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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
02/05/2022 JC 2022 20 Call for advice on PRIIPs: ESA advice on the review of the PRIIPs Regulation , Report PDF
3.38 MB
17/05/2021 JC 2021 31 JC Report on the implementation and functioning of the Securitisation Regulation , Report PDF
1.03 MB
17/12/2021 JC 2021 19 Joint Committee Q&As relating to the Securitisation Regulation Q&A PDF
337.6 KB
21/07/2020 JC 2020 66 draft Draft Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID (NOT APPROVED) , Report PDF
2.77 MB
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB
03/02/2022 ESMA50-165-1948 EU Alternative Investment Funds- 2022 Statistical Report , , Report PDF
1.46 MB
08/04/2021 ESMA50-165-1734 EU Alternative Investment Funds- 2021 Statistical Report , , Report PDF
1.77 MB
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
08/07/2022 ESMA34-463-941 Report on Penalties and measures imposed under the AIFMD in 2021 Report PDF
793.12 KB
12/11/2020 ESMA34-45-934 Penalties and measures imposed under the UCITS Directive in 2019 Report PDF
365.02 KB
12/12/2019 ESMA34-45-756 Penalties and measures imposed under the UCITS Directive in 2018 Report PDF
467.36 KB
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Report PDF
398.96 KB
08/07/2022 ESMA34-45-1647 Report on Penalties and measures imposed under the UCITS Directive in 2021 Report PDF
449.54 KB
20/07/2021 ESMA34-45-1269 Penalties and measures imposed under the UCITS Directive in 2020 Report PDF
516.21 KB
20/07/2022 ESMA34-43-392 Q&A on the application of the UCITS Directive Q&A PDF
767.22 KB
07/04/2017 ESMA34-43-340 Notification frameworks and home-host responsibilities under UCITS and AIFMD- ESMA Thematic Study among National Competent Authorities Report PDF
895.97 KB

One of the key objectives of ESMA is to foster and increase supervisory convergence across NCAs. Thematic studies have been identified as a means of achieving this objective. Their aim is to review supervisory practice in the Member States, identifying good or best practices where possible. In 2016, ESMA conducted a thematic study on the operation of home and host responsibilities under AIFMD and UCITS with a view to promoting smooth operation of the EU passports for marketing and management, looking at the notification frameworks contained in the UCITS Directive and AIFMD. The findings of the thematic study form the core of this report. They are supplemented, where possible, by a number of recommendations on good supervisory practices.

13/11/2020 ESMA34-39-1119 Recommendation of the European Systemic Risk Board (ESRB) on liquidity risk in investment funds Report PDF
1.12 MB
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 KB
20/07/2021 ESMA34-32-865 Penalties and measures imposed under the AIFMD in 2020 Report PDF
510 KB