Subject Matter
Use of Special Purpose Vehicles
Question
Can a CSP hold a participation in a SPV?
Level 1 Regulation
Subject Matter
Use of Special Purpose Vehicles
Question
When should an entity be considered as an SPV within the meaning of point (q) of Article 2(1)
of the ECSPR ?
of the ECSPR ?
Level 1 Regulation
Subject Matter
Integration of sustainability within the MiFID II product governance requirements
Question
When conducting the negative target market assessment for a product that does not consider sustainability factors, should a firm also consider any clients’ sustainability-related objectives the product is not compatible with?
Subject Matter
Scope of Article 3(1)(b) of DLTR
Question
How should the following provision in Art. 3(1)(b) of DLTR (on the admissibility of bonds and other forms of securitised debt) be understood: “[…] excluding those that embed a derivative or incorporate a structure which makes it difficult for the client to understand the risk involved […]”?
Level 1 Regulation
Subject Matter
Exemptions for DLT SS/TSS operators on cash settlement
Question
For a DLT SS/TSS operator benefitting from the exemption in Art. 5(8) of DLTR, is it possible for them to settle payments using e-money tokens (EMTs) issued by the DLT SS/TSS operator itself or by an e-money institution (as opposed to only settling payments with EMTs issued by a credit institution)?
Level 1 Regulation