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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/11/2013 2013/998 ES 28.11.13 | ESMA/2013/998 Directrices sobre el modelo de memorando de acuerdo relativo a la consulta, la cooperación y el intercambio de información en lo que respecta a la supervisión de las entidades de la DGFIA , Guidelines & Recommendations PDF
244.6 KB
29/11/2013 2013/998 RO 28.11.13 | ESMA/2013/998 Orientări referitoare la modelul de memorandum de înţelegere privind consultarea, cooperarea şi schimbul de informaţii în legătură cu supravegherea entităţilor prevăzute de DAFIA , Guidelines & Recommendations PDF
263.01 KB
29/11/2013 2013/998 SK 28.11.13 | ESMA/2013/998 Usmernenia o vzorovom memorande o porozumení o konzultáciách, spolupráci a výmene informácií v súvislosti s dohľadom nad subjektmi, na ktoré sa vzťahuje smernica o správcoch alternatívnych investičných fondov , Guidelines & Recommendations PDF
269.81 KB
28/03/2012 2012/197 hu Az egyes strukturált ÁÉKBV-k kockázatának mérésére és teljes kitettségének számítására vonatkozó iránymutatások , Guidelines & Recommendations PDF
274.08 KB
01/08/2014 2014/937 et Börsil kaubeldavate fondide ja muude eurofondide emissioone käsitlevad suunised , Guidelines & Recommendations PDF
336.89 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 es Directrices sobre fondos cotizados (ETF) y otras cuestiones relativas a los OICVM , Guidelines & Recommendations PDF
351.34 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
28/03/2012 2012/197 es Directrices sobre medición de riesgos y estimación de la exposición global de ciertos tipos de OICVM estructuradas , Guidelines & Recommendations PDF
267.49 KB
24/03/2014 2014/294 Final Report on Revision of Guidelines ETFs and other UCITS issues , Guidelines & Recommendations PDF
241.59 KB
Reasons for publication In December 2012, ESMA published the guidelines on ETFs and other UCITS issues (ESMA/2012/832) (hereafter the guidelines). Since the entry into force of the guidelines on 18 February 2013, ESMA has been asked by stakeholders on numerous occasions to reconsider its position on the requirements on collateral diversification (paragraph 43(e) of the guidelines) on the basis that they have a significant adverse impact on UCITS’s collateral management policies. Stakeholders drew particular attention to the consequences for money market funds that place cash into reverse repurchase agreements. On 20 December 2013, ESMA published a consultation paper (ESMA/2013/1974) in which the Authority set out proposed amendments to paragraph 43(e) of the guidelines. Contents Annex I of this final report sets out ESMA’s position on collateral management by UCITS. The guidelines in Annex I modify the rules on collateral diversification in paragraph 43(e) of the existing guidelines and introduce some further consequential changes. Next steps The guidelines in Annex I of this report will be translated into the official EU languages and published on the ESMA website. The publication of the translations will trigger a two-month period during which NCAs must notify ESMA whether they comply or intend to comply with the guidelines.
29/11/2013 2013/998 LT Gairės dėl pavyzdinio susitarimo memorandumo dėl konsultavimosi, bendradarbiavimo ir keitimosi informacija vykdant AIFV direktyvoje nustatytų subjektų priežiūrą , Guidelines & Recommendations PDF
256.19 KB
01/08/2014 2014/937 lt Gairės, skirtos biržoje prekiaujamiems fondams (ETF) ir kitiems KIPVPS , Guidelines & Recommendations PDF
373.1 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
28/03/2012 2012/197 ro Ghid privind măsurarea riscului şi calcularea expunerii globale pentru anumite tipuri de OPCVM-uri structurate , Guidelines & Recommendations PDF
267.6 KB
01/08/2014 2014/937 ro Ghid privind OPCVM-urile de tip ETF şi alte aspecte legate de OPCVM-uri , Guidelines & Recommendations PDF
355.38 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
19/07/2019 ESMA34-49-164 Guidelines MMF stress tests Final Report Guidelines & Recommendations PDF
551.7 KB
18/12/2012 2012/832 Guidelines on ETFs and other UCITS issues Guidelines & Recommendations PDF
333.17 KB

Guidelines on ETFs and other UCITS issues

01/08/2014 2014/937 Guidelines on ETFs and other UCITS issues , Guidelines & Recommendations PDF
339.57 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
08/08/2014 2014/869 Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD , Guidelines & Recommendations PDF
585.72 KB
28/03/2012 2012/197 Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS , Guidelines & Recommendations PDF
269.27 KB
To access the translations, please use the links on the left.
11/02/2013 2013/201 Guidelines on sound remuneration policies under the AIFMD Guidelines & Recommendations PDF
987.73 KB
03/07/2013 2013/232 Guidelines on sound remuneration policies under the AIFMD Guidelines & Recommendations PDF
731.73 KB
31/01/2014 2013/232 HR Guidelines on sound remuneration policies under the AIFMD , Guidelines & Recommendations PDF
604.41 KB

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