ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
109
REFINE YOUR SEARCH
Sections
- (-) Remove Post Trading filter Post Trading
- (-) Remove Fund Management filter Fund Management
- (-) Remove Prospectus filter Prospectus
- (-) Remove Audit filter Audit
- (-) Remove IAS Regulation filter IAS Regulation
- CESR Archive (388) Apply CESR Archive filter
- MiFID - Secondary Markets (87) Apply MiFID - Secondary Markets filter
- MiFID - Investor Protection (70) Apply MiFID - Investor Protection filter
- Market Integrity (36) Apply Market Integrity filter
- Short Selling (35) Apply Short Selling filter
- Risk Analysis & Economics - Markets Infrastructure Investors (32) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Corporate Disclosure (29) Apply Corporate Disclosure filter
- Joint Committee (28) Apply Joint Committee filter
- Supervisory convergence (23) Apply Supervisory convergence filter
- Market Abuse (22) Apply Market Abuse filter
- Credit Rating Agencies (19) Apply Credit Rating Agencies filter
- IFRS Supervisory Convergence (15) Apply IFRS Supervisory Convergence filter
- COVID-19 (12) Apply COVID-19 filter
- Guidelines and Technical standards (8) Apply Guidelines and Technical standards filter
- Innovation and Products (7) Apply Innovation and Products filter
- Benchmarks (6) Apply Benchmarks filter
- Securitisation (5) Apply Securitisation filter
- Brexit (4) Apply Brexit filter
- CCP Directorate (4) Apply CCP Directorate filter
- European Single Electronic Format (3) Apply European Single Electronic Format filter
- Sustainable finance (3) Apply Sustainable finance filter
- Transparency (3) Apply Transparency filter
- Corporate Finance (2) Apply Corporate Finance filter
- Corporate Information (2) Apply Corporate Information filter
- Securities and Markets Stakeholder Group (2) Apply Securities and Markets Stakeholder Group filter
- Securities Financing Transactions (2) Apply Securities Financing Transactions filter
- Trading (2) Apply Trading filter
- Board of Supervisors (1) Apply Board of Supervisors filter
- Corporate Governance (1) Apply Corporate Governance filter
- Press Releases (1) Apply Press Releases filter
- Trade Repositories (1) Apply Trade Repositories filter
- Warnings and publications for investors (1) Apply Warnings and publications for investors filter
Type of document
- (-) Remove Final Report filter Final Report
- (-) Remove Opinion filter Opinion
- (-) Remove CESR Document filter CESR Document
- Reference (148) Apply Reference filter
- Letter (140) Apply Letter filter
- Guidelines & Recommendations (120) Apply Guidelines & Recommendations filter
- Consultation Paper (100) Apply Consultation Paper filter
- Press Release (73) Apply Press Release filter
- Report (42) Apply Report filter
- Statement (38) Apply Statement filter
- Speech (26) Apply Speech filter
- Technical Advice (25) Apply Technical Advice filter
- Compliance table (16) Apply Compliance table filter
- Q&A (15) Apply Q&A filter
- Technical Standards (13) Apply Technical Standards filter
- Vacancy (2) Apply Vacancy filter
- Annual Report (1) Apply Annual Report filter
Your filters
Audit X Vacancies X IAS Regulation X Fund Management X Post Trading X Prospectus X CESR Document X Opinion X Final Report X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 23/03/2011 | 2011/67 | Feedback statement- Consultation Paper on proposed amendments to CESR | Prospectus, Corporate Disclosure | CESR Document | PDF 384.63 KB |
||||
| 28/03/2011 | 2011/22 | Report- ESMA Data on Prospectuses Approved and Passported- July 2010 to December 2010 | Prospectus, Corporate Disclosure | Final Report | PDF 134.79 KB |
||||
| 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 |
||||
| 13/10/2011 | 2011/342 | Opinion- Practical arrangements for the late transposition of the UCITS IV Directive | Fund Management | Opinion | PDF 41.33 KB |
||||
| 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). | |||
| 25/09/2012 | 2012/602 | ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 | Prospectus, Corporate Disclosure | Final Report | PDF 573.49 KB |
||||
| 25/09/2012 | 2012/603 | ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 431.12 KB |
NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2. Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012 | |||
| 27/09/2012 | 2012/600 Annex VIII | Impact assessment- Annex VIII of the Final report on draft Regulatory and Implementing Technical Standards on Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories | Post Trading | Final Report | PDF 2.32 MB |
||||
| 20/11/2012 | 2012/721 | Opinion on Article 50(2)(a) of the UCITS Directive | Fund Management | Opinion | PDF 81.31 KB |
||||
| 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. |
|||
| 03/01/2013 | 2012/874 | Report to the European Parliament, the Council and the Commission on the budgetary implications of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | Post Trading | Final Report | PDF 526.73 KB |
||||
| 15/03/2013 | 2013/312 | Regulatory technical standards on colleges for central counterparties supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 | Post Trading | Opinion | PDF 151.67 KB |
||||
| 20/03/2013 | 2013/317 | Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive | Prospectus, Corporate Disclosure | Opinion | PDF 725.59 KB |
||||
| 20/03/2013 | 2013/318 | Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies | Prospectus, Corporate Disclosure, Transparency | CESR Document | PDF 265.19 KB |
||||
| 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. |
|||
| 10/06/2013 | 2013/619 | Comparison of liability regimes in Member States in relation to the Prospectus Directive | Prospectus, Corporate Disclosure | Final Report | PDF 596.91 KB |
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive. This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states. The report does not cover how the regimes, or sanctions, are applied. Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States | |||
| 14/06/2013 | 2013/741 | ESMA Data on Prospectuses Approved and Passported—January 2012 to December 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 457.11 KB |
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2012 to December 2012 (with a quarterly disclosure). | |||
| 01/08/2013 | 2013/1072 | Practical arrangements for the late transposition of the AIFMD | Fund Management | Opinion | PDF 93.1 KB |
The European Securities and Markets Authority (ESMA) has published an Opinion on arrangements for the late imposition of the AIFMD. The scope of the opinion is confined to the provision of collective portfolio management services. Arrangements before implementation of the Directive in all Member States Notification of marketing of EU AIFs when the host MS of the AIFM has not transposed the Directive (Articles 31 and 32 of the Directive) ESMA believes that, if the Directive has been transposed in the home MS of the AIFM, the competent authority of the host MS of the AIFM (Article 32) or home MS of the AIFM (Article 31) may not refuse a valid notification under the Directive on the ground that the Directive has not yet been transposed in the host MS. This applies irrespective of whether the marketing is done using the freedom to provide services or by means of a branch. Management passport (Article 33 of the Directive) ESMA believes that AIFMs established in a MS that has transposed the Directive should be able to manage an EU AIF via the management passport, both using the freedom to provide services or by means of a branch, in a MS where the Directive has not been transposed, irrespective of the provisions currently in place in such jurisdiction since the relevant provisions of the Directive are of a self-executing nature, and provided the AIFM is authorised to manage that type of AIF in accordance with Article 33(1) of the AIFMD. Any local restrictions on AIFMs that are not in accordance with the AIFMD will need to be disapplied. | |||
| 12/09/2013 | 2013/08/ODRG | Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements | Post Trading | Final Report | PDF 442.48 KB |
||||
| 01/10/2013 | 2013/1340 | Collection of information for the effective monitoring of systemic risk under Article 24(5), first sub-paragraph, of the AIFMD | Fund Management | Opinion | PDF 70.75 KB |