ESMA_QA_849
Topic
EU-CCPs
27/04/2023
Subject Matter
Most relevant currencies for the determination of participation in a college (old CCP question 2 dated 20/03/2013)
Question
Which are the criteria to be used by a new entity that applies for authorisation as a CCP, if the respective entity has not performed any clearing activities before?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_847
Topic
* EMIR Reporting
27/04/2023
Subject Matter
Interpretation of "emission allowances" under C(4)
Question
Does the financial instruments in Annex I, section C(4) include derivatives on emission allowances not recognized under the EU ETS, thus making these reportable under EMIR?

Specific example: Derivatives on UKAs, recognized under UK ETS.
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- MDP
ESMA_QA_766
Topic
DLT multilateral trading facility (DLT MTF)
11/04/2023
Subject Matter
Credit institution providing investment services or performing investment activities
Question
Should a credit institution authorised in accordance with CRD IV/CRR and providing investment services or performing investment activities in accordance with MiFID II/MiFIR be required to apply for an authorisation as an investment firm in order to operate a DLT MTF (distributed ledger technology multilateral trading facility)?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_762
Topic
Benchmarks Regulation
31/03/2023
Subject Matter
Transitional provisions applicable to EU index providers starting to provide a benchmark between 1 July 2016 and 31 December 2017 (ESMA70-145-114_Q&A 9.2)
Question
Where an EU index provider that was not providing a benchmark on 30 June 2016 starts to provide benchmarks between 1 July 2016 and 31 December 2017, can these benchmarks be used by supervised entities in the Union? Can the same index provider provide new benchmarks after 1 January 2018 and before it is authorised or registered?
Level 1 Regulation
Benchmarks Regulation (BMR) - Regulation 2016/1011
ESMA_QA_761
Topic
Benchmarks Regulation
31/03/2023
Subject Matter
Transitional provisions applicable to EU index providers already providing a benchmark on 30 June 2016 (ESMA70-145-114_Q&A 9.1)
Question
Where an EU index provider, that already provided a benchmark on 30 June 2016 and that has not yet been authorised or registered, provides a new benchmark after 1 January 2018, could such a benchmark be used by supervised entities in the Union under the transitional provisions of the Benchmarks Regulation?

Level 1 Regulation
Benchmarks Regulation (BMR) - Regulation 2016/1011