ESMA_QA_836
Topic
Public offer
12/10/2022
Subject Matter
Prospectus exemption in connection with a takeover by means of an exchange offer
Question
What is the meaning of ‘approval’, as referred to in Article 1(6a), point (b), of Regulation (EU) 2017/1129? Is it an approval which follows a process similar to that envisaged in Commission Delegated Regulation (EU) 2019/980 for prospectuses, or an approval which follows the process applied by relevant national supervisory authorities under Directive 2004/25/EC?
Level 1 Regulation
Prospectus Regulation 2017/1129
ESMA_QA_603
Topic
* Transaction reporting
06/10/2022
Subject Matter
Concept of underlying - reverse convertible bonds and reverse convertible notes
Question
Does the concept of an underlying for the purposes of Article 26(2)(b) of MiFIR extend to convertible bonds, reverse convertible bonds and reverse convertible notes?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1546
Topic
Third country issues
23/09/2022
Subject Matter
Third country issues
Question
Should economically equivalent contracts traded on a third-country venue be considered EEOTC for position limit and position reporting purposes under MiFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_828
Topic
Information to clients on topics other than costs and charges
23/09/2022
Subject Matter
Investor protection and marketing communication
Question
Can an entity linked to a crowdfunding service provider by control as defined in point (35)(b) of Article 4(1) of Directive 2014/65/EU take or have a participation in an offer on the crowdfunding platforms managed by the crowdfunding service provider?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_1544
Topic
Position reporting
23/09/2022
Subject Matter
Position reporting
Question
Which types of firm fall within each of the ITS 4 categories for the purposes of the weekly Commitment of Trader (CoT) reports?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets