Displaying 481 - 485 of 1581
ESMA_QA_662
Topic
Provision of investment services and activities by third country firms
18/01/2023
Subject Matter
Conditions for branches of third country credit institutions registered at ESMA as MIFID investment firms to service per se professional clients and eligible counterparties within the EU
Question
ESMA is requested to provide interpretation on whether:
— it is appropriate that the Home Member State Authority of these Branches registered as MIFID investment firms expects them to comply with the complete set of legislation regime of MiFID2, MIFIR and EMIR in the same way as any investment firm in the legal form of an EU credit institution;
— these Branches registered as MIFID investment firms may freely provide cross-border investment services to per se professional clients and eligible counterparties in an EU Member State different from their Home Member State based on their investment license issued by their Home Member state, subject to complying with the notification requirements described in paragraph 2 of Article 34 of MIFID2.
Level 1 Regulation
Directive 2014/65/EU - Markets in Financial Instruments Directive (MiFID II)
ESMA_QA_661
Topic
EU-CCPs
13/01/2023
Subject Matter
Collateral requirements and recording of client assets (old CCP question 2 dated 20/03/2013)
Question
What is the requirement on a CCP for the recording of financial instruments posted to it as margins, default fund contributions or contributions to other financial resources? Is it possible for a CCP to record the value assigned to financial instruments post-haircut?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_833
Topic
Information to clients on topics other than costs and charges
16/12/2022
Subject Matter
Authorisation and supervision of CSPs
Question
Can a CSP use several trading names?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_832
Topic
Control functions (Compliance, Risk and Audit)
16/12/2022
Subject Matter
Authorisation and supervision of CSPs
Question
Can a legal person with a single member of the management body be authorised as a crowdfunding service provider?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_831
Topic
Information to clients on topics other than costs and charges
16/12/2022
Subject Matter
Investor protection and marketing communication
Question
Can the marketing effort of a CSP focus on a specific project or a specific category of projects?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business