Displaying 1186 - 1190 of 1543
ESMA_QA_1529
Topic
Position reporting
07/07/2017
Subject Matter
Position reporting
Question
At what level should Asset Managers aggregate positions? Is this to be done at group level or a lower level (e.g. fund/legal entity identifier etc.)?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1528
Topic
Position reporting
07/07/2017
Subject Matter
Position reporting
Question
Should investment firms include positions traded on a trading venue and economically equivalent OTC contracts in position reports under Article 58(2) of MiFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1526
Topic
Position reporting
07/07/2017
Subject Matter
Position reporting
Question
How should investment firms report the positions in commodity derivatives of persons who receive investment or ancillary services from a non-investment firm that is an “end client” of the investment firm?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1660
Topic
Multilateral and bilateral systems
07/07/2017
Subject Matter
Systematic internaliser
Question
Should a system providing quote streaming and order execution services to multiple SIs be authorised as a multilateral system?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1525
Topic
Position reporting
07/07/2017
Subject Matter
Positions held by an investment firm on behalf of their clients
Question
Do positions held by an investment firm on behalf of their clients add to the investment firm’s own positions?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets