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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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| 14/04/2011 | 2011/112 | Final report- Guidelines to competent authorities and UCITS management companies on risk meas-urement and the calculation of global exposure for certain types of structured UCITS | Fund Management | Final Report | PDF 166.5 KB |
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| 15/04/2011 | 2011/121 | Discussion paper- ESMA’s policy orientations on possible implementing measures under Article 3 of the Alternative Investment Fund Managers Directive | Fund Management | Consultation Paper | PDF 186.38 KB |
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| 13/07/2011 | 2011/209 | Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive | Fund Management | Consultation Paper | PDF 2.82 MB |
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| 22/07/2011 | 2011/220 | Discussion paper- ESMA’s policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS | Fund Management | Consultation Paper | PDF 211.79 KB |
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| 23/08/2011 | 2011/270 | Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries | Fund Management | Consultation Paper | PDF 154.97 KB |
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| 30/01/2012 | 2012/44 | ESMA’s guidelines on ETFs and other UCITS issues | Fund Management | Consultation Paper | PDF 420.17 KB |
In the summer of 2010 ESMA started looking into the operation of UCITS making use of the new investment freedoms introduced by the UCITS III Directive and the Eligible Assets Directive (2007/16/EC) in order to identify the possible impact on investor protection and market integrity. As part of this work, ESMA published a discussion paper on policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS on 22 July 2011 (ESMA/2011/220), responses to which were due by 22 September. This consultation paper represents the next stage in the development of ESMA guidelines in this area. ESMA will take into account responses to this consultation paper in finalising the guidelines for adoption in Q2 2012. | |||
| 23/02/2012 | 2012/117 | Discussion paper on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM | Fund Management | Consultation Paper | PDF 359.52 KB |
This document will be of interest to asset management companies and trade associations of asset management companies managing funds falling in the scope of the Alternative Investment Fund Managers Directive. Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public consultation will be used by ESMA in finalising the draft regulatory technical standards to be submitted to the European Commission for endorsement by the end of 2012. | |||
| 28/06/2012 | 2012/406 | Draft Guidelines on sound remuneration policies under the AIFMD | Fund Management | Consultation Paper | PDF 1.03 MB |
Annex II of the AIFMD establishes a set of rules (largely inspired from the provisions of Directive 2006/48/EC, the “CRD”) with which AIFMs have to comply when establishing and applying the remuneration policies for certain categories of their staff. Article 13(2) of the AIFMD requires ESMA to develop guidelines on sound remuneration policies which comply with Annex II of the AIFMD. This consultation paper represents the first step in the elaboration of the guidelines on remuneration policies required by the AIFMD and sets out ESMA’s formal proposals for these guidelines.Responses to this consultation paper will be taken into account by ESMA in finalising the guidelines on sound remuneration policies under the AIFMD. In finalising the guidelines, ESMA will also take into account the development of its work on the separate set of guidelines, which will be complementary to the CEBS Guidelines, focused on remuneration policies of investment firms from an investor protection point of view, for which a separate consultation paper will be published at the end of Q3 2012. ESMA aims to adopt the final text of the guidelines on sound remuneration policies under the AIFMD in Q4 2012. | |||
| 25/07/2012 | 2012/474 | Report and consultation paper on guidelines on ETFs and other UCITS issues | Fund Management | Final Report | PDF 728.1 KB |
This paper sets out ESMA’s guidelines on ETFs and other UCITS issues. The guidelines are adapted to the type of UCITS, management technique or financial instrument in question and are detailed in Annex III of the documentThis document also sets out in Annex IV a public consultation on the treatment of repo and reverse repo arrangements on which ESMA is seeking feedback from stakeholders. The feedback to this further consultation will be used by ESMA to finalise its position on this specific issue, which will be incorporated into the rest of the guidelines already adopted by the Authority (cf. Annex III of this document). | |||
| 04/12/2012 | 2012/722 | Guidelines on repurchase and reverse repurchase agreements | Fund Management | Final Report | PDF 339.57 KB |
The European Securities and Markets Authority (ESMA) has today published its final guidelines on repurchase and reverse repurchase agreements for UCITS funds. The guidelines state that UCITS should only enter into such agreements if they are able to recall at any time any assets or the full amount of cash. |
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| 19/12/2012 | 2012/844 | Draft regulatory technical standards on types of AIFMs | Fund Management | Consultation Paper | PDF 826.57 KB |
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| 19/12/2012 | 2012/845 | Guidelines on key concepts of the AIFMD | Fund Management | Consultation Paper | PDF 698.69 KB |
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| 24/05/2013 | 2013/599 | AIFM reporting XSD schema and samples | Fund Management | Consultation Paper | ZIP 29.41 KB |
The CP setting out draft ESMA’s guidelines on reporting obligations under Articles 3 and 24 of the AIFMD (ESMA/2013/592) is supplemented by AIFM reporting XSD schema and samples that AIFMs will have to use to report the information under Articles 3 and 24 to their national competent authorities. ESMA is also seeking feedback from stakeholders on these documents | |||
| 24/05/2013 | 2013/592 | Consultation paper on ESMA’s guidelines on AIFMD reporting obligations under Articles 3 and 24 of the AIFMD | Fund Management | Consultation Paper | PDF 973.51 KB |
Consultation paper on ESMA’s guidelines on AIFMD reporting obligations under Articles 3 and 24 of the AIFMD ESMA’s consultation paper (CP) on AIFMD reporting obligations contains in draft guidelines to national competent authorities (NCAs) for securities markets on reporting obligations for AIFMs under Articles 3 and 24 of the AIFMD. These draft guidelines, set out in Annex III, provide clarification on the information that AIFMs should report to NCAs, the timing of such reporting together with the procedures to be followed when AIFMs move from one reporting obligation to another. Annex IV of the CP includes the reporting template set out in Regulation 231/2013. Annex V sets out a diagram which summarises the reporting obligations of AIFMs, as determined by the total value of assets under management and the nature of the AIFs managed or marketed. Annex VI provides stakeholders with detailed IT guidance for XML filing. The CP is accompanied by the publication of the AIFM reporting XSD schema (ESMA/2013/599) that AIFMs will have to use to report the information under Articles 3 and 24 to NCAs and on which ESMA is also seeking feedback from stakeholders. | |||
| 24/05/2013 | 2013/600 | Guidelines on key concepts of the AIFMD | Fund Management | Final Report | PDF 473.66 KB |
Executive Summary Reasons for publication On 23 February 2012, ESMA published a discussion paper (DP) on key concepts of the Alternative Investment Fund Managers Directive and types of AIFM (2012/117), which was followed on 19 December 2012 by the publication of a consultation paper (CP) on guidelines on key concepts of the AIFMD (2012/845). The CP set out formal proposals for guidelines ensuring common, uniform and consistent application of the concepts in the definition of ‘AIF’ in Article 4(1)(a) of the AIFMD by providing clarification on each of these concepts. This final report sets out the final text of the guidelines on key concepts of the AIFMD. |
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| 15/11/2013 | 2013/1339 | Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD (revised) | Fund Management | Final Report | PDF 701.63 KB |
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| 20/12/2013 | 2013/1974 | Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues | Fund Management | Consultation Paper | PDF 202.22 KB |
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| 22/07/2014 | 2014/876 | Discussion paper- Calculation of counterparty risk by UCITS for OTC financial derivative transactions subject to clearing obligations | Fund Management | Consultation Paper | PDF 305.08 KB |
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| 26/09/2014 | 2014/1182 | Consultation paper on the implementing measures of the Regulations on EuSEF and EuVECA | Fund Management | Consultation Paper | PDF 635.29 KB |
Who should read this paper This consultation paper is addressed to social entrepreneurs, impact investors, EuSEF and EuVECA managers, impact fund managers, business angels, venture capitalists and other relevant stakeholders and their associations in the area of social entrepreneurship and venture capital in the EU. Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they:• respond to the question stated;• indicate the specific question to which the comment relates;• contain a clear rationale; and• describe any alternatives ESMA should consider. ESMA will consider all comments received by 10 December 2014. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman. Data protection Information on data protection can be found at www.esma.europa.eu under the heading ‘Legal Notice’. | |||
| 26/09/2014 | 2014/1183 | Consultation paper on ESMA's technical advice to the European Commission on delegated acts required by the UCITS V Directive | Fund Management | Consultation Paper | PDF 734.97 KB |
Who should read this paper This document will be of interest to depositaries (including their delegates) of UCITS funds and their trade associations, asset management companies managing UCITS funds and their trade associations, as well as institutional and retail investors investing into such funds and their associations. Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they:• respond to the question stated;• indicate the specific question to which the comment relates;• contain a clear rationale; and• describe any alternatives ESMA should consider. ESMA will consider all comments received by 24 October 2014. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman. Data protection Information on data protection can be found at www.esma.europa.eu under the heading ‘Legal Notice’. |