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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Fund Management Q&A PDF
436.68 KB
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 
23/09/2014 2014/1164 Annex Annex to the Statement by Steven Maijoor, Chair of ESMA to the ECON hearing, 23 September 2014 Corporate Information Final Report PDF
503.01 KB
07/11/2014 2014/1340 Call for evidence on AIFMD passport and third country AIFMs Fund Management Consultation Paper PDF
317.57 KB
15/07/2016 2016/1137 Call for evidence on Asset segregation and custody services Fund Management Consultation Paper PDF
683.88 KB
21/10/2021 JC 2021 61 Call for evidence on the European Commission mandate regarding the PRIIPs Regulation Fund Management, Joint Committee Consultation Paper PDF
844.1 KB
14/09/2011 2011/288 Call for evidence- Empty voting Corporate Disclosure, Corporate Governance, Transparency Consultation Paper PDF
81.13 KB
26/01/2011 2011/35 Call for evidence- Request for technical advice on possible delegated acts concerning the Prospectus Directive (2003/71/EC) as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Consultation Paper PDF
3.85 MB
10/06/2013 2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive Prospectus, Corporate Disclosure Final Report PDF
596.91 KB		 The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive.   This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in  EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states.   The report does not cover how the regimes, or sanctions, are applied.    Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States
14/02/2013 2013/218 Considerations of materiality in financial reporting Corporate Disclosure, IFRS Supervisory Convergence Final Report PDF
446.95 KB
28/03/2019 ESMA34-46-89 Consulation Paper on Draft regulatory technical standards under Article 25 of the ELTIF Regulation Fund Management Consultation Paper PDF
295.66 KB
16/10/2019 JC-2019-63 Consultation Paper on amendments to PRIIPs KID Fund Management, Joint Committee Consultation Paper PDF
2.42 MB
09/11/2020 ESMA34-45-926 Consultation paper on draft Guidelines on marketing communications Fund Management Consultation Paper PDF
383.06 KB
28/09/2018 ESMA34-49-131 Consultation paper on draft guidelines on stress test scenarios under the MMF Regulation Fund Management Consultation Paper PDF
1.28 MB
13/11/2018 ESMA34-49-144 Consultation paper on draft guidelines on the reporting to competent authorities under article 37 of the MMF Regulation Fund Management Consultation Paper PDF
879.06 KB
31/07/2015 2015/1239 Consultation Paper on draft regulatory technical standards under the ELTIF Regulation Fund Management Consultation Paper PDF
666.11 KB		 Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they: 1.    respond to the question stated;2.    indicate the specific question to which the comment relates;3.    contain a clear rationale; and4.    describe any alternatives ESMA should consider. ESMA will consider all comments received by 14 October 2015. Responses to this consultation paper can be sent using the response form, via the ESMA website, 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. Who should read this paper This document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative investment funds managers and their trade associations, as well as (iii) institutional and retail investors investing into ELTIFs and their associations.  
26/09/2014 2014/1186 Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive Prospectus, Corporate Disclosure Consultation Paper PDF
670.42 KB		 ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they:•    respond to the question stated;•    indicate the specific question to which they relate;•    contain a clear rationale; and•    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 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’.Who should read this paper This document will be of interest to all stakeholders. It would primarily be of interest to investors, issuers, offerors or persons asking for admission to trading on a regulated market, as well as to any market participant who is affected by Directive 2003/71/EC of 4 November 2003 (the Prospectus Directive) as amended by Directive 2010/73/EU and Directive 2010/78/EU and its Regulation (Commission Regulation (EC) No 809/2004) and Delegated Regulations (Commission Delegated Regulation (EC) No 486/2012, No 862/2012, No 759/2013 and No 1392/2014.
15/12/2017 ESMA31-62-802 Consultation Paper on draft RTS under the new Prospectus Regulation Prospectus Consultation Paper PDF
1.45 MB
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’.
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.

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