Q&A · ESMA

Position reporting

Answered

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AI-generated Summary

Positions in C(10) instruments must be reported only where their underlyings fall within the position limits regime, since daily position reporting exists to monitor compliance with those limits.

Details

Reference	ESMA_QA_1537
Issuer	ESMA
Published	13 Nov 2017
Answered	13 Nov 2017
Submitted	13 Nov 2017
ESMA topics	Position reporting
Earlier Q&A document	ESMA 70-872942901-36 Commodity derivatives Q&A, Q&A 4.15

Provisions it relates to

Article 58 MiFID II · Position reporting by categories of position holders
MiFID II
Inferred · 90%
MiFID II (whole act)
Explicit reference

Documents it refers to

Delegated actIn forceExplicit reference · 90%
Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive
European Commission · 31 Mar 2017 · EUR-Lex
AI summaryThe main MiFID II Delegated Regulation: defines key terms (such as investment advice, systematic internaliser, algorithmic and high-frequency trading, and direct electronic access) and sets detailed organisational requirements and operating conditions for investment firms, including compliance, conflicts of interest, remuneration, client information, suitability and appropriateness, best execution, client order handling, reporting to clients, record keeping and transaction-level obligations.