Displaying 976 - 980 of 1476
ESMA_QA_1978
Topic
Product intervention
01/06/2018
Subject Matter
Existing contracts
Question
How should firms apply these restrictions to existing retail client accounts with open CFD contracts and binary option contracts entered into prior to the date of entry into application?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1657
Topic
Multilateral and bilateral systems
29/05/2018
Subject Matter
Organized Trading facilities OTFs
Question
Can an OTF arrange or trade strategies including an equity leg?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1555
Topic
Equity transparency
29/05/2018
Subject Matter
Transparency - voice trading systems
Question
How should voice trading systems apply the pre-trade transparency requirements of Article 8 of MiFIR?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- Secondary Markets
ESMA_QA_1950
Topic
Uncovered short sales
28/05/2018
Subject Matter
Easy-to-borrow list and locate arrangement
Question
Is it permitted - in the context of Article 12, first paragraph, (c) of the Regulation - to meet the requirement to have a locate arrangement by simply referring to an existing “easy-to-borrow or purchase list”?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
ESMA_QA_1852
Topic
Client categorisation
25/05/2018
Subject Matter
Client categorisation
Question
How should leveraged financial instruments be taken into account in order to assess the size of a client’s financial instrument portfolio in accordance with the second limb of the fifth paragraph of Section II.1 of Annex II of MiFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries