Displaying 211 - 215 of 1467
ESMA_QA_2046
Topic
DLT market infrastructure
18/12/2023
Subject Matter
Eligibility for operating a DLT SS under the DLT Pilot Regime
Question
Who can be the operator of a DLT SS under the DLT Pilot Regime?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_2045
Topic
Requirements for DLT market infrastructures
18/12/2023
Subject Matter
Involvement of the authorities in Article 12(1)(b) of CSDR in the authorisation of a DLT SS/ DLT TSS using e-money tokens
Question
Should relevant authorities mentioned in Article 12(1)(b) of Regulation (EU) 909/2014 be involved in the authorisation process of a DLT SS or DLT TSS that aims to settle the cash leg of transactions using e-money tokens under the DLTR?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_2025
Topic
Information to clients on costs and charges
13/12/2023
Subject Matter
Disclosure of costs and charges paid in or represented in an amount of foreign currency
Question
How should investment firms indicate the parts of the total costs and charges paid in or represented in an amount of foreign currency in their ex-ante and ex-post costs and charges disclosure?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_2024
Topic
Information to clients on costs and charges
13/12/2023
Subject Matter
Aggregation of costs and charges
Question
When providing information of costs and charges to clients, on which basis should costs be aggregated? What is the level of aggregation that firms need to apply?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_2043
Topic
Notifications of major shareholdings
30/11/2023
Subject Matter
Notification of Major Holdings; TD Art. 9(1)
Question
Does the major shareholder obligation in Article 9(1) of Transparency Directive 2004/109/EC apply to holdings in issuers whose shares are not admitted to trading on an EU regulated market if depository receipts (DRs) in respect of that issuer’s shares are admitted to trading on an EU regulated market?

- Answer provided by the European Commission in accordance with Article 16b(5) of the ESMA Regulation -
Level 1 Regulation
Transparency Directive (TD) Directive 2004/109/EC