Displaying 431 - 435 of 1476
ESMA_QA_806
Topic
Control functions (Compliance, Risk and Audit)
23/09/2022
Subject Matter
General provisions
Question
Can crowdfunding services and investment services and activities provided in accordance with MiFID II be provided by means of the same internet-based information system?
Level 1 Regulation
Regulation 2020/1503 - European crowdfunding service providers for business
ESMA_QA_1277
Topic
Position reporting
23/09/2022
Subject Matter
Various underlyings listed in Annex I, Section C(10) of MIFID II?
Question
How is the position limits regime applied to the various underlyings listed in Annex I, Section C(10) of MIFID II?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1276
Topic
Position limits
23/09/2022
Subject Matter
Position limits for options and futures
Question
Will there be a different position limit for options and futures? If so, how should options be converted into futures for the application of position limits?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1275
Topic
Position limits
23/09/2022
Subject Matter
Securitised derivatives
Question
Are securitised derivatives considered to be commodity derivatives under MiFID II? How does ESMA differentiate between ETCs and securitised derivatives?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets
ESMA_QA_1274
Topic
Position limits
23/09/2022
Subject Matter
Positions with different maturities
Question
Should positions with different maturities for other months’ limits be netted?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Secondary Markets