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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/07/2002 02-089b CESR’s Advice on possible Level 2 Implementing Measures for the proposed Market Abuse Directive Consultation Paper PDF
213.95 KB
28/10/2004 04-505 Consultation paper- Facilitating the implementation of the Market Abuse Directive Consultation Paper PDF
284.76 KB
02/11/2006 06-562 Consultation paper- Market Abuse Directive, Level 3 – second set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
110.17 KB
20/05/2008 08-274 Consultation paper- Market Abuse Directive Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
101.96 KB
03/10/2008 08-717 Consultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
88.1 KB
15/04/2011 2011/121 Discussion paper- ESMA’s policy orientations on possible implementing measures under Article 3 of the Alternative Investment Fund Managers Directive Consultation Paper PDF
186.38 KB
13/07/2011 2011/209 Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive Consultation Paper PDF
2.82 MB
22/07/2011 2011/220 Discussion paper- ESMA’s policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS Consultation Paper PDF
211.79 KB
23/08/2011 2011/270 Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries Consultation Paper PDF
154.97 KB
16/11/2011 2011/382 Letter to Michel Barnier- ESMA's response to the European Commission's provisional request to CESR/ESMA for technical advice on possible Level 2 measures concerningthe Directive for Alternative Investment Fund Managers (AIFM) Letter PDF
41.73 KB
16/11/2011 2011/383 Letter to Jonathan Faull- ESMA's response to the European Commission's provisional request to CESR/ESMA for technical advice on possible Level 2 measures concerningthe Directive for Alternative Investment Fund Managers (AIFM) Letter PDF
41.73 KB
16/11/2011 2011/384 Letter to Sharon Bowles- ESMA's response to the European Commission's provisional request to CESR/ESMA for technical advice on possible Level 2 measures concerningthe Directive for Alternative Investment Fund Managers (AIFM) Letter PDF
200.77 KB
23/02/2012 2012/117 Discussion paper on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM Consultation Paper PDF
359.52 KB
This document will be of interest to asset management companies and trade associations of asset management companies managing funds falling in the scope of the Alternative Investment Fund Managers Directive. Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public consultation will be used by ESMA in finalising the draft regulatory technical standards to be submitted to the European Commission for endorsement by the end of 2012. 
28/06/2012 2012/406 Draft Guidelines on sound remuneration policies under the AIFMD Consultation Paper PDF
1.03 MB
Annex II of the AIFMD establishes a set of rules (largely inspired from the provisions of Directive 2006/48/EC, the “CRD”) with which AIFMs have to comply when establishing and applying the remuneration policies for certain categories of their staff. Article 13(2) of the AIFMD requires ESMA to develop guidelines on sound remuneration policies which comply with Annex II of the AIFMD. This consultation paper represents the first step in the elaboration of the guidelines on remuneration policies required by the AIFMD and sets out ESMA’s formal proposals for these guidelines.Responses to this consultation paper will be taken into account by ESMA in finalising the guidelines on sound remuneration policies under the AIFMD. In finalising the guidelines, ESMA will also take into account the development of its work on the separate set of guidelines, which will be complementary to the CEBS Guidelines, focused on remuneration policies of investment firms from an investor protection point of view, for which a separate consultation paper will be published at the end of Q3 2012. ESMA aims to adopt the final text of the guidelines on sound remuneration policies under the AIFMD in Q4 2012. 
30/01/2012 2012/44 ESMA’s guidelines on ETFs and other UCITS issues Consultation Paper PDF
420.17 KB
In the summer of 2010 ESMA started looking into the operation of UCITS making use of the new investment freedoms introduced by the UCITS III Directive and the Eligible Assets Directive (2007/16/EC) in order to identify the possible impact on investor protection and market integrity. As part of this work, ESMA published a discussion paper on policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS on 22 July 2011 (ESMA/2011/220), responses to which were due by 22 September. This consultation paper represents the next stage in the development of ESMA guidelines in this area. ESMA will take into account responses to this consultation paper in finalising the guidelines for adoption in Q2 2012.
19/12/2012 2012/844 Draft regulatory technical standards on types of AIFMs Consultation Paper PDF
826.57 KB
19/12/2012 2012/845 Guidelines on key concepts of the AIFMD Consultation Paper PDF
698.69 KB
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.
23/09/2014 2013/1358 AIFMD reporting IT technical guidance (rev 4) [updated] Reference ZIP
155.52 KB
The IT technical guidance (2013/1358) contains the following set of documents: IT technical guidance in which is included the description of changes performed on the technical guidance and/or XSD documents in sheet “change history. XML samples for AIFM and AIF reports Excel version of Annex III – “Table of geographical areas” Previous version of XSD documents (Version 1.1) The current IT technical guidance revision 4 contains modifications on the IT technical guidance to take into account the last published version of Questions and Answers (Q&A) on the application of the AIFMD (2014/868) as well as some clarifications and correction of inconsistencies with XSD documents. Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. Each AIFM should contact directly the national competent authorities to know how the filling of the XML reports will be handled at national level.
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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