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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/08/2011 JC IFC List of identified financial conglomerates Reference PDF
172.11 KB
13/10/2011 2011/342 Opinion- Practical arrangements for the late transposition of the UCITS IV Directive Opinion PDF
41.33 KB
21/02/2012 2012/113 Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 Q&A PDF
83.79 KB
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.
23/03/2012 JC 2011/82 Joint Committee of the ESAs- Work programme 2012 Reference PDF
89.31 KB
23/03/2012 JC 2011/17 Medium term strategy for the Joint Committee Reference PDF
152.87 KB
17/04/2012 JC/2011/17 Medium term strategy for the Joint Committee Reference PDF
152.75 KB
17/04/2012 JC/2011/82 Joint Committee of the ESAs- Work programme 2012 Overview of deliverables Reference PDF
89.31 KB
20/07/2012 JC/2012/12 List of identified financial conglomerates Reference PDF
106.78 KB
02/08/2012 JC/P/2012/01 ESAs supervisory protocol on anti-money laundering of payment institutions Reference PDF
606.88 KB
24/10/2012 JC/2012/88 EBA, EIOPA and ESMA’s Response to the European Commission’s Call for Advice on the Fundamental Review of the Financial Conglomerates Directive Reference PDF
590.58 KB
20/11/2012 2012/721 Opinion on Article 50(2)(a) of the UCITS Directive Opinion PDF
81.31 KB
16/01/2013 JC/2013/02 Joint Committee of the ESAs’ 2013 Work Programme Reference PDF
78.96 KB
In 2013, the Joint Committee will give high priority to the areas of consumer protection and risk analysis. The Joint Committee will also pursue the regulatory work initiated in 2012 in key areas such as Financial Conglomerates, AntiMoney Laundering and Credit Ratings, and will give more visibility to its work to externalstakeholders.
04/02/2013 2013/14 Call for expressions of interest: Consultative Working Group for ESMA’s Investment Management Standing Committee Reference PDF
129.5 KB
To apply, please use the below Application form
20/03/2013 2013/317 Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive , Opinion PDF
725.59 KB
05/07/2013 2013/ITMG/14 Terms of Reference IT Management and Governance Group Reference PDF
46.39 KB
01/08/2013 2013/1072 Practical arrangements for the late transposition of the AIFMD Opinion PDF
93.1 KB
The European Securities and Markets Authority (ESMA) has published an Opinion on arrangements for the late imposition of the AIFMD. The scope of the opinion is confined to the provision of collective portfolio management services. Arrangements before implementation of the Directive in all Member States Notification of marketing of EU AIFs when the host MS of the AIFM has not transposed the Directive (Articles 31 and 32 of the Directive) ESMA believes that, if the Directive has been transposed in the home MS of the AIFM, the competent authority of the host MS of the AIFM (Article 32) or home MS of the AIFM (Article 31) may not refuse a valid notification under the Directive on the ground that the Directive has not yet been transposed in the host MS. This applies irrespective of whether the marketing is done using the freedom to provide services or by means of a branch. Management passport (Article 33 of the Directive) ESMA believes that AIFMs established in a MS that has transposed the Directive should be able to manage an EU AIF via the management passport, both using the freedom to provide services or by means of a branch, in a MS where the Directive has not been transposed, irrespective of the provisions currently in place in such jurisdiction since the relevant provisions of the Directive are of a self-executing nature, and provided the AIFM is authorised to manage that type of AIF in accordance with Article 33(1) of the AIFMD. Any local restrictions on AIFMs that are not in accordance with the AIFMD will need to be disapplied.
13/08/2013 2013/611 SV Key concepts of the AIFMD 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 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.
02/10/2013 JC/2013/051 Joint Committee of the ESAs’ 2014 Work Programme Reference PDF
90.99 KB
The Joint Committee of the European Supervisory Authorities (EBA, ESMA, EIOPA) publishes today its Work Programme for next year. Throughout 2014, the Joint Committee will give high priority to the areas of Consumer Protection and Cross-Sectoral Risk Analysis, as in the current year. The Joint Committee will also bring forward its regulatory work already underway in key areas such as Financial Conglomerates, Anti-Money Laundering, Benchmark setting processes and Credit Rating Agencies. Furthermore, the Joint Committee will keep on monitoring closely legislative and regulatory developments both at the European and international level, so as to ensure appropriate and timely follow-up, including in relation to Systemically Important Financial Institutions (SIFIs).
15/11/2013 2013/1359 Consolidated AIFMD reporting template (revised) Reference XLSX
4.15 MB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.

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