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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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04/04/2019 | ESMA34-45-651 | UCITS Sanction Report 2016/2017 | Fund Management | Report | PDF 398.96 KB |
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04/06/2020 | ESMA34-39-1042 | Supervisory briefing on the supervision of costs in UCITS and AIFs | Fund Management, Supervisory convergence | Report | PDF 162.41 KB |
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28/05/2021 | ESMA81-393-98 | Supervisory Briefing on Benchmark administrators’ presence in their Member States of location and outsourcing | Benchmarks, Supervisory convergence | Report | PDF 200.21 KB |
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05/09/2019 | ESMA50-164-2458 | Stress simulation for investment funds | Fund Management, Risk Analysis & Economics - Markets Infrastructure Investors | Report | PDF 868.55 KB |
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12/07/2017 | ESMA32-67-284 | Review of Fair Value Measurement in the IFRS financial statements | Corporate Disclosure, IFRS Supervisory Convergence | Report | PDF 1.58 MB |
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20/12/2019 | ESMA32-334-150 | Report On the use of Alternative Performance Measures and on the compliance with ESMA’s APM Guidelines | Corporate Disclosure, Supervisory convergence | Report | PDF 800.36 KB |
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15/12/2021 | ESMA32-339-169 | Report on the application of the IFRS 7 and IFRS 9 requirements regarding banks’ expected credit losses | Corporate Disclosure, IFRS Supervisory Convergence | Report | PDF 3.69 MB |
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08/07/2022 | ESMA34-45-1647 | Report on Penalties and measures imposed under the UCITS Directive in 2021 | Fund Management | Report | PDF 449.54 KB |
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08/07/2022 | ESMA34-463-941 | Report on Penalties and measures imposed under the AIFMD in 2021 | Fund Management | Report | PDF 793.12 KB |
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30/03/2021 | ESMA32-67-716 | Report on IFRS 10-11-12 | Corporate Disclosure, IAS Regulation, IFRS Supervisory Convergence | Report | PDF 480.12 KB |
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28/07/2016 | 2016/1170 | Report on EEA prospectus activity in 2015 | Corporate Disclosure, Prospectus | Report | PDF 674.63 KB |
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13/11/2020 | ESMA34-39-1119 | Recommendation of the European Systemic Risk Board (ESRB) on liquidity risk in investment funds | Fund Management | Report | PDF 1.12 MB |
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20/07/2021 | ESMA34-45-1269 | Penalties and measures imposed under the UCITS Directive in 2020 | Fund Management | Report | PDF 516.21 KB |
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12/11/2020 | ESMA34-45-934 | Penalties and measures imposed under the UCITS Directive in 2019 | Fund Management | Report | PDF 365.02 KB |
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12/12/2019 | ESMA34-45-756 | Penalties and measures imposed under the UCITS Directive in 2018 | Fund Management | Report | PDF 467.36 KB |
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20/07/2021 | ESMA34-32-865 | Penalties and measures imposed under the AIFMD in 2020 | Fund Management | Report | PDF 510 KB |
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12/11/2020 | ESMA34-32-548 | Penalties and measures imposed under the AIFMD Directive in 2018- 2019 | Fund Management | Report | PDF 565.29 KB |
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15/07/2020 | ESMA42-111-4128 | PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE | Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence | Report | PDF 285.02 KB |
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07/04/2017 | ESMA34-43-340 | Notification frameworks and home-host responsibilities under UCITS and AIFMD- ESMA Thematic Study among National Competent Authorities | Fund Management | Report | PDF 895.97 KB |
One of the key objectives of ESMA is to foster and increase supervisory convergence across NCAs. Thematic studies have been identified as a means of achieving this objective. Their aim is to review supervisory practice in the Member States, identifying good or best practices where possible. In 2016, ESMA conducted a thematic study on the operation of home and host responsibilities under AIFMD and UCITS with a view to promoting smooth operation of the EU passports for marketing and management, looking at the notification frameworks contained in the UCITS Directive and AIFMD. The findings of the thematic study form the core of this report. They are supplemented, where possible, by a number of recommendations on good supervisory practices. |
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02/06/2017 | ESMA70-143-5 | Methodological framework for mandatory benchmarks contributions | Benchmarks | Report | PDF 282.75 KB |