Displaying 371 - 375 of 1467
ESMA_QA_661
Topic
EU-CCPs
13/01/2023
Subject Matter
Collateral requirements and recording of client assets (old CCP question 2 dated 20/03/2013)
Question
What is the requirement on a CCP for the recording of financial instruments posted to it as margins, default fund contributions or contributions to other financial resources? Is it possible for a CCP to record the value assigned to financial instruments post-haircut?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_833
Topic
Information to clients on topics other than costs and charges
16/12/2022
Subject Matter
Authorisation and supervision of CSPs
Question
Can a CSP use several trading names?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_832
Topic
Control functions (Compliance, Risk and Audit)
16/12/2022
Subject Matter
Authorisation and supervision of CSPs
Question
Can a legal person with a single member of the management body be authorised as a crowdfunding service provider?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_831
Topic
Information to clients on topics other than costs and charges
16/12/2022
Subject Matter
Investor protection and marketing communication
Question
Can the marketing effort of a CSP focus on a specific project or a specific category of projects?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_830
Topic
Information to clients on topics other than costs and charges
16/12/2022
Subject Matter
Investor protection and marketing communication
Question
Is the project owner responsible for the translation of the content of a KIIS made available to prospective investors?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business