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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/11/2011 2011/219 ESMA comment letter on the EU Commission Green Paper- The EU Corporate Governance Framework , Letter PDF
496.17 KB
04/10/2011 2011/323 Final report- ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU , Technical Advice PDF
797.56 KB
16/11/2011 2011/379 Final report- ESMA's technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive Technical Advice PDF
3.51 MB
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
06/01/2012 2012/10 Interpretation of the Mineral Companies Recommendations for cement companies , Letter PDF
41.27 KB
Open letter regarding Interpretation of the Mineral Companies Recommendations for cement companies
01/03/2012 2012/137 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU , Technical Advice PDF
1.32 MB
ESMA publishes today the second part of its final advice (ESMA/2012/137) on possible delegated acts for the Prospectus Directive (PD).  The advice was submitted to the Commission on 29 February 2012.  In its advice, ESMA proposes how to use a prospectus in a retail cascade and provides input on how to review the provisions of the Prospectus Regulation concerning tax information, indices, auditor’s report on profit forecasts and estimates and audited historical financial information. Today’s advice follows a public consultation started on 13 December 2011. Overall, the technical advice aims to achieve a high level of investor protection and to increase across Europe the legal clarity and efficiency of the prospectus regime. Investment prospectuses as such are aimed to provide investors with easily accessible information on financial products so as to foster in-formed decision-making.
01/03/2012 2012/138 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU , Letter PDF
94.68 KB
09/01/2013 2012/864 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU , Technical Advice PDF
1.23 MB
09/01/2013 2012/878 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU , Letter PDF
36.15 KB
10/01/2014 2013/1932 Deadlines for the submission of draft technical standards , Letter PDF
51.91 KB
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus , Technical Standards PDF
713.74 KB
The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.
02/04/2013 2013/413 Final Report- Draft regulatory technical standards on types of AIFMs Technical Standards PDF
116.08 KB
The European Securities and Markets Authority (ESMA) has published its draft regulatory technical standards (RTS) to determine types of alternative investment fund managers (AIFMs), where relevant in the application of the AIFMD.  The draft RTS distinguish AIFMs managing alternative investment funds (AIF) of the open-ended type and AIFMs managing AIFs of the closed-ended type, in order to apply the rules on liquidity management, the valuation procedures and the transitional provisions of the AIFMD.  ESMA was required to develop these RTS by Article 4(4) of the AIFMD and they are aimed at ensuring uniform conditions of application of the AIFMD across the European Union.
28/11/2014 2014/1417 ESMA's technical advice to the European Commission on delegated acts required by the UCITS V Directive Technical Advice PDF
469.49 KB
20/02/2014 2014/160 Draft implementing technical standards on notification- EuVECA Technical Standards PDF
175.99 KB
20/02/2014 2014/161 Draft implementing technical standards on notification- EuSEF Technical Standards PDF
29.18 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 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.
30/07/2015 2015/1232 Letter to the European Commission- ESMA’s opinion and advice on the AIFMD passport Letter PDF
71.12 KB
30/07/2015 2015/1233 Letter to the European Parliament- ESMA’s opinion and advice on the AIFMD passport Letter PDF
65.84 KB