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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs , Report PDF
1.4 MB
12/12/2019 ESMA34-45-756 Penalties and measures imposed under the UCITS Directive in 2018 Report PDF
467.36 KB
12/09/2019 JC 2019 54 Joint ESA report on risks and vulnerabilities in the EU financial system No2 2019 , Report PDF
1.13 MB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Report PDF
611.48 KB
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Report PDF
398.96 KB
02/04/2019 JC 2019 05 Joint ESA report on risks and vulnerabilities in the EU financial system , Report PDF
1.21 MB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices , Report PDF
1.68 MB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
12/02/2018 ESMA50-164-1284 ESA warning on virtual currencies , Investor Warning PDF
563.64 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 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.

13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB
07/04/2016 JC/2016/17 JC Risks and Vulnerabilities Report- Spring 2016 Report PDF
568.47 KB
31/03/2016 2016/411 Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Report PDF
1.39 MB

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 final report sets out the final text of the guidelines on remuneration policies required by the UCITS V Directive and also provides for a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were originally published on 3 July 2013.

16/02/2016 2016/297 Follow-up MMF , Report PDF
882.13 KB