ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
47
REFINE YOUR SEARCH
Sections
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove Fund Management filter Fund Management
- (-) Remove CESR Archive filter CESR Archive
- (-) Remove Innovation and Products filter Innovation and Products
- (-) Remove Transparency filter Transparency
- (-) Remove Brexit filter Brexit
- (-) Remove Securities Financing Transactions filter Securities Financing Transactions
- Post Trading (31) Apply Post Trading filter
- MiFID - Secondary Markets (15) Apply MiFID - Secondary Markets filter
- Corporate Disclosure (10) Apply Corporate Disclosure filter
- Joint Committee (10) Apply Joint Committee filter
- MiFID - Investor Protection (9) Apply MiFID - Investor Protection filter
- Supervisory convergence (9) Apply Supervisory convergence filter
- Prospectus (6) Apply Prospectus filter
- Short Selling (5) Apply Short Selling filter
- Market Abuse (4) Apply Market Abuse filter
- Sustainable finance (4) Apply Sustainable finance filter
- Securitisation (3) Apply Securitisation filter
- Corporate Finance (2) Apply Corporate Finance filter
- Corporate Information (2) Apply Corporate Information filter
- Market Integrity (2) Apply Market Integrity filter
- Trade Repositories (2) Apply Trade Repositories filter
- Benchmarks (1) Apply Benchmarks filter
- Corporate Governance (1) Apply Corporate Governance filter
- Crowdfunding (1) Apply Crowdfunding filter
- Guidelines and Technical standards (1) Apply Guidelines and Technical standards filter
Type of document
- (-) Remove Q&A filter Q&A
- (-) Remove Technical Advice filter Technical Advice
- (-) Remove Technical Standards filter Technical Standards
- Press Release (371) Apply Press Release filter
- Final Report (332) Apply Final Report filter
- Consultation Paper (265) Apply Consultation Paper filter
- Reference (229) Apply Reference filter
- Guidelines & Recommendations (151) Apply Guidelines & Recommendations filter
- Letter (121) Apply Letter filter
- CESR Document (111) Apply CESR Document filter
- Statement (80) Apply Statement filter
- Speech (79) Apply Speech filter
- Report (44) Apply Report filter
- Annual Report (23) Apply Annual Report filter
- Decision (23) Apply Decision filter
- Opinion (18) Apply Opinion filter
- Compliance table (15) Apply Compliance table filter
- CLOSED Procedure (7) Apply CLOSED Procedure filter
- Investor Warning (1) Apply Investor Warning filter
- SMSG Advice (1) Apply SMSG Advice filter
Your filters
Securities Financing Transactions X CESR Archive X Transparency X Fund Management X Innovation and Products X Credit Rating Agencies X Brexit X Q&A X Technical Standards X Technical Advice X
Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
---|---|---|---|---|---|---|---|---|---|
20/07/2022 | ESMA34-43-392 | Q&A on the application of the UCITS Directive | Fund Management | Q&A | PDF 767.22 KB |
||||
20/07/2022 | ESMA34-32-352 | Q&A on the Application of the AIFMD | Fund Management, Supervisory convergence | Q&A | PDF 707.65 KB |
||||
19/07/2022 | ESMA74-362-893 | QAs on SFTR data reporting | Post Trading, Securities Financing Transactions, Trade Repositories | Q&A | PDF 405.28 KB |
||||
29/07/2021 | ESMA33-5-87 | Q&A on the Implementation of the Regulation (EU) No 462 2013 On CRA | Credit Rating Agencies | Q&A | PDF 409.83 KB |
||||
09/11/2020 | ESMA31-67-127 | Question and answers on Transparency Directive (TD) | Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency | Q&A | PDF 352.79 KB |
||||
18/07/2019 | ESMA33-9-321 | Technical Advice on Sustainability Considerations in the Credit Rating Market | Credit Rating Agencies | Technical Advice | PDF 451.01 KB |
||||
11/04/2019 | ESMA31-62-780 | Q&A on Prospectus Related Topics | Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence | Q&A | PDF 957.9 KB |
||||
10/04/2019 | JC 2019 26 | Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements | Innovation and Products, Joint Committee | Technical Advice | PDF 1.34 MB |
||||
10/04/2019 | JC 2019 25 | Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures | Innovation and Products, Joint Committee | Technical Advice | PDF 785.49 KB |
||||
16/12/2016 | 2016/1669 | 2016-1669 Q&A on AIFMD | Fund Management | Q&A | PDF 436.68 KB |
||||
21/11/2016 | 2016/1586 | Questions and Answers on UCITS Directive | Fund Management | Q&A | PDF 454.07 KB |
||||
12/09/2016 | 2016/1140 | Final advice on AIFMD passport | Fund Management | Technical Advice | PDF 621.95 KB |
This version of the advice includes the following clarifications with respect to the assessment of the Isle of Man:
|
|||
31/05/2016 | 2016/774 | Q&A on the Application of the EuSEF and EuVECA Regulations | Fund Management | Q&A | PDF 212.93 KB |
||||
02/10/2015 | 2015/1472 | Technical Advice on Competition, Choice and Conflicts of Interest in the CRA industry | Credit Rating Agencies | Technical Advice | PDF 2.48 MB |
||||
02/10/2015 | 2015/1471 | Technical Advice on Reducing Sole and Mechanistic Reliance on Credit Ratings | Credit Rating Agencies | Technical Advice | PDF 1.1 MB |
||||
25/09/2015 | 2015/1460 | ESMA Final Report on DRAFT RTS on EEAP | Transparency | Technical Standards | PDF 1.62 MB |
||||
18/09/2015 | 2015/1409 | Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive) | Fund Management | Technical Standards | PDF 339.52 KB |
||||
30/07/2015 | 2015/1236 | ESMA's advice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs | Fund Management | Technical Advice | PDF 1.36 MB |
Executive summary Reasons for publication In accordance with Articles 36 and 42 of the Directive 2011/61/EU on Alternative Investment Fund Managers (AIFMD), non-EU alternative investment fund managers (AIFMs) and non-EU alternative investment funds (AIFs) managed by EU AIFMs are subject to the national private placement regime (NPPR) of each of the Member States where the AIFs are marketed or managed. However, the AIFMD makes provision for the passport, which is currently reserved to EU AIFMs and AIFs, to be potentially extended in future. Article 67(1) of the AIFMD establishes that, by 22 July 2015, ESMA shall issue to the European Parliament, the Council and the Commission advice on the application of the passport to non-EU AIFMs and AIFs in accordance with the rules set out in Article 35 and 37 to 41 of the AIFMD. This document sets out ESMA’s advice on the application of the passport to six non-EU countries: Guernsey, Hong Kong, Jersey, Switzerland, Singapore and the United States. Contents Section 1 of the advice sets out the background to ESMA’s work, while the detailed assessment of each of the aforementioned non-EU countries is contained in section 2. Annexes 1 to 7 contain a summary of the feedback to the call for evidence that ESMA launched in November 2014. Annex 8 gives a detailed breakdown by non-EU country of the number of non-EU AIFs and non-EU AIFMs active in Member States in accordance with Articles 36 and 42 of the AIFMD. Next Steps ESMA will continue to work on its assessment of other non-EU countries not covered in this advice with a view to delivering further submissions to the European Parliament, the Council and the Commission in the coming months. For those non-EU jurisdictions with which there are currently no supervisory cooperation arrangements in place for the purposes of the AIFMD, ESMA will continue its efforts to agree a MoU with the authorities concerned. | |||
01/07/2015 | 2015/1005 | Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing | Innovation and Products | Q&A | PDF 157.73 KB |
||||
16/02/2015 | 2015/227 | Final Report- ESMA’s technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds | Fund Management | Technical Advice | PDF 609.09 KB |