ESMA_QA_1722
Topic
Inside information, public disclosure and delayed disclosure of inside information
01/10/2018
Subject Matter
Delayed disclosure of inside information under Article 17(5) of MAR: assessment of the relevant conditions
Question
When issuers that are credit/financial institutions or parent undertakings of such institutions intend to delay disclosure of inside information under Article 17(5) of MAR, what are the elements they should consider in their assessment of the conditions therein contained?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
ESMA_QA_1990
Topic
Product intervention
28/09/2018
Subject Matter
Rolling spot forex
Question
Do ESMA’s product intervention measures in relation to CFDs (in the CFD Decision) also apply to rolling spot forex?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1695
Topic
ESMA70-1861941480-56 Questions and Answers on MiFIR reporting
26/09/2018
Subject Matter
FX Swaps reporting
Question
How should a transaction in an FX swap admitted to trading on a trading venue or traded on a trading venue be reported under Article 26 and Article 27 of MiFIR?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1691
Topic
ESMA70-1861941480-56 Questions and Answers on MiFIR reporting
26/09/2018
Subject Matter
Field 14 and Field 17 – Total issued nominal amount
Question
In the case of Bonds or other forms of securitised debt, what should be reported in Commission Delegated Regulation (EU) 2017/585 Annex Table 3 Field 14 (Total issued nominal amount) if the total nominal amount changes? Similarly, what should be reported in Commission Delegated Regulation (EU) 2017/585 Annex Table 3 Field 17 (Nominal value per unit/minimum traded value) if nominal value per unit/minimum traded value changes?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1156
Topic
Settlement discipline - Cash penalties: process
26/09/2018
Subject Matter
Cash penalties: joint penalty mechanism
Question
(a) When CSDs use a common settlement infrastructure, which part of the penalty mechanism should be jointly managed? Can such CSDs use multiple service providers to operate the penalty mechanism?
(b) Is the use of a common framework or rulebook sufficient in order to satisfy the requirement for a joint establishment and joint management of the cash penalty mechanism under Article 20 of the RTS on Settlement Discipline?
Level 1 Regulation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR