ESMA_QA_848
Topic
EU-CCPs
27/04/2023
Subject Matter
Most relevant currencies for the determination of participation in a college
Question
Which are the criteria to be used by a new entity that applies for authorisation as a CCP, if the respective entity has not performed any clearing activities before?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_849
Topic
EU-CCPs
27/04/2023
Subject Matter
Most relevant currencies for the determination of participation in a college (old CCP question 2 dated 20/03/2013)
Question
Which are the criteria to be used by a new entity that applies for authorisation as a CCP, if the respective entity has not performed any clearing activities before?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_847
Topic
* EMIR Reporting
27/04/2023
Subject Matter
Interpretation of "emission allowances" under C(4)
Question
Does the financial instruments in Annex I, section C(4) include derivatives on emission allowances not recognized under the EU ETS, thus making these reportable under EMIR?

Specific example: Derivatives on UKAs, recognized under UK ETS.
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
ESMA_QA_777
Topic
Insider lists
19/04/2023
Subject Matter
Information to be included into insider list of the issuer on persons that are subject to independent obligation to manage insider list (e.g. advisors and consultants)
Question
As certain persons have an independent obligations to draw up and manage insider list of the issuer (e.g. advisors, consultants, credit agency) under Article 18(1) of MAR, what information should be reflected in the insider list of the issuer: (i) all required information under insider list template for a contact person of such third party, in addition in the field "function and reason for being insider" indicating that this is only a contact person of third party that has independent obligation to draw-up and manage independent insider list, or (ii) with deviation from template of insider list, name and contact details of such company itself, omitting certain fields, such as name, surname, birth surname.
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
ESMA_QA_770
Topic
DLT Pilot Regime
14/04/2023
Subject Matter
Capital requirements
Question
What are the capital requirements for a DLT TSS operated by: a) an investment firm; b) a credit institution; c) a CSD?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)