Displaying 486 - 490 of 1569
ESMA_QA_1028
Topic
AIFMD scope
16/12/2022
Subject Matter
Scope
Question
Are managers of special purpose acquisition companies (“SPACs”) subject to the AIFMD?
Level 1 Regulation
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
ESMA_QA_632
Topic
* Transaction reporting
09/12/2022
Subject Matter
National identifier for stateless natural persons
Question
What ISO 3166-1 country code should trading venues and investment firms use to identify stateless natural persons for the purposes of transaction reports?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1500
Topic
Multilateral and bilateral systems
05/12/2022
Subject Matter
Multilateral and bilateral systems - Systematic internalisers
Question
Can an investment firm acting as single liquidity provider on an RM and/or an MTF, operate an SI?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1224
Topic
Settlement discipline - Other topics
15/11/2022
Subject Matter
Settlement fails
Question
By when should CSDs publish the information set out in Annex III of the RTS on settlement discipline, as referred to in Article 15 of the same RTS?
Level 1 Regulation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
ESMA_QA_1149
Topic
Prevention and detection of market abuse, including STORs
15/11/2022
Subject Matter
Persons professionally arranging or executing transactions
Question
Does the obligation to detect and report market abuse under Article 16(2) of MAR apply to investment firms under MiFID only or do UCITS management companies, AIFMD managers or firms professionally engaged in trading on own account also fall within the scope of that obligation?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity