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ESMA_QA_2847
Topic
Other DORA topics
15/05/2026
Subject Matter
conclusion of ICT arrangement for the purpose of tests
Question
In certain scenarios, a financial entity may enter into an arrangement with an ICT third-party service provider solely for testing purposes. These tests typically span several weeks, during which digital service is delivered through ICT systems on an ongoing basis, however to no internal or external users. Furthermore, digital service provided by the ICT third-party service provider is not supporting any function of financial entity, and the testing process itself has no operational impact on the entity's current standing or infrastructure.
Question:
1. Is the financial entity required to notify in a timely manner about any planned contractual arrangement the competent authorities of an arrangement concluded strictly for testing purposes, if it is anticipated that—upon successful completion—the digital service will eventually support a critical or important function?
2. What is the exact date which shall be used in the register of information if the tests will be succesfull and the digital service will be offered to one or more internal or external users? Should this date correspond to the initial commencement of the testing phase or the formal launch of the service in the production environment?
Level 1 Regulation
Regulation (EU) 2022/2554 - The Digital Operational Resilience Act (DORA)
ESMA_QA_2845
Topic
White paper
12/05/2026
Subject Matter
Machine-readable (XBRL) format requirement for modified white papers
Question
When a reporting entity (e.g., an issuer, offeror, or person seeking admission to trading) notifies a modification of a white paper originally submitted before the entry into application of Commission Implementing Regulation (EU) 2024/2984 on 23 December 2025, is the reporting entity required to submit the modified white paper in the machine-readable format specified in the regulation?
Level 1 Regulation
MiCA
ESMA_QA_2839
Topic
Prevention and detection of market abuse, including STORs
30/04/2026
Subject Matter
Annually conducted audit under Commission Delegated Regulation (EU) 2016/957
Question
Under Article 2(5)(b) of Commission Delegated Regulation (EU) 2016/957 (“RTS on STORs”), should the annually conducted audit of arrangements, systems and procedures be performed by an external auditor, or would an internal audit be sufficient? How should the “internal review” mentioned alongside the audit be understood?
Level 1 Regulation
Market Abuse Regulation (MAR) Regulation (EU) No 596/2014 - Market Intergrity
ESMA_QA_2831
Topic
EU-CCPs
07/04/2026
Subject Matter
Treatment of assets and positions of affiliates of a clearing member as proprietary assets and positions of that clearing member by CCPs
Question
May CCPs treat assets and positions of affiliates of clearing members as proprietary assets and positions of the clearing member as indicated in RTSs 153/2013 and 149/2013?
Level 1 Regulation
Regulation 648/2012 - OTC derivatives, central counterparties and trade repositories (EMIR) - CCPs
ESMA_QA_2830
Topic
Crypto-Asset Service Provider (CASP)
06/04/2026
Subject Matter
Third-party advice by independent contractors not authorised as CASPs under Article 62(2)(q) of the MiCA Regulation
Question
Under Article 62(2)(q) of the Markets in Crypto-Assets Regulation (MiCAR):
1. May independent contractors provide advice on crypto-assets on behalf of crypto-asset service providers (CASP) without being authorised as CASPs nor directly employed by said CASPs?
2. May independent contractors be hired by CASPs to provide crypto-assets advice on behalf of said CASPs?
Level 1 Regulation
MiCA