Displaying 961 - 965 of 1476
ESMA_QA_1989
Topic
Product intervention
30/07/2018
Subject Matter
Structured finance products
Question
Are structured finance products within the scope of the BO Decision or the CFD Decision?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1988
Topic
Product intervention
30/07/2018
Subject Matter
Securitised derivatives
Question
Are turbo certificates within the scope of the CFD Decision?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1800
Topic
Inducements (research)
12/07/2018
Subject Matter
Inducements
Question
Is a free trial period of research services acceptable when it is provided in relation to portfolio management or advice on an independent basis?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1576
Topic
Double volume cap
12/07/2018
Subject Matter
DVC and corporate actions
Question
In case of a corporate action where a traded ISIN is replaced with a new ISIN, how will the new ISIN be treated for the purposes of the SVC?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
ESMA_QA_1864
Topic
Provision of investment services and activities by third country firms
12/07/2018
Subject Matter
Provision of investment services and activities by third country firms
Question
What are practical examples of investment products belonging to different categories within the meaning of Article 42 of MiFID II and Article 46 of MiFIR and Q&A 2 [Q&A 1863] (see above)?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries