Displaying 1186 - 1190 of 1445
ESMA_QA_1671
Topic
ESMA70-1861941480-56 Questions and Answers on MiFIR reporting
20/12/2016
Subject Matter
LEI of the issuer
Question
In case the Issuer LEI code is missing but the Ultimate Parent Code LEI is available, can the latter one be used at least for a to-be-specified grace period?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1670
Topic
ESMA70-1861941480-56 Questions and Answers on MiFIR reporting
20/12/2016
Subject Matter
LEI of the issuer
Question
When can an operator of trading venue(s) and systematic internaliser(s) populate field 5 of Table 3 of the Annex to RTS 23 and related MAR RTS and ITS with its own LEI?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
ESMA_QA_1669
Topic
ESMA70-1861941480-56 Questions and Answers on MiFIR reporting
20/12/2016
Subject Matter
LEI of the issuer
Question
What action should be taken by the operator of the trading venue or the systematic internaliser in the cases where the LEI of the issuer cannot be obtained?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
ESMA_QA_1744
Topic
Investment recommendations and statistics and disclosure of information on the media
20/12/2016
Subject Matter
Identification of derivatives in investment recommendations
Question
Where a recommendation relates to a derivative, how should it be determined whether a recommendation has been given on the same financial instrument, for the purposes of complying with Article 4(1)(h) of Commission Delegated Regulation (EU) 2016/958?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
ESMA_QA_1743
Topic
Investment recommendations and statistics and disclosure of information on the media
20/12/2016
Subject Matter
Recommendation on derivatives traded solely outside a trading venue
Question
Are recommendations relating to derivatives traded solely outside a trading venue in scope of Article 20 of MAR?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity