Displaying 526 - 530 of 1581
ESMA_QA_1284
Topic
Position limits
23/09/2022
Subject Matter
Position limits on a trading venue or EEOTC
Question
Do position limits also apply to positions in contracts that have been entered into prior to 3 January 2018 and are traded on a trading venue, including an OTF, or are economically equivalent OTC contracts (EEOTC) to those traded on a trading venue?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1282
Topic
Position limits
23/09/2022
Subject Matter
Intercommodity spread or diff contracts
Question
How are position limits applied to intercommodity ‘spread’ or ‘diff’ contracts?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_810
Topic
Control functions (Compliance, Risk and Audit)
23/09/2022
Subject Matter
General provisions
Question
Does an entity solely offering its own project through a publicly available information system on the Internet need to be authorised as a crowdfunding service provider?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_809
Topic
Underwriting and placing
23/09/2022
Subject Matter
General provisions
Question
Can a CSP offer a crowdfunding project to a sole investor?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_808
Topic
Control functions (Compliance, Risk and Audit)
23/09/2022
Subject Matter
General provisions
Question
Can a CSP operate or manage a non-internet based crowdfunding platform?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business