ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 16/11/2011 | 2011/379 | Final report- ESMA's technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive | Fund Management | Technical Advice | PDF 3.51 MB |
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| 20/06/2012 | 2012/378 | Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading | MiFID - Secondary Markets | Reference | PDF 353.3 KB |
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience. | |||
| 25/07/2012 | 2012/478 | ESMA MiFID database- description of webservice | MiFID - Secondary Markets | Reference | PDF 123.71 KB |
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases. | |||
| 20/08/2013 | 2013/1119 | Opinion on draft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU | Fund Management | 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. | |||
| 23/09/2014 | 2013/1358 | AIFMD reporting IT technical guidance (rev 4) [updated] | Fund Management | Reference | ZIP 155.52 KB |
The IT technical guidance (2013/1358) contains the following set of documents: IT technical guidance in which is included the description of changes performed on the technical guidance and/or XSD documents in sheet “change history. XML samples for AIFM and AIF reports Excel version of Annex III – “Table of geographical areas” Previous version of XSD documents (Version 1.1) The current IT technical guidance revision 4 contains modifications on the IT technical guidance to take into account the last published version of Questions and Answers (Q&A) on the application of the AIFMD (2014/868) as well as some clarifications and correction of inconsistencies with XSD documents. 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. | |||
| 15/11/2013 | 2013/1359 | Consolidated AIFMD reporting template (revised) | Fund Management | 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) | Fund Management | Reference | XLSX 310.05 KB |
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. | |||
| 25/03/2014 | 2013/1361 | AIFMD- Reporting- XML documents- V1.2 [updated] | Fund Management | 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. | |||
| 04/02/2013 | 2013/14 | Call for expressions of interest: Consultative Working Group for ESMA’s Investment Management Standing Committee | Fund Management | Reference | PDF 129.5 KB |
To apply, please use the below Application form | |||
| 15/11/2013 | 2013/1586 | AIFMD Reporting- Annex 2-Tables 1-7 | Fund Management | Reference | XLSX 30.46 KB |
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. | |||
| 02/12/2013 | 2013/1792 | Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group | MiFID - Secondary Markets | Reference | PDF 98.24 KB |
Deadline for applications is 3 January 2014. | |||
| 13/08/2013 | 2013/611 SV | Key concepts of the AIFMD | Fund Management | Reference | PDF 84.4 KB |
Riktlinjer Riktlinjer om nyckelbegrepp i direktivet om förvaltare av alternativa investeringsfonder | |||
| 10/11/2016 | 2013/68c | Protocol on the operation of ESMA MiFID Database final | MiFID - Investor Protection, MiFID - Secondary Markets | Reference | PDF 333.11 KB |
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| 29/11/2013 | 2013/998 DA | Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder | Fund Management, Guidelines and Technical standards | Reference | PDF 241.03 KB |
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| 29/11/2013 | 2013/998 SL | Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS | Fund Management, Guidelines and Technical standards | Reference | PDF 246.77 KB |
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| 06/11/2014 | 2014/1334 | MiFID database- Contact emails of national competent authorities for market participants [updated] | MiFID - Secondary Markets | Reference | PDF 138.29 KB |
ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent. Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid. |
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| 28/11/2014 | 2014/1417 | ESMA's technical advice to the European Commission on delegated acts required by the UCITS V Directive | Fund Management | Technical Advice | PDF 469.49 KB |
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| 19/12/2014 | 2014/1569 | Technical Advice to the Commission on MiFID II and MiFIR | MiFID - Investor Protection, MiFID - Secondary Markets | Technical Advice | PDF 2.8 MB |
Reasons for publication The European Securities and Markets Authority (ESMA) received a formal request (mandate) from the European Commission (Commission) on 23 April 2014 to provide technical advice to assist the Commission on the possible content of the delegated acts required by several provisions of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on the European Commission website (here). ESMA was required to provide technical advice by no later than six months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows the same structure as the Consultation Paper (CP) published by ESMA on 22 May 2014 which is: (1) Introduction, (2) Investor protection, (3) Transparency, (4) Data publication, (5) Micro-structural issues, (6) Requirements applying on and to trading venues, (7) Commodity derivatives and (8) Portfolio compression. This paper also contains summaries of responses to the CP received by ESMA. The rationale of those items covered already in the CP for which no relevant changes have been introduced, is not developed again in this Final Report. ESMA recommends, therefore, to read this report together with the CP published on 22 May 2014 to have a complete vision of the rationale for ESMA’s technical advice. Next steps Delegated acts should be adopted by the Commission so that they enter into application by 30 months following the entry into force of the Directive and Regulation, taking into account the right of the European Parliament and Council to object to a delegated act within 3 months (which can be extended by a further 3 months). | |||
| 27/03/2014 | 2014/312 | Technical advice to the European Commission on the information that competent authorities should provide to ESMA pursuant to Article 67(3) of the AIFMD | Fund Management | Technical Advice | PDF 330.79 KB |
Reasons for publication ESMA is issuing this technical advice in response to the mandate received from the European Commission on 20 December 2013 for advice on the possible content of the delegated act required by Article 67(5) of the AIFMD, concerning the information that EU competent authorities have to provide quarterly to ESMA pursuant to Article 67(3) of the Directive. This information is needed in order to allow ESMA to produce the opinion and the advice required in Article 67(1) of the AIFMD, in relation to the possible extension of the AIFMD passport to non-EU AIFs and non-EU AIFMs. Contents Section II describes the background of the proposal. Section III specifies the timing for the provision of the information to ESMA and lists the information that the competent authorities should provide quarterly to ESMA. The list of information is divided into three parts: the first refers to the information about the functioning of the passport for EU AIFMs; the second deals with the functioning of the national private placement regime for non-EU AIFs and non-EU AIFMs; and the third refers to the issues arising from the functioning of both systems. Finally, Section IV reproduces the mandate for advice issued by the European Commission. Next steps ESMA will cooperate closely with the European Commission in order to facilitate an expeditious adoption of the delegated act required by Article 67(5) of the AIFMD. | |||
| 18/06/2014 | 2014/639 | Call for expressions of interest regarding the renewal of the Consultative Working Group of the ESMA Secondary Markets Standing Committee | MiFID - Secondary Markets | Reference | PDF 131.06 KB |
The European Securities and Markets Authority (ESMA) is looking to newly constitute a Consultative Working Group (CWG) for the ESMA Secondary Markets Standing Committee (SMSC) as the two-year-term of the existing CWG has recently expired. ESMA is therefore calling for expressions of interest from stakeholders to become a member of the CWG by 13 July 2014. The application form should be accompanied by a CV. The model European CV is recommended.It is optional for applicants, though recommended, to attach a letter of motivation. |