Displaying 1241 - 1245 of 1476
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
ESMA_QA_1792
Topic
Inducements (research)
16/12/2016
Subject Matter
Inducements
Question
Can investment firms accept research from third country providers that are not subject to the MiFID II requirements?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1791
Topic
Inducements (research)
16/12/2016
Subject Matter
Inducements
Question
How should an investment firm deal with unrequested research that is provided free of charge?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1041
Topic
Best Execution
16/12/2016
Subject Matter
Best Execution
Question
Where RTS 28 Article 3(3) requires a summary of the analysis and conclusions from a firm’s execution monitoring, does this require a separate summary for each class of financial instruments, or would it suffice to provide a consolidated summary covering all classes of financial instruments?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1039
Topic
Best Execution
16/12/2016
Subject Matter
Best Execution
Question
Where RTS 27 (Article 5) requires a venue to disclose costs, can this report be aggregated and presented as venue-level information?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries