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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
21/02/2012 2012/113 Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 Q&A PDF
83.79 KB
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.
19/10/2012 2012/680 Links to national websites for the purpose of the notification of net short positions Reference PDF
84.12 KB
10/12/2012 ESMA SSR Review mandate Formal request to ESMA for technical advice on the evalutation of the short selling regulation Reference PDF
34.44 KB
11/01/2013 EBA/REC/2013/01 EBA Recommendations on supervisory oversight of activities related to banks’ participation in the Euribor panel Reference PDF
207.84 KB
30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Q&A PDF
873.32 KB
04/02/2013 2013/14 Call for expressions of interest: Consultative Working Group for ESMA’s Investment Management Standing Committee Reference PDF
129.5 KB
To apply, please use the below Application form
11/03/2013 2013/280 Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct , Reference PDF
102.91 KB
13/08/2013 2013/611 SV Key concepts of the AIFMD Reference PDF
84.4 KB
Riktlinjer Riktlinjer om nyckelbegrepp i direktivet om förvaltare av alternativa investeringsfonder
20/08/2013 2013/1119 Opinion on draft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU Reference PDF
247.02 KB
The European Securities and Markets Authority (ESMA) submitted its formal opinion to the European Commission on 13 August, in response to the letter received on 8 July, on draft regulatory technical standards under Article 4(4) of Directive 2011/61/EU. The opinion was issued in accordance with Article 10(1) sixth subparagraph of Regulation (EU) No 1095/2010.
21/10/2013 Ares(2013)3304576 REQUEST TO ESMA FOR TECHNICAL ADVICE ON POSSIBLE DELEGATED ACTS CONCERNING THE REGULATION ON INSIDER DEALING AND MARKET MANIPULATION (MARKET ABUSE) ((EC)No XX/2013) , Reference PDF
56.55 KB
REQUEST TO ESMA FOR TECHNICAL ADVICE ON POSSIBLE DELEGATED ACTS CONCERNING THE REGULATION ON INSIDER DEALING AND MARKET MANIPULATION (MARKET ABUSE) ((EC)No XX/2013)
12/11/2013 2013/1643 Cover Note- Public statement containing information on shareholder cooperation and acting in concert under the Takeover Bids Directive (ESMA/2013/1642) , Reference PDF
145.01 KB
In accordance with its mandate to take appropriate action in the context of takeover bids as per Article 1.3 of Regulation (EU) 1095/2010 (ESMA Regulation), ESMA is releasing a public statement on shareholder cooperation and acting in concert under the Takeover Bids Directive (Directive 2004/25/EC). This statement has been prepared following the review and report by the European Commission on the application of the Takeover Bids Directive and is based on information collected about the practices and application of that Directive. The statement has been prepared in order to help shareholders identify activities in relation to which they can cooperate (insofar as those activities are available to them under national company law), without that cooperation, in and of itself, leading to a conclusion that the shareholders are acting in concert and thus being at risk of having to make a mandatory bid under the Takeover Bids Directive. These activities are presented in the statement in the form of a “White List”. The statement has been prepared by the Takeover Bids Network, a permanent working group operating under the auspices of ESMA that promotes exchange of information on practices and application of the Takeover Bids Directive across the European Economic Area, thereby strengthening a common supervisory culture. The Takeover Bids Network is a specialist group composed of the national competent authorities appointed under the Takeover Bids Directive. The competent authorities represented on the ESMA Board of Supervisors are not in all cases appointed as competent authorities within the Takeover Bids Directive. The authorities not represented on the Board of Supervisors but competent within the area of takeovers are the Austrian Takeover Commission, the Irish Takeover Panel, the Oslo Stock Exchange of Norway, the Takeover Panel of Sweden and the Takeover Panel of the United Kingdom. These five authorities have contributed to the public statement and will have regard to it in the same manner as the other members of the Takeover Bids Network when assessing whether shareholders are acting in concert under their national takeover rules.
15/11/2013 2013/1359 Consolidated AIFMD reporting template (revised) Reference XLSX
4.15 MB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.
15/11/2013 2013/1360 Tables 8-9-10 of Annex 2 of ESMA guidelines on AIFMD reporting obligation (revised) Reference XLSX
310.05 KB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.
15/11/2013 2013/1586 AIFMD Reporting- Annex 2-Tables 1-7 Reference XLSX
30.46 KB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.
29/11/2013 2013/998 DA Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder , Reference PDF
241.03 KB
29/11/2013 2013/998 SL Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS , Reference PDF
246.77 KB
28/02/2014 2014/205 Call for expressions of interest: Group of Economic Advisers for ESMA’s Committee for Economic and Markets Analysis Reference PDF
158.95 KB
The European Securities and Markets Authority (ESMA) is seeking to appoint new members to its Group of Economic Advisors (GEA) for the Committee for Economic and Markets Analysis (CEMA). This follows the expiry of the term of the current GEA. CEMA has established the GEA in order to benefit from the expertise of stakeholders specialised in the topics of financial stability and general economic research related to financial markets. CEMA looks to this group to provide it with advice regarding our work related to financial stability and economic background analysis for the regulatory and supervisory tasks of ESMA. The closing date for application is 25 April 2014.  Application form
15/03/2014 2014/bonds Categories of covered bonds and issuers of covered bonds Reference PDF
473.21 KB
25/03/2014 2013/1361 AIFMD- Reporting- XML documents- V1.2 [updated] Reference ZIP
32.73 KB
The description of changes performed on the xsd documents and IT technical guidance are included in the IT technical guidance (2013/1358) in sheet “change history. Each new version of xsd will increment the version number (from 1.1 to 1.2 version for example). Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. Each AIFM should contact directly the national competent authorities to know how the filling of the XML reports will be handled at national level.
11/06/2014 ESMA/WP/2 ESMA Working Paper- The systemic dimension of hedge fund illiquidity and prime brokerage Reference PDF
839.63 KB
We analyse the potentially vulnerable and systemically relevant financial intermediation chain established by hedge funds and prime brokers. Our dataset covers the 306 largest global hedge funds and their prime brokers over the period July 2001 to December 2011. The study illustrates that hedge funds and prime brokers act as complementary trading partners in normal times. However, we observe that this form of financial intermediation may be severely impaired in times of market distress. This can be explained by the hoarding of liquid securities by prime brokers who are eager to avert runs by their clients.

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