ESMA_QA_791
Topic
DLT financial instruments
03/02/2023
Subject Matter
Transparency
Question
Which identification code should be provided by trading venues, investment firms and approved publication arrangements (APA) in the reporting fields for the purpose of the post-trade transparency obligations under RTS 1 and RTS 2 in the context of DLT instruments?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_789
Topic
DLT financial instruments
03/02/2023
Subject Matter
Financial Instruments Reference Data
Question
How should Field 5 of RTS 23 “Issuer or operator of the trading venue identifier” be populated for DLT financial instruments within Article 3(1)(a) and (b) DLTR that are exclusively created on the DLT and do not represent a previously issued financial instrument?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_788
Topic
DLT multilateral trading facility (DLT MTF)
03/02/2023
Subject Matter
Financial Instruments Reference Data
Question
How should Field 5 of RTS 23 “Issuer or operator of the trading venue identifier” be populated for DLT financial instruments that are the digital representation of a previously issued financial instrument?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_835
Topic
Public offer
03/02/2023
Subject Matter
Purchase via joint account
Question
Article 1(4)(d) of the prospectus regulation states:

"The obligation to publish a prospectus set out in Article 3(1) shall not apply to any of the following types of offers of securities to the public: ...(d) an offer of securities addressed to investors who acquire securities for a total consideration of at least EUR 100 000 per investor, for each separate offer;"

May the purchase of securities by a joint account be considered as "one investor"? Let us assume that, in the context of an offer, a purchase for EUR 100,000 is executed for a joint account held by husband and wife. In such case, is the above mentioned condition of "at least EUR 100 000 per investor" still complied with?
Level 1 Regulation
Prospectus Regulation 2017/1129
ESMA_QA_955
Topic
Disclosures
03/02/2023
Subject Matter
Issuer concentration
Question
Article 52(1)(b) of the UCITS Directive requires a UCITS not to invest more than 20% of its assets in deposits made with the same body. Does the term “body” referred to in the aforementioned article mean “credit institution” as mentioned in Article 50(1)(f) of the UCITS Directive or does it include also any other counterparty which is not a credit institution?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC