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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
21/07/2020 JC 2020 66 draft Draft Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID (NOT APPROVED) , Report PDF
2.77 MB
30/09/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
356.79 KB
08/04/2021 ESMA50-165-1734 EU Alternative Investment Funds- 2021 Statistical Report , , Report PDF
1.77 MB
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
28/05/2021 ESMA50-164-4575 Opinion- Collection of information for the effective monitoring of systemic risk under Article 24(5), first subparagraph, of the AIFMD Opinion PDF
135.74 KB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
13/07/2017 ESMA35-45-344 Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
246.6 KB
12/11/2020 ESMA34-45-934 Penalties and measures imposed under the UCITS Directive in 2019 Report PDF
365.02 KB
12/12/2019 ESMA34-45-756 Penalties and measures imposed under the UCITS Directive in 2018 Report PDF
467.36 KB
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Report PDF
398.96 KB
20/07/2017 ESMA34-45-277 Opinion on asset segregation and custody services Opinion PDF
604.81 KB
20/07/2021 ESMA34-45-1269 Penalties and measures imposed under the UCITS Directive in 2020 Report PDF
516.21 KB
16/07/2021 ESMA34-43-392 Q&A on the application of the UCITS Directive Q&A PDF
722.03 KB
07/04/2017 ESMA34-43-340 Notification frameworks and home-host responsibilities under UCITS and AIFMD- ESMA Thematic Study among National Competent Authorities Report PDF
895.97 KB

One of the key objectives of ESMA is to foster and increase supervisory convergence across NCAs. Thematic studies have been identified as a means of achieving this objective. Their aim is to review supervisory practice in the Member States, identifying good or best practices where possible. In 2016, ESMA conducted a thematic study on the operation of home and host responsibilities under AIFMD and UCITS with a view to promoting smooth operation of the EU passports for marketing and management, looking at the notification frameworks contained in the UCITS Directive and AIFMD. The findings of the thematic study form the core of this report. They are supplemented, where possible, by a number of recommendations on good supervisory practices.

30/01/2017 ESMA34-43-296 Opinion on UCITS Share Classes Opinion PDF
332.69 KB
13/11/2020 ESMA34-39-1119 Recommendation of the European Systemic Risk Board (ESRB) on liquidity risk in investment funds Report PDF
1.12 MB
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 KB
20/07/2021 ESMA34-32-865 Penalties and measures imposed under the AIFMD in 2020 Report PDF
510 KB
12/11/2020 ESMA34-32-548 Penalties and measures imposed under the AIFMD Directive in 2018- 2019 Report PDF
565.29 KB
16/07/2021 ESMA34-32-352 Q&A on the Application of the AIFMD , Q&A PDF
688.52 KB

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