ESMA_QA_829
Topic
Information to clients on topics other than costs and charges
16/12/2022
Subject Matter
Investor protection and marketing communication
Question
When does the key investment information sheet have to be made available to prospective investors?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_811
Topic
Underwriting and placing
16/12/2022
Subject Matter
General provisions
Question
Should the total consideration of offers made by the project owner pursuant to an exemption under Regulation (EU) 2017/1129 other than those under Articles 1(3) and 3(2) of that Regulation be taken in consideration for the purpose of the calculation of the threshold set out in point (c) of Article 1(2) of the ECSPR?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_790
Topic
DLT Pilot Regime
16/12/2022
Subject Matter
DLT MTF
Question
How should a DLT MTF populate Field 1 of RTS 24 “Identification of the entity which submitted the order” when an order is submitted by a natural person non eligible for an LEI?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_787
Topic
DLT multilateral trading facility (DLT MTF)
16/12/2022
Subject Matter
Financial Instruments Reference Data
Question
How should Field 6 of RTS 23 “Trading venue” be populated for instruments being traded on the DLT MTF or on the TSS?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_786
Topic
DLT Pilot Regime
16/12/2022
Subject Matter
Financial Instruments Reference Data
Question
How should the “Instrument identification code” fields (Table 2, Field 41 of RTS 22 and Table 3, Field 1 of RTS 23) be populated for DLT financial instruments that are the digital representation of a previously issued financial instrument?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)