Displaying 421 - 425 of 1476
ESMA_QA_1289
Topic
Ancillary activity
23/09/2022
Subject Matter
Criteria privileged transactions exemption
Question
What are the criteria that liquidity provision contracts need to meet in order to qualify for the privileged transactions exemption under Article 2(4) of MiFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1285
Topic
Ancillary activity
23/09/2022
Subject Matter
Ancillary activity excemption
Question
When does a firm that can no longer make use of the ancillary activity exemption need to apply for a license?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1284
Topic
Position limits
23/09/2022
Subject Matter
Position limits on a trading venue or EEOTC
Question
Do position limits also apply to positions in contracts that have been entered into prior to 3 January 2018 and are traded on a trading venue, including an OTF, or are economically equivalent OTC contracts (EEOTC) to those traded on a trading venue?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1282
Topic
Position limits
23/09/2022
Subject Matter
Intercommodity spread or diff contracts
Question
How are position limits applied to intercommodity ‘spread’ or ‘diff’ contracts?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_810
Topic
Control functions (Compliance, Risk and Audit)
23/09/2022
Subject Matter
General provisions
Question
Does an entity solely offering its own project through a publicly available information system on the Internet need to be authorised as a crowdfunding service provider?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business