-07-07

Record-keeping obligations of HFT firms - non-algorithmic trading desks

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

ESMA Answer Published

Answered 2017-07-07

Position reporting

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

ESMA Answer Published

Answered 2017-07-07

Position reporting

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

ESMA Answer Published

Answered 2017-07-07

Position reporting

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

ESMA Answer Published

Answered 2017-07-07

Systematic internaliser

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

ESMA Answer Published

Answered 2017-07-07

Positions held by an investment firm on behalf of their clients

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

ESMA Answer Published

Answered 2017-07-07

NFE application of a trading venue for position limit exemption

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

ESMA Answer Published

Answered 2017-07-07

Unauthorised person as an investment firm meeting the requirements of Article 53(3) of MiFID II being a member or participant of a regulated market or an MTF

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

ESMA Answer Published

Answered 2017-07-07

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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