ESMA_QA_1705
Topic
* Transaction reporting
05/10/2017
Subject Matter
Transaction reporting
Question
In the case of a transaction on an OTC derivative contract (MIC code-field 36 = “XXXX”. These are all derivatives falling under MiFIR Article 26(2)(b) and (c).), what is expected in the transaction report when any of the following characteristics of that contract is changed: fields 50 to 56 of annex 2 of CDR 2017/590?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1545
Topic
Position management controls
04/10/2017
Subject Matter
Position management controls
Question
Are position management controls required to play a role in the application of position limits applied by NCAs according to Article 57(1) MiFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1524
Topic
Ancillary activity
04/10/2017
Subject Matter
C(10) category and ancillary activity calculations
Question
How should various underlyings falling under the C(10) category be treated for the purpose of ancillary activity calculations?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1847
Topic
Client categorisation
03/10/2017
Subject Matter
Client categorisation
Question
Are investment firms required to inform of their MiFID categorisation all their clients, including those already categorised under MIFID I, or should they just provide such information to new clients or to clients which categorisation has changed under MIFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1833
Topic
Information to clients on costs and charges
03/10/2017
Subject Matter
Information on cost and charges
Question
At what date should investment firms send their first annual ex-post information to their clients?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries