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Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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29/11/2013 | 2013/998 ES | 28.11.13 | ESMA/2013/998 Directrices sobre el modelo de memorando de acuerdo relativo a la consulta, la cooperación y el intercambio de información en lo que respecta a la supervisión de las entidades de la DGFIA | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 244.6 KB |
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29/11/2013 | 2013/998 RO | 28.11.13 | ESMA/2013/998 Orientări referitoare la modelul de memorandum de înţelegere privind consultarea, cooperarea şi schimbul de informaţii în legătură cu supravegherea entităţilor prevăzute de DAFIA | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 263.01 KB |
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29/11/2013 | 2013/998 SK | 28.11.13 | ESMA/2013/998 Usmernenia o vzorovom memorande o porozumení o konzultáciách, spolupráci a výmene informácií v súvislosti s dohľadom nad subjektmi, na ktoré sa vzťahuje smernica o správcoch alternatívnych investičných fondov | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 269.81 KB |
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28/03/2012 | 2012/197 hu | Az egyes strukturált ÁÉKBV-k kockázatának mérésére és teljes kitettségének számítására vonatkozó iránymutatások | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 274.08 KB |
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01/08/2014 | 2014/937 et | Börsil kaubeldavate fondide ja muude eurofondide emissioone käsitlevad suunised | Guidelines and Technical standards, Fund Management | Guidelines & Recommendations | PDF 336.89 KB |
This is an update of the guidelines originally published in 2012. The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions. | |||
01/08/2014 | 2014/937 es | Directrices sobre fondos cotizados (ETF) y otras cuestiones relativas a los OICVM | Guidelines and Technical standards, Fund Management | Guidelines & Recommendations | PDF 351.34 KB |
This is an update of the guidelines originally published in 2012. The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions. | |||
28/03/2012 | 2012/197 es | Directrices sobre medición de riesgos y estimación de la exposición global de ciertos tipos de OICVM estructuradas | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 267.49 KB |
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20/02/2014 | 2014/161 | Draft implementing technical standards on notification- EuSEF | Fund Management | Technical Standards | PDF 29.18 KB |
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20/02/2014 | 2014/160 | Draft implementing technical standards on notification- EuVECA | Fund Management | Technical Standards | PDF 175.99 KB |
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18/09/2015 | 2015/1409 | Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive) | Fund Management | Technical Standards | PDF 339.52 KB |
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20/12/2013 | 2013/1970 | Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus | Prospectus, Corporate Disclosure | Technical Standards | PDF 713.74 KB |
The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment. | |||
20/03/2013 | 2013/318 | Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies | Prospectus, Corporate Disclosure, Transparency | CESR Document | PDF 265.19 KB |
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23/03/2011 | 2011/67 | Feedback statement- Consultation Paper on proposed amendments to CESR | Prospectus, Corporate Disclosure | CESR Document | PDF 384.63 KB |
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15/05/2009 | 09-220 | Feedback statement- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | Market Abuse | CESR Document | PDF 238.16 KB |
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28/09/2015 | 2015-ESMA-1455 | Final Report MAR TS | Market Abuse | Technical Standards | PDF 1.77 MB |
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24/03/2014 | 2014/294 | Final Report on Revision of Guidelines ETFs and other UCITS issues | Guidelines and Technical standards, Fund Management | Guidelines & Recommendations | PDF 241.59 KB |
Reasons for publication In December 2012, ESMA published the guidelines on ETFs and other UCITS issues (ESMA/2012/832) (hereafter the guidelines). Since the entry into force of the guidelines on 18 February 2013, ESMA has been asked by stakeholders on numerous occasions to reconsider its position on the requirements on collateral diversification (paragraph 43(e) of the guidelines) on the basis that they have a significant adverse impact on UCITS’s collateral management policies. Stakeholders drew particular attention to the consequences for money market funds that place cash into reverse repurchase agreements. On 20 December 2013, ESMA published a consultation paper (ESMA/2013/1974) in which the Authority set out proposed amendments to paragraph 43(e) of the guidelines. Contents Annex I of this final report sets out ESMA’s position on collateral management by UCITS. The guidelines in Annex I modify the rules on collateral diversification in paragraph 43(e) of the existing guidelines and introduce some further consequential changes. Next steps The guidelines in Annex I of this report will be translated into the official EU languages and published on the ESMA website. The publication of the translations will trigger a two-month period during which NCAs must notify ESMA whether they comply or intend to comply with the guidelines. | |||
02/04/2013 | 2013/413 | Final Report- Draft regulatory technical standards on types of AIFMs | Fund Management | Technical Standards | PDF 116.08 KB |
The European Securities and Markets Authority (ESMA) has published its draft regulatory technical standards (RTS) to determine types of alternative investment fund managers (AIFMs), where relevant in the application of the AIFMD. The draft RTS distinguish AIFMs managing alternative investment funds (AIF) of the open-ended type and AIFMs managing AIFs of the closed-ended type, in order to apply the rules on liquidity management, the valuation procedures and the transitional provisions of the AIFMD. ESMA was required to develop these RTS by Article 4(4) of the AIFMD and they are aimed at ensuring uniform conditions of application of the AIFMD across the European Union. | |||
29/11/2013 | 2013/998 LT | Gairės dėl pavyzdinio susitarimo memorandumo dėl konsultavimosi, bendradarbiavimo ir keitimosi informacija vykdant AIFV direktyvoje nustatytų subjektų priežiūrą | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 256.19 KB |
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01/08/2014 | 2014/937 lt | Gairės, skirtos biržoje prekiaujamiems fondams (ETF) ir kitiems KIPVPS | Guidelines and Technical standards, Fund Management | Guidelines & Recommendations | PDF 373.1 KB |
This is an update of the guidelines originally published in 2012. The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions. | |||
28/03/2012 | 2012/197 ro | Ghid privind măsurarea riscului şi calcularea expunerii globale pentru anumite tipuri de OPCVM-uri structurate | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 267.6 KB |