Displaying 281 - 285 of 1476
ESMA_QA_1841
Topic
Information to clients on costs and charges
29/05/2023
Subject Matter
Information on cost and charges
Question
How to disclose cost information (in good time) to a client who places an order via telephone?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_971
Topic
Registration Document
26/05/2023
Subject Matter
Updating information in a universal registration document before it is part of a prospectus (Updated 09/09/2026)
Question
How should information in a universal registration document be updated before it is a constituent part of a prospectus? (Updated 09/09/2026)
Level 1 Regulation
Prospectus Regulation 2017/1129
ESMA_QA_924
Topic
Other issues (CCP)
15/05/2023
Subject Matter
Mark-To-Market value reporting
Question
How should the mark-to-market value of contracts for difference that are not cleared by a CCP be reported in accordance with Regulation (EU) No 648/2012 and standard 13 of the international financial reporting standards?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_903
Topic
Public offer
11/05/2023
Subject Matter
Transferable securities
Question
If shares are offered to the public under shareholders’ agreement restricting the transferability of the shares, would this have an impact on the status of those shares as 'transferable securities'?
Level 1 Regulation
Prospectus Regulation 2017/1129
ESMA_QA_901
Topic
Market manipulation, including buy-back programmes and stabilisations
11/05/2023
Subject Matter
MAR Q&A on the application of the trading volume limit in the context of buy-back programmes
Question
In the context of buy-back programmes under Article 5(1) of MAR, which transactions should be included in the average daily volume for the purpose of the calculation of the 25% limit foreseen in Article 3(3) of CDR 2016/1052? Should that include the total volume traded on-venue or should transactions executed under a pre-trade transparency waiver be excluded?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity