ESMA_QA_777
Topic
Insider lists
19/04/2023
Subject Matter
Information to be included into insider list of the issuer on persons that are subject to independent obligation to manage insider list (e.g. advisors and consultants)
Question
As certain persons have an independent obligations to draw up and manage insider list of the issuer (e.g. advisors, consultants, credit agency) under Article 18(1) of MAR, what information should be reflected in the insider list of the issuer: (i) all required information under insider list template for a contact person of such third party, in addition in the field "function and reason for being insider" indicating that this is only a contact person of third party that has independent obligation to draw-up and manage independent insider list, or (ii) with deviation from template of insider list, name and contact details of such company itself, omitting certain fields, such as name, surname, birth surname.
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
ESMA_QA_770
Topic
DLT Pilot Regime
14/04/2023
Subject Matter
Capital requirements
Question
What are the capital requirements for a DLT TSS operated by: a) an investment firm; b) a credit institution; c) a CSD?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_769
Topic
DLT Pilot Regime
13/04/2023
Subject Matter
Subscription rights
Question
Can subscription rights be covered under the DLTR?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_766
Topic
DLT multilateral trading facility (DLT MTF)
11/04/2023
Subject Matter
Credit institution providing investment services or performing investment activities
Question
Should a credit institution authorised in accordance with CRD IV/CRR and providing investment services or performing investment activities in accordance with MiFID II/MiFIR be required to apply for an authorisation as an investment firm or a market operator in order to operate a DLT MTF?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)
ESMA_QA_765
Topic
Crypto-Asset Service Provider (CASP)
11/04/2023
Subject Matter
MiCA Services
Question
Is a DLT MI operator allowed to provide MiCA crypto-asset services such as operating a trading platform and custody services for e-money tokens without an additional MiCA licence?
Level 1 Regulation
MiCA