ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 18/01/2011 | 2011/26 | Summary Report on the mapping of contingency measures | Supervisory convergence | Final Report | PDF 93.63 KB |
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| 14/04/2011 | 2011/112 | Final report- Guidelines to competent authorities and UCITS management companies on risk meas-urement and the calculation of global exposure for certain types of structured UCITS | Fund Management | Final Report | PDF 166.5 KB |
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| 07/07/2011 | 2011/194 | Report- Mapping of the Transparency Directive | Supervisory convergence | Final Report | PDF 1.15 MB |
Report - Mapping of the Transparency Directive | |||
| 26/04/2012 | 2012/270 | Actual use of sanctioning powers under MAD | Supervisory convergence | Final Report | PDF 1.55 MB |
The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010. The results of the report will provide input to the legislative process on the new market abuse regime. | |||
| 24/05/2012 | 2012/300 | Prospectus Directive – Good Practices in the approval process | Supervisory convergence | Final Report | PDF 467.38 KB |
The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“, a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA) when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses. The prospectuses provide investors with easy to understand and relevant information on investment products. Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions. | |||
| 25/07/2012 | 2012/474 | Report and consultation paper on guidelines on ETFs and other UCITS issues | Fund Management | Final Report | PDF 728.1 KB |
This paper sets out ESMA’s guidelines on ETFs and other UCITS issues. The guidelines are adapted to the type of UCITS, management technique or financial instrument in question and are detailed in Annex III of the documentThis document also sets out in Annex IV a public consultation on the treatment of repo and reverse repo arrangements on which ESMA is seeking feedback from stakeholders. The feedback to this further consultation will be used by ESMA to finalise its position on this specific issue, which will be incorporated into the rest of the guidelines already adopted by the Authority (cf. Annex III of this document). | |||
| 04/12/2012 | 2012/722 | Guidelines on repurchase and reverse repurchase agreements | Fund Management | Final Report | PDF 339.57 KB |
The European Securities and Markets Authority (ESMA) has today published its final guidelines on repurchase and reverse repurchase agreements for UCITS funds. The guidelines state that UCITS should only enter into such agreements if they are able to recall at any time any assets or the full amount of cash. |
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| 11/01/2013 | EBA/BS/2013/002 | Report on the administration and management of Euribor | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 832.36 KB |
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| 14/02/2013 | 2013/212 | Trends, Risks and Vulnerabilities report | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 2.03 MB |
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| 14/02/2013 | 2013/213 | ESMA Risk Dashboard No.1, 2013 | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 717.92 KB |
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| 15/04/2013 | ESMA/2013/476 | Peer Review–Money Market Fund Guidelines | Supervisory convergence | Final Report | PDF 763.46 KB |
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| 24/05/2013 | 2013/600 | Guidelines on key concepts of the AIFMD | Fund Management | Final Report | PDF 473.66 KB |
Executive Summary Reasons for publication On 23 February 2012, ESMA published a discussion paper (DP) on key concepts of the Alternative Investment Fund Managers Directive and types of AIFM (2012/117), which was followed on 19 December 2012 by the publication of a consultation paper (CP) on guidelines on key concepts of the AIFMD (2012/845). The CP set out formal proposals for guidelines ensuring common, uniform and consistent application of the concepts in the definition of ‘AIF’ in Article 4(1)(a) of the AIFMD by providing clarification on each of these concepts. This final report sets out the final text of the guidelines on key concepts of the AIFMD. |
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| 06/06/2013 | 2013/658 | Final Report- ESMA-EBA Principles for Benchmark-Setting Processes in the EU | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 620.19 KB |
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| 10/06/2013 | 2013/712 | ESMA Risk Dashboard No.2, 2013 | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 806.84 KB |
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| 01/07/2013 | 2013/805 | Supervisory Practices under MAD- Peer review report and Good Practices | Market Abuse, Supervisory convergence | Final Report | PDF 1.17 MB |
ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD). The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse. | |||
| 01/07/2013 | 2013/806 | Supervisory Practices under MAD- Mapping Report | Market Abuse, Supervisory convergence | Final Report | PDF 315.44 KB |
ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive. | |||
| 03/07/2013 | 2013/326 | Retailisation in the EU | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 976.31 KB |
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| 20/09/2013 | 2013/1139 | ESMA Risk Dashboard No.3, 2013 | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 891.55 KB |
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| 20/09/2013 | 2013/1138 | Trends, Risks, Vulnerabilities No. 2, 2013 | Risk Analysis & Economics - Markets Infrastructure Investors | Final Report | PDF 2.92 MB |
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| 15/11/2013 | 2013/1339 | Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD (revised) | Fund Management | Final Report | PDF 701.63 KB |