ESMA_QA_1807
Topic
Reporting to clients
06/06/2017
Subject Matter
Post-sale reporting
Question
When fulfilling the obligation to report on a portfolio depreciating by the 10% threshold, on what basis should a firm calculate the 10% threshold? Should a firm continue to refer to the value of the portfolio at the beginning of the reporting period or refer to the portfolio value at the previous value that triggered the reporting obligation?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1806
Topic
Reporting to clients
06/06/2017
Subject Matter
Post-sale reporting
Question
How should a firm fulfil the obligation under Article 62 if a firm’s reporting period commences after the introduction of MiFID 2 on 3 January 2018?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1805
Topic
Reporting to clients
06/06/2017
Subject Matter
Post-sale reporting
Question
When fulfilling the obligation to report on a portfolio depreciating by the 10% threshold, how should a firm value on a daily basis, as requested by the answer to question 1, financial instruments within the portfolio for which there is no secondary market or daily price reference?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1804
Topic
Reporting to clients
06/06/2017
Subject Matter
Post-sale reporting
Question
When fulfilling the obligation to report on a portfolio depreciating by the 10% threshold, how should the firm take account of a client making additions to the portfolio after the reporting period has started?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1238
Topic
CSDR questions - Other topics
02/06/2017
Subject Matter
Access to CSDs
Question
Article 49(2) of CSDR provides that a CSD shall provide a response to an access request from an issuer within three months. If the CSD asks the requesting issuer for additional information, does it automatically entail an extension of the three-month period?
Level 1 Regulation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR