ESMA_QA_1237
Topic
CSDR questions - Other topics
02/10/2017
Subject Matter
Provision of banking-type ancillary services
Question
(a) Which are the participants’ competent authorities responsible for the supervision of the participants of the CSD that are established in the three Member States with the largest settlement values in the CSD’s securities settlement system pursuant to Article 55(4)(e) of
CSDR?

(b) How should the values referred to in Article 54(5) of CSDR be calculated?

(c) Article 55(4)(e) of CSDR requires the competent authority of a CSD to calculate the settlement values of each participant of that CSD over a one-year period and to aggregate them by Member State in order to identify the top three Member States. How should those settlement values be determined?
Level 1 Regulation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR
ESMA_QA_1721
Topic
Inside information, public disclosure and delayed disclosure of inside information
29/09/2017
Subject Matter
Delayed inside information that lost the feature of the price sensitivity
Question
How should an issuer deal with a situation where it has delayed a disclosure of inside information in accordance with Article 17(4) of MAR and, due to subsequent circumstances, that information loses the element of price sensitivity and therefore its inside nature?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
ESMA_QA_1664
Topic
Access to CCPs and trading venues
12/09/2017
Subject Matter
Access rights to venues trading for CCP with links with tradibg venue which opted out the access provisions for ETDs
Question
In case that a trading venue which opted-out the access provisions for ETDs under Article 36(5) MiFIR maintains close links with a CCP, is that CCP prevented from having access rights to venues trading any ETD?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1663
Topic
Access to CCPs and trading venues
12/09/2017
Subject Matter
Trading venue and exemption
Question
In which cases should a trading venue apply for an exemption foreseen in Articles 36(5) or Article 54(2) of MiFIR?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1150
Topic
Insider dealing and legitimate behaviour, including market soundings
01/09/2017
Subject Matter
Financial instruments in scope of the market sounding regime
Question
What are the financial instruments in the scope of Article 11 of MAR on market sounding?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity