ESMA_QA_1556
Topic
Equity transparency
03/04/2017
Subject Matter
Trading obligation for shares
Question
a) Are primary market transactions, block trades and share buy-backs subject to the trading obligation for shares?
b) Are accelerated book-building transactions subject to the trading obligation for shares?
c) Are an acquisition or disposal of shares made under employee share incentive plans subject to trading obligation for shares?
d) Are share purchases/sales carried out exclusively to manage operational errors subject to the trading obligation for shares?
e) Are sales and purchases of “odd lot shares” (e.g. a quantity of shares which is not a multiple of the minimum lot) as a result of a corporate action subject to the trading obligation for shares?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
ESMA_QA_1551
Topic
Equity transparency
03/04/2017
Subject Matter
Transparency - pre-trade quote publication and ISIN
Question
Does an ISIN need to be included for pre-trade quote publication?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
ESMA_QA_1550
Topic
Equity transparency
03/04/2017
Subject Matter
Transparency - OTC transactions reported to APA - outsourcing post-transparency reporting requirement
Question
In the case of OTC transactions that are reported to an APA by the investment firm selling the financial instrument, is it possible for the investment firm to outsource the post-transparency reporting requirement?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
ESMA_QA_1548
Topic
Equity transparency
03/04/2017
Subject Matter
Transparency - Trading venues
Question
Do trading venues have to make available their arrangements covering asset classes beyond their current business?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
ESMA_QA_1228
Topic
General questions - Other topics
31/03/2017
Subject Matter
Additional national requirements
Question
Can Member States set additional requirements for CSDs to those set out in CSDR under national legislation?
Level 1 Regulation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR