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|27/03/2020||ESMA34-39-967||Consultation paper on Guidelines on Article 25 of Directive 2011/61/EU||Fund Management||Consultation Paper||PDF
|16/10/2019||JC-2019-63||Consultation Paper on amendments to PRIIPs KID||Fund Management, Joint Committee||Consultation Paper||PDF
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|13/11/2018||ESMA34-49-144||Consultation paper on draft guidelines on the reporting to competent authorities under article 37 of the MMF Regulation||Fund Management||Consultation Paper||PDF
|28/09/2018||ESMA34-49-131||Consultation paper on draft guidelines on stress test scenarios under the MMF Regulation||Fund Management||Consultation Paper||PDF
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
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|24/05/2017||ESMA34-49-82||Draft technical advice, implementing technical standards and guidelines under the MMF Regulation||Fund Management||Consultation Paper||PDF
|28/10/2016||2016/1529||Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders||Guidelines and Technical standards, MiFID - Investor Protection||Consultation Paper||PDF
|15/07/2016||2016/1137||Call for evidence on Asset segregation and custody services||Fund Management||Consultation Paper||PDF
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.
Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.
Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|06/04/2016||2016/570||Discussion Paper on UCITS share classes||Fund Management||Consultation Paper||PDF
|11/11/2015||JC/2015/073||Consultation Paper PRIIPs Key Information Documents||Fund Management, Joint Committee||Consultation Paper||PDF
|25/09/2015||2015/1463||ESMA Consultation Paper on ESEF||Corporate Disclosure, European Single Electronic Format, Transparency||Consultation Paper||PDF
|31/07/2015||2015/1239||Consultation Paper on draft regulatory technical standards under the ELTIF Regulation||Fund Management||Consultation Paper||PDF
|Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they: 1. respond to the question stated;2. indicate the specific question to which the comment relates;3. contain a clear rationale; and4. describe any alternatives ESMA should consider. ESMA will consider all comments received by 14 October 2015. Responses to this consultation paper can be sent using the response form, via the ESMA website, under the heading ‘Your input/Consultations’. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman. Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice. Who should read this paper This document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative investment funds managers and their trade associations, as well as (iii) institutional and retail investors investing into ELTIFs and their associations.|
|23/07/2015||2015/1172||Guidelines on sound remuneration policies under the UCITS Directive and AIFMD||Fund Management||Consultation Paper||PDF
|Reasons for publication Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration principles set out under Article 14b of the UCITS Directive (“UCITS Remuneration Guidelines”). This consultation paper represents the first step in the development of the guidelines on remuneration policies required by the UCITS V Directive and sets out ESMA’s formal proposals for these guidelines. This consultation paper also proposes a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were published on 3 July 2013. Contents Section 2 explains the background to this document, while Section 3 explains the working method followed by ESMA while developing the draft guidelines. Sections 4 to 7 provide an overview of the content of the draft guidelines focusing on the main areas of difference between the requirements on remuneration under Directive 2011/61/EU (“AIFMD”) and UCITS V Directive. Annex I provides for a comparison table where the relevant UCITS V provisions on remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in this paper. Annex III includes the draft cost-benefit analysis for the guidelines, while Annex IV sets out the text of the draft UCITS Remuneration guidelines and Annex V sets out the proposed amendment to the AIFMD Remuneration Guidelines. Next Steps ESMA will consider the feedback it receives to this consultation with a view to finalising the UCITS Remuneration Guidelines and publishing a final report by early Q1 2016, ahead of the transposition deadline for the UCITS V Directive (i.e. 18 March 2016). The final report is expected to also include the revision of the AIFMD Remuneration Guidelines which is proposed in the present paper. The consultation period will run until 23 October 2015.|
|23/06/2015||JC/DP/2015/01 reply form||Response form to joint Discussion Paper on PRIIPS||Fund Management, Joint Committee||Consultation Paper||DOCX