ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
07/10/2019 ESMA70-1861941480-56 Q&A on MiFIR data reporting Q&A PDF
1003.78 KB
03/10/2019 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics Q&A PDF
1008.95 KB
02/10/2019 ESMA70-872942901-38 Q&A on MiFID II and MiFIR market structures topics Q&A PDF
574.11 KB
02/10/2019 ESMA70-872942901-35 Q&A on MiFID II and MiFIR transparency topics Q&A PDF
946.7 KB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
17/07/2019 ESMA35-36-1711 Report on sanctions and measures imposed under MiFID II in 2018 Report PDF
296.09 KB
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments , Report PDF
148.65 KB
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Report PDF
398.96 KB
29/03/2019 ESMA34-43-392 Q&A on the application of the UCITS Directive Q&A PDF
407.27 KB
27/03/2019 ESMA70-872942901-36 Q&A on MiFID II and MiFIR commodity derivatives topics Q&A PDF
602.38 KB
09/11/2018 ESMA35-36-1262 Technical Q&As on product intervention measures on CFDs and binary options Q&A PDF
147.84 KB
04/10/2018 ESMA34-32-352 Q&A on the Application of the AIFMD Q&A PDF
353.58 KB
24/07/2018 ESMA42-111-4653 Follow-up Report to the Peer Review on MiFID Suitability Requirements Report PDF
435.05 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs , Report PDF
1.26 MB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options , Report PDF
776.15 KB
14/12/2017 ESMA70-151-957 MiFID II Q&A on post-trading issues , Q&A PDF
280.02 KB
29/09/2017 ESMA70-156-227 Final report on draft RTS on the trading obligation for derivatives under MiFIR Report PDF
609.23 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.

31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments Report PDF
644.29 KB
31/03/2017 ESMA35-36-794 Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID Q&A PDF
948.76 KB