Displaying 386 - 390 of 1467
ESMA_QA_780
Topic
DLT Pilot Regime
16/12/2022
Subject Matter
Transaction reporting
Question
a. How does the reporting obligation under MiFIR Article 26 and RTS 22 apply to transactions in DLT financial instruments?

b. Is there any lead-time envisaged to comply with such obligation or does it apply as soon as a DLT MTF/TSS is granted the permission to operate?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_1028
Topic
AIFMD scope
16/12/2022
Subject Matter
Scope
Question
Are managers of special purpose acquisition companies (“SPACs”) subject to the AIFMD?
Level 1 Regulation
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
ESMA_QA_632
Topic
* Transaction reporting
09/12/2022
Subject Matter
National identifier for stateless natural persons
Question
What ISO 3166-1 country code should trading venues and investment firms use to identify stateless natural persons for the purposes of transaction reports?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
ESMA_QA_1500
Topic
Multilateral and bilateral systems
05/12/2022
Subject Matter
Multilateral and bilateral systems - Systematic internalisers
Question
Can an investment firm acting as single liquidity provider on an RM and/or an MTF, operate an SI?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1224
Topic
Settlement discipline - Other topics
15/11/2022
Subject Matter
Settlement fails
Question
By when should CSDs publish the information set out in Annex III of the RTS on settlement discipline, as referred to in Article 15 of the same RTS?
Level 1 Regulation
Central Securities Depositories Regulation (CSDR) Regulation (EU) No 909/2014- PTR- CSDR