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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Fund Management Report PDF
398.96 KB
01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II MiFID - Secondary Markets, Supervisory convergence Technical Advice PDF
231.84 KB
27/03/2014 2014/312 Technical advice to the European Commission on the information that competent authorities should provide to ESMA pursuant to Article 67(3) of the AIFMD Fund Management Technical Advice PDF
330.79 KB		 Reasons for publication ESMA is issuing this technical advice in response to the mandate received from the European Commission on 20 December 2013 for advice on the possible content of the delegated act required by Article 67(5) of the AIFMD, concerning the information that EU competent authorities have to provide quarterly to ESMA pursuant to Article 67(3) of the Directive. This information is needed in order to allow ESMA to produce the opinion and the advice required in Article 67(1) of the AIFMD, in relation to the possible extension of the AIFMD passport to non-EU AIFs and non-EU AIFMs. Contents Section II describes the background of the proposal. Section III specifies the timing for the provision of the information to ESMA and lists the information that the competent authorities should provide quarterly to ESMA. The list of information is divided into three parts: the first refers to the information about the functioning of the passport for EU AIFMs; the second deals with the functioning of the national private placement regime for non-EU AIFs and non-EU AIFMs; and the third refers to the issues arising from the functioning of both systems. Finally, Section IV reproduces the mandate for advice issued by the European Commission. Next steps ESMA will cooperate closely with the European Commission in order to facilitate an expeditious adoption of the delegated act required by Article 67(5) of the AIFMD.
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   Post Trading, Supervisory convergence Report PDF
819.71 KB
07/02/2018 ESMA42-114-540 Supervisory Convergence Work Programme 2018 Supervisory convergence Report PDF
611.01 KB
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments MiFID - Secondary Markets, Supervisory convergence Report PDF
148.65 KB
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
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
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds Fund Management, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
868.55 KB
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
18/10/2021 ESMA42-110-3265 Report on the independence of National Competent Authorities Supervisory convergence Report PDF
458.92 KB
10/11/2020 ESMA70-156-3351 Report on PTRR services with regards to the clearing obligation Post Trading, Supervisory convergence Report PDF
2.03 MB
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
01/08/2013 2013/1072 Practical arrangements for the late transposition of the AIFMD Fund Management Opinion PDF
93.1 KB		 The European Securities and Markets Authority (ESMA) has published an Opinion on arrangements for the late imposition of the AIFMD. The scope of the opinion is confined to the provision of collective portfolio management services. Arrangements before implementation of the Directive in all Member States Notification of marketing of EU AIFs when the host MS of the AIFM has not transposed the Directive (Articles 31 and 32 of the Directive) ESMA believes that, if the Directive has been transposed in the home MS of the AIFM, the competent authority of the host MS of the AIFM (Article 32) or home MS of the AIFM (Article 31) may not refuse a valid notification under the Directive on the ground that the Directive has not yet been transposed in the host MS. This applies irrespective of whether the marketing is done using the freedom to provide services or by means of a branch. Management passport (Article 33 of the Directive) ESMA believes that AIFMs established in a MS that has transposed the Directive should be able to manage an EU AIF via the management passport, both using the freedom to provide services or by means of a branch, in a MS where the Directive has not been transposed, irrespective of the provisions currently in place in such jurisdiction since the relevant provisions of the Directive are of a self-executing nature, and provided the AIFM is authorised to manage that type of AIF in accordance with Article 33(1) of the AIFMD. Any local restrictions on AIFMs that are not in accordance with the AIFMD will need to be disapplied.
20/07/2021 ESMA34-45-1269 Penalties and measures imposed under the UCITS Directive in 2020 Fund Management Report PDF
516.21 KB
12/11/2020 ESMA34-45-934 Penalties and measures imposed under the UCITS Directive in 2019 Fund Management Report PDF
365.02 KB
12/12/2019 ESMA34-45-756 Penalties and measures imposed under the UCITS Directive in 2018 Fund Management Report PDF
467.36 KB
20/07/2021 ESMA34-32-865 Penalties and measures imposed under the AIFMD in 2020 Fund Management Report PDF
510 KB
12/11/2020 ESMA34-32-548 Penalties and measures imposed under the AIFMD Directive in 2018- 2019 Fund Management Report PDF
565.29 KB
10/03/2022 ESMA42-111-5534 Peer review report on cross border activities investment firms Supervisory convergence Report PDF
802.07 KB

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