Displaying 1206 - 1210 of 1445
ESMA_QA_1597
Topic
Direct Electronic Access and algorithmic trading
19/12/2016
Subject Matter
Algorithmic trading
Question
Does a simple algorithm qualify as algorithmic trading?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1629
Topic
Tick size regime
19/12/2016
Subject Matter
Order book - Tick size regime
Question
What happens to orders remaining on the order book at the moment the tick size increases?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1763
Topic
Suitability
16/12/2016
Subject Matter
Suitability and appropriateness
Question
Where a firm is subject to several record keeping and documentation obligations in connection with the provision of investment advice, is the firm required to draft distinct documents or would one document containing the requirements of all of these different documents be sufficient?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1794
Topic
Inducements (research)
16/12/2016
Subject Matter
Inducements
Question
In what circumstances should material received by a firm providing independent investment advice or portfolio management services be considered a minor non-monetary benefit under Article 12(3) of the MiFID II Delegated Directive rather than research?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1793
Topic
Inducements
16/12/2016
Subject Matter
Inducements
Question
What approach should a firm take to research provided from another group entity?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries