Q&A · ESMA
Post-sale reporting
With the client's express and revocable consent, the 10% depreciation reporting for leveraged or contingent liability instruments under Article 62(2) of the Delegated Regulation may be done on an aggregated basis, such as the whole portfolio or all leveraged positions, instead of instrument by instrument.
Details
| Reference | ESMA_QA_1808 |
|---|---|
| Issuer | ESMA |
| Published | 3 Oct 2017 |
| Answered | 3 Oct 2017 |
| Submitted | 3 Oct 2017 |
| ESMA topics | Reporting to clients |
| Earlier Q&A document | ESMA 35-43-349 MiFID II Q&As on Investor protection Ch. 8, question 8 |
Provisions it relates to
- Article 25 MiFID II · Assessment of suitability and appropriateness and reporting to clientsInferred · 85%
- MiFID II (whole act)Explicit reference
Documents it refers to
- Delegated actIn forceExplicit reference · 90%
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.