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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
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
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
30/10/2014 JC/2014/01 add Addendum to Joint CP on draft ITS on the mapping of ECAIs Joint Committee Consultation Paper PDF
157.22 KB		 The Joint Committee of the three European Supervisory Authorities (EBA, ESMA and EIOPA - ESAs) published today an addendum to the joint consultation on the mapping of the credit assessments to risk weights of External Credit Assessment Institutions (ECAIs). The addendum provides further details on the application of the rules proposed in the draft Implementing Technical Standards (ITS) in relation to particular ECAIs and is to be considered as an extension of the consultation process. The consultation period will be reopened until 30 November 2014 in order to collect additional comments. In line with the specifications included in the joint Consultation Paper published in February 2014, this addendum contains the individual mapping tables of all relevant ECAIs. The proposed mappings establish the level of capital that financial institutions should hold in order to ensure the safety and soundness of the EU financial system. These draft mappings are based on the amount of objective information available for each ECAI regarding the performance of its credit ratings. Therefore, the draft mappings mainly reflect the historical ability of ECAIs to anticipate negative credit events. For those cases where only a small number of credit ratings were available, the draft mappings have to a large extent relied on alternative information; whereas, when no relevant information was found, a certain degree of prudence has been applied. Furthermore, the addendum contains some additional aspects resulting from the cost-benefit/impact assessment analysis. The analysis shows that the proposals for the largest ECAIs are not expected to have a significant impact on financial institutions in terms of capital requirements. Only in very specific cases the average capital requirement associated with a particular ECAI might increase by up to 10%. In the case of ECAIs that currently have no mapping established, the impact is expected to reflect the true risk profile of the rated entities. In addition, the EBA also published the individual draft mapping reports that illustrate how the rules proposed in the draft ITS were applied. The draft mappings will be reviewed in light of any comments received during the consultation process. Consultation process The consultation deadline is 30 November 2014 and responses can be submitted here. All contributions received will be published following the close of the consultation, unless requested otherwise. Draft Mapping Reports
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 
22/12/2014 JC/GL/2014/01/IT Allegato I. Modello per il processo di mappatura del conglomerato finanziario (allegato JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.26 KB
22/12/2014 JC/GL/2014/01/RO Anexa I: Formular pentru procesul de mapare aferent conglomeratului financiar (Anexa 2014 070 a Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
66.2 KB
22/12/2014 JC/GL/2014/01/PT Anexo I: Modelo para o processo de levantamento do conglomerado financeiro (JC 2014 070 Anexo) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.14 KB
22/12/2014 JC/GL/2014/01/ES Anexo I: Plantilla para el proceso de asignación del conglomerado financiero (Anexo 2014 070 del Comité Mixto) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.87 KB
22/12/2014 JC/GL/2014/01/DE Anhang I: Vorlage für das Mapping-Verfahren für Finanzkonglomerate (ABl. 2014 070 Anhang) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.05 KB
22/12/2014 JC/GL/2014/01/MT Anness I: Mudell għall-proċess ta’ mmappjar għall-konglomerat finanzjarju (Anness JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.01 KB
22/12/2014 JC/GL/2014/01/FR Annexe I: modèle pour le processus de cartographie du conglomérat financier (annexe JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.7 KB
25/08/2014 JC/2014/43 fi Arvopaperialaa (ESMA) ja pankkialaa (EPV) koskevat ohjeet valitusten käsittelystä Joint Committee, Guidelines and Technical standards Guidelines & Recommendations PDF
150.96 KB		 The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.
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
22/12/2014 JC/GL/2014/01 LT Bendrosiosgairės dėl priežiūros praktikos, kuri susijusi su finansinių konglomeratų priežiūros veiklos koordinavimo tvarkos suderinimu, konvergencijos Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
227.31 KB
22/12/2014 JC/GL/2014/01/NL Bijlage I: Model voor het in kaart brengen (mapping) van het financiële conglomeraat (JC 2014 07 Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
67.95 KB
22/12/2014 JC/GL/2014/01/DA Bilag I: Skema til brug for kortlægningen af det finansielle konglomerat (JC 2014 070 Bilag) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLS
93.5 KB
22/12/2014 JC/GL/2014/01/SV Bilaga I: Mall för kartläggningsprocessen för det finansiella konglomeratet (JC 2014 070 Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
62.26 KB
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.
07/11/2014 2014/1340 Call for evidence on AIFMD passport and third country AIFMs Fund Management Consultation Paper PDF
317.57 KB

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