ESMA LIBRARY
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Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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15/04/2011 | 2011/121 | Discussion paper- ESMA’s policy orientations on possible implementing measures under Article 3 of the Alternative Investment Fund Managers Directive | Fund Management | Consultation Paper | PDF 186.38 KB |
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13/07/2011 | 2011/209 | Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive | Fund Management | Consultation Paper | PDF 2.82 MB |
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20/07/2011 | 2011/224 | Consultation paper- Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities | MiFID - Secondary Markets | Consultation Paper | PDF 623.6 KB |
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22/07/2011 | 2011/220 | Discussion paper- ESMA’s policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS | Fund Management | Consultation Paper | PDF 211.79 KB |
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23/08/2011 | 2011/270 | Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries | Fund Management | Consultation Paper | PDF 154.97 KB |
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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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30/01/2012 | 2012/44 | ESMA’s guidelines on ETFs and other UCITS issues | Fund Management | Consultation Paper | PDF 420.17 KB |
In the summer of 2010 ESMA started looking into the operation of UCITS making use of the new investment freedoms introduced by the UCITS III Directive and the Eligible Assets Directive (2007/16/EC) in order to identify the possible impact on investor protection and market integrity. As part of this work, ESMA published a discussion paper on policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS on 22 July 2011 (ESMA/2011/220), responses to which were due by 22 September. This consultation paper represents the next stage in the development of ESMA guidelines in this area. ESMA will take into account responses to this consultation paper in finalising the guidelines for adoption in Q2 2012. | |||
23/02/2012 | 2012/117 | Discussion paper on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM | Fund Management | Consultation Paper | PDF 359.52 KB |
This document will be of interest to asset management companies and trade associations of asset management companies managing funds falling in the scope of the Alternative Investment Fund Managers Directive. Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public consultation will be used by ESMA in finalising the draft regulatory technical standards to be submitted to the European Commission for endorsement by the end of 2012. | |||
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. | |||
28/06/2012 | 2012/406 | Draft Guidelines on sound remuneration policies under the AIFMD | Fund Management | Consultation Paper | PDF 1.03 MB |
Annex II of the AIFMD establishes a set of rules (largely inspired from the provisions of Directive 2006/48/EC, the “CRD”) with which AIFMs have to comply when establishing and applying the remuneration policies for certain categories of their staff. Article 13(2) of the AIFMD requires ESMA to develop guidelines on sound remuneration policies which comply with Annex II of the AIFMD. This consultation paper represents the first step in the elaboration of the guidelines on remuneration policies required by the AIFMD and sets out ESMA’s formal proposals for these guidelines.Responses to this consultation paper will be taken into account by ESMA in finalising the guidelines on sound remuneration policies under the AIFMD. In finalising the guidelines, ESMA will also take into account the development of its work on the separate set of guidelines, which will be complementary to the CEBS Guidelines, focused on remuneration policies of investment firms from an investor protection point of view, for which a separate consultation paper will be published at the end of Q3 2012. ESMA aims to adopt the final text of the guidelines on sound remuneration policies under the AIFMD in Q4 2012. | |||
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. | |||
19/12/2012 | 2012/844 | Draft regulatory technical standards on types of AIFMs | Fund Management | Consultation Paper | PDF 826.57 KB |
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19/12/2012 | 2012/845 | Guidelines on key concepts of the AIFMD | Fund Management | Consultation Paper | PDF 698.69 KB |
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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 | |||
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 | |||
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. | |||
19/07/2013 | MOU ACER ESMA | MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market | MiFID - Secondary Markets | Reference | PDF 207.61 KB |
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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 | |||
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. | |||
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. |