Guidelines - Europa

BRIEFING Legal Entity Identifier (LEI) - Europa

Legal Entity Identifier (LEI) The Legal Entity Identifier (LEI) is a 20-digit, alpha-numeric code that enables clear and unique identification of legal entities participating in financial transactions. 1 LEIs, like other identifiers, are needed by firms to fulfil their reporting obligations under financial regulations and directives.

  Entity, Legal, Identifiers, Legal entity identifier

Guidelines

5 application of Article 25(2) of MiFID II and of Articles 54 and 55 of the MiFID II Delegated Regulation. 10. ESMA expects these guidelines to promote greater convergence in the interpretation of,

  Mifid, Mifid ii

Public consultation on the governance of the Monitoring ...

The consultation paper rightly refers to International Financial Reporting Standards (IFRS) issued by the International Accounting Standards Board (IASB) which is overseen by the Trustees of the IFRS Foundation and a Monitoring Board composed of public authorities.

  International, Standards, Consultation

Guidelines - ESMA

10 October 2016 | ESMA/2016/1452 Corrected on 07/08/2017 Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II

  Guidelines, Record, Keeping, Record keeping

Questions and Answers

Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC ... European Commission adopted without modifications the regulatory technical standards developed by ... Directive 2004/39/EC of the European Parliament and the Council

  European commission, European, Commission, Regulations, 2004, No 648

Questions and Answers - ESMA

16 December 2016 | ESMA/2016/1669 Questions and Answers ... legislation or ESMA guidelines. 4. The European Commission has already published its own Q&A on AIFMD 6. II. Purpose ... part of a department) – can exert material influence on the AIFM’s risk profile or on an AIF it

  Guidelines, Question, 2016, Part, Answers, Questions and answers

Practical Guide - ESMA

Practical Guide is intended as an aide to market participants and may be particularly helpful to shareholders with notification obligations under national law in …

  Guide, Practical, Practical guide

Questions and Answers - ESMA

Apr 08, 2019 · 4 42. Rights issue: communication by a custodian to its clients in one member state about pre-emption rights in relation to a public offer of new shares taking place in another

  Question, Answers, Questions and answers

Final Report

providers for business Regulation. 2 Date: 10 November 2021 . 3 Date: 10 November 2021 Table of Contents ... CA National competent authority or authorities designated by a Member State ... PRIIPS Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for ...

  Provider, 2014, Designated

Guidelines on Liquidity Stress Testing in UCITS and AIFs

These Guidelines relate to liquidity stress testing in UCITS and AIFs. 3. In particular, in respect of managers they apply primarily in relation to Article 16(1) of the AIFMD, Articles 47 and 48 of the AIFMD Level 2 Regulation, Article 51 of the UCITS

  Guidelines, Testing, Stress, Liquidity, Guidelines on liquidity stress testing

Guidelines - Europa

MiFID II Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU13 MiFIR Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial ...

  Guidelines, Directive, Financial, Instruments, Financial instruments, Mifid, Mifid ii directive

Technical standards under Directive 2004/39/EC (MiFID I ...

and other similar financial instruments 8 Specifying the requirements on market making agreements and schemes MiFID II Article 17(7)(a), (b) and (c) and Article 48(12)(a) and (f) 13/06/2016 C(2016) 3523 RTS 8 in English RTS 8 in German RTS 8 in French 13/09/2016 Publication in the OJ on hold until Corrigendum is finalised

  Directive, Financial, Instruments, Financial instruments, Mifid, Mifid ii

Alternative Investment Fund Managers Directive (AIFMD)

transmission of orders in relation to financial instruments; and • Individual portfolio management: Management of portfolios of investments, including those owned by pension funds and institutions for occupational retirement provision in accordance with Article 19(1) of Directive 2003/41/EC, in accordance with mandates given

  Directive, Financial, Instruments, Financial instruments

Directiva 2014/65/UE del Parlamento Europeo y del Consejo ...

(11) En los mercados secundarios al contado de derechos de emisión se ha producido una serie de prácticas fraudu­ lentas que podrían minar la confianza en el régimen de comercio de derechos de emisión, instituido por la Directiva 2003/87/CE del Parlamento Europeo y del Consejo (1), y se están tomando medidas para fortalecer el sistema de registros y las condiciones de apertura …