Displaying 1166 - 1170 of 1543
ESMA_QA_1875
Topic
Alternative Performance Measures (APM)
12/07/2017
Subject Matter
Concept of Prominence; Paragraph 35 and 36 of the APM Guidelines.
Question
How should an issuer apply the principle of “prominence” as included in the APMs Guidelines?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_1876
Topic
Alternative Performance Measures (APM)
12/07/2017
Subject Matter
Compliance by reference; Paragraph 45 and 46 of the APMs Guidelines (not applicable to prospectuses which are covered by a separate regime).
Question
What are the limits for the compliance by reference principle included in paragraph 45 of the APMs Guidelines?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_1877
Topic
Alternative Performance Measures (APM)
12/07/2017
Subject Matter
Definition of an APM; Paragraph 17 to 19 and 24 of the APMs Guidelines.
Question
Is ‘result of operating activities’ an APM for the purpose of the APMs Guidelines?
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC
ESMA_QA_1778
Topic
Recording of telephone conversations and electronic communications
10/07/2017
Subject Matter
Recording of telephone conversations and electronic communications
Question
Do the record keeping requirements set out in Article 16(7) of MiFID II apply only when, through a given channel, the execution and transmission of the order is allowed in addition to the reception and transmission of the order?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1055
Topic
Best Execution
10/07/2017
Subject Matter
Best Execution
Question
Do the RTS 27 reporting requirements apply to Securities Financing Transactions (SFTs)?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries