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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/01/2011 2011/27 Press release- ESMA finds diversity across Europe in regulators’ contingency measures for financial crisis situations Press Releases, Supervisory convergence Press Release PDF
31.5 KB
14/04/2011 2011/118 Press release- ESMA sets out guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS Fund Management, Press Releases Press Release PDF
31.34 KB
15/04/2011 2011/123 Press release- ESMA seeks preliminary views on future rules for alternative investment fund managers Fund Management, Press Releases Press Release PDF
39.69 KB
07/07/2011 2011/195 Press release- ESMA investigates how Member States have implemented the Transparency Directive Press Releases, Supervisory convergence Press Release PDF
61.34 KB
13/07/2011 2011/214 Press release- ESMA seeks views on future rules for alternative investment fund managers Fund Management, Press Releases Press Release PDF
58.32 KB
20/07/2011 2011/223 Press release- ESMA consults on systems and controls for highly automated trading Press Releases, MiFID - Secondary Markets Press Release PDF
57.39 KB
22/07/2011 2011/221 Press release- ESMA seeks preliminary views on the potential shape of future regulation of exchange-traded funds and structured UCITS Fund Management, Press Releases Press Release PDF
33.85 KB
23/08/2011 2011/271 Press release- ESMA consults on future rules for alternative investment fund managers and the treatment of third country entities Fund Management, Press Releases Press Release PDF
64.05 KB
16/11/2011 2011/378 Press release- ESMA details future rules for alternative investment fund managers Fund Management, Press Releases Press Release PDF
61.82 KB
09/12/2011 2011/431 Global regulators discuss OTC derivatives regulation Press Releases, MiFID - Secondary Markets Press Release PDF
18.94 KB		 Leaders and senior representatives of the authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Canada, the European Union, Hong Kong, Japan, Singapore and the United Statesmet met yesterday in Paris.  
22/12/2011 2011/457 ESMA outlines future automated trading regime for trading platforms, investment firms and competent authorities Press Releases, MiFID - Secondary Markets Press Release PDF
151.9 KB
30/01/2012 2012/43 ESMA outlines future regulatory framework for ETFs and other UCITS issues Fund Management, Press Releases Press Release PDF
146.49 KB		 ESMA publishes today a consultation paper (ESMA/2012/44) setting out future guidelines on UCITS Exchange-Traded Funds (UCITS ETFs) and other UCITS-related issues. The proposals cover both synthetic and physical UCITS ETFs and detail the obligations to come for UCITS ETFs, index-tracking UCITS, efficient portfolio management techniques, total return swaps and strategy indices for UCITS. ESMA’s proposals therefore go wider than ETFs and cover such areas as the use of total return swaps by any UCITS, for which ESMA envisages additional obligations with respect to the collateral to be provided, or UCITS investing in strategy indices, where the requirements on eligibility of such indices have been tightened. The proposals also include placing an obligation on UCITS ETFs to use an identifier and facili-tating the ability of investors to redeem their shares, whether in the secondary market or directly with the ETF provider.
24/02/2012 2012/128 ESMA readies guidelines on automated trading – application deadline starts Press Releases, MiFID - Secondary Markets Press Release PDF
167.16 KB		 ESMA today publishes the official translations of its final “Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities” (ESMA/2011/456), first published on 21 December 2011. High Frequency Trading (HFT) is one form of automated trading.   By having translated the guidelines into all the official languages of the EU, today’s publication triggers a transitional period of two months within which national supervisors have to declare whether they intend to comply with the guidelines or otherwise explain the reasons for non-compliance which would be made public by ESMA. According to the ESMA Regulation national supervisors have to make every effort to comply with the Guidelines.
26/04/2012 2012/272 ESMA identifies divergence in Member States’ use of sanctions under the Market Abuse Directive Press Releases, Supervisory convergence Press Release PDF
179.91 KB		 The European Securities and Markets Authority (ESMA) has published a report on the use of administrative and criminal sanctions by European Union (EU) national regulators under the Market Abuse Directive (MAD).  The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
24/05/2012 2012/330 ESMA finds high level of consistency in EU national regulators’ practices for the approval of investment prospectuses Press Releases, Supervisory convergence Press Release PDF
177.71 KB		 The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“,  a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA)  when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses.  The prospectuses provide investors with easy to understand and relevant information on investment products.  Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.
28/06/2012 2012/441 ESMA proposes remuneration guidelines for alternative investment fund managers Fund Management, Press Releases Press Release PDF
183.45 KB		 The European Securities and Markets Authority (ESMA) has published today a consultation paper on proposed Guidelines on remuneration of alternative investment fund managers (AIFMs).  ESMA’s future guidelines will apply to managers managing alternative investment funds (AIFs) including hedge funds, private equity funds and real estate funds.  These funds will be asked to introduce sound and prudent remuneration policies and structures with the aim of increasing investor protection and avoiding conflicts of interest that may lead to excessive risk taking.
25/07/2012 2012/475 ESMA publishes ETF guidelines and consults on repo arrangements Fund Management, Press Releases Press Release PDF
119.34 KB		 The European Securities and Markets Authority (ESMA) has today published guidelines on Exchange-Traded Funds (ETFs) and other UCITS issues.  These guidelines will apply to national securities markets regulators and UCITS management companies.ESMA is also seeking views on the appropriate treatment of repo and reverse repo arrangements in the context of the guidelines on ETFs and other UCITS issues.
12/09/2012 2012/571 Julie Galbo joins ESMA’s Management Board Board of Supervisors Press Release PDF
106.93 KB
03/12/2012 2012/798 EU and Swiss regulators to co-operate on cross-border supervision of alternative investment funds Fund Management, Press Releases Press Release PDF
319.88 KB
04/12/2012 2012/801 ESMA finalises guidelines on repo arrangements for UCITS funds Fund Management, Press Releases Press Release PDF
105.28 KB		 Date: 04 December 2012ESMA/2012/801PRESS RELEASEESMA finalises guidelines on repo arrangements for UCITS fundsThe 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.Key elements of the guidelines are:•    For repurchase arrangements, UCITS should be able to recall at any time the assets subject to such arrangements; •    For reverse repurchase agreements, UCITS should be able to recall at any time the full amount of cash on either an accrued or a mark-to-market basis.  However, when cash is recalled on a mark-to-market basis, the mark-to-market value of the reverse repurchase agreements should be used for the calculation of the net asset value of the UCITS; and•    ESMA considers fixed-term repurchase and reverse repurchase agreements that do not exceed seven days as arrangements that allow the assets to be recalled at any time by the UCITS.The guidelines will now be translated into all EU languages and will be incorporated into ESMA’s Guidelines on ETFs and other UCITS issues, published in July 2012.  The full set of guidelines will enter into force two months after the publication of the translations.  This will result in a comprehensive framework for UCITS that will increase transparency and investor protection and contributes to safeguarding the stability of financial markets. Notes for editors1.    ESMA is an independent EU Authority that was established on 1 January 2011 and works closely with the other European Supervisory Authorities responsible for banking (EBA), and insurance and occupational pensions (EIOPA), and the European Systemic Risk Board (ESRB).2.    ESMA’s mission is to enhance the protection of investors and promote stable and well-functioning financial markets in the European Union (EU).  As an independent institution, ESMA achieves this aim by building a single rule book for EU financial markets and ensuring its consistent application across the EU.  ESMA contributes to the regulation of financial services firms with a pan-European reach, either through direct supervision or through the active co-ordination of national supervisory activity.Further information:David CliffeSenior Communications Officer Tel:   +33 (0)1 58 36 43 24 Mob: +33 6 42 48 29 06Email: press@esma.europa.eu

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