ESMA LIBRARY

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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 Report PDF
398.96 KB
17/11/2017 ESMA34-49-103 Technical advice, draft implementing technical standards and guidelines under the MMF Regulation Final Report PDF
989.54 KB
03/04/2018 ESMA31-62-800 Technical advice under the Prospectus Regulation Final Report PDF
4.7 MB
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 KB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
28/03/2011 2011/22 Report- ESMA Data on Prospectuses Approved and Passported- July 2010 to December 2010 , Final Report PDF
134.79 KB
12/07/2019 ESMA50-164-2430 Report on the Licensing of FinTech business models Report PDF
585.36 KB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 , Report PDF
674.63 KB
25/07/2012 2012/474 Report and consultation paper on guidelines on ETFs and other UCITS issues 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).
12/12/2019 ESMA34-45-756 Penalties and measures imposed under the UCITS Directive in 2018 Report PDF
467.36 KB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process , Final Report PDF
1.23 MB
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.

01/04/2014 2014/342 Languages accepted for the purpose of the scrutiny of the Prospectus and requirements of translation of the Summary- March 2014 , Final Report PDF
194.98 KB
The document provides an overview of the languages that each national competent authority accepts when acting as home or host competent authority, as the case may be, for the purpose of the scrutiny of the prospectus. In addition the document outlines national requirements in relation to translation of summaries.
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
15/03/2018 JC-2018-04 Joint Committee Final Report on Big Data Final Report PDF
520.31 KB
21/05/2015 2015/856 Ann1 Investment-based crowdfunding- Insights from regulators in the EU Final Report PDF
319.65 KB
10/06/2013 2013/619 Annex III Individual responses from EEA States Report PDF
2.63 MB
31/03/2016 2016/411 Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Report PDF
1.39 MB

Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration principles set out under Article 14b of the UCITS Directive (“UCITS Remuneration Guidelines”). This final report sets out the final text of the guidelines on remuneration policies required by the UCITS V Directive and also provides for a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were originally published on 3 July 2013.

04/12/2012 2012/722 Guidelines on repurchase and reverse repurchase agreements 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.

15/11/2013 2013/1339 Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD (revised) Final Report PDF
701.63 KB