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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/10/2011 2011/342 Opinion- Practical arrangements for the late transposition of the UCITS IV Directive Opinion PDF
41.33 KB
20/11/2012 2012/721 Opinion on Article 50(2)(a) of the UCITS Directive Opinion PDF
81.31 KB
04/02/2013 2013/14 Call for expressions of interest: Consultative Working Group for ESMA’s Investment Management Standing Committee Reference PDF
129.5 KB
To apply, please use the below Application form
01/08/2013 2013/1072 Practical arrangements for the late transposition of the AIFMD 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.
13/08/2013 2013/611 SV Key concepts of the AIFMD Reference PDF
84.4 KB
Riktlinjer Riktlinjer om nyckelbegrepp i direktivet om förvaltare av alternativa investeringsfonder
20/08/2013 2013/1119 Opinion on draft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU Reference PDF
247.02 KB
The European Securities and Markets Authority (ESMA) submitted its formal opinion to the European Commission on 13 August, in response to the letter received on 8 July, on draft regulatory technical standards under Article 4(4) of Directive 2011/61/EU. The opinion was issued in accordance with Article 10(1) sixth subparagraph of Regulation (EU) No 1095/2010.
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 Opinion PDF
70.75 KB
15/11/2013 2013/1359 Consolidated AIFMD reporting template (revised) Reference XLSX
4.15 MB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.
15/11/2013 2013/1360 Tables 8-9-10 of Annex 2 of ESMA guidelines on AIFMD reporting obligation (revised) Reference XLSX
310.05 KB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.
15/11/2013 2013/1586 AIFMD Reporting- Annex 2-Tables 1-7 Reference XLSX
30.46 KB
Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.
29/11/2013 2013/998 DA Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder , Reference PDF
241.03 KB
29/11/2013 2013/998 SL Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS , Reference PDF
246.77 KB
15/03/2014 2014/bonds Categories of covered bonds and issuers of covered bonds Reference PDF
396.12 KB
25/03/2014 2013/1361 AIFMD- Reporting- XML documents- V1.2 [updated] Reference ZIP
32.73 KB
The description of changes performed on the xsd documents and IT technical guidance are included in the IT technical guidance (2013/1358) in sheet “change history. Each new version of xsd will increment the version number (from 1.1 to 1.2 version for example). Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. Each AIFM should contact directly the national competent authorities to know how the filling of the XML reports will be handled at national level.
23/09/2014 2013/1358 AIFMD reporting IT technical guidance (rev 4) [updated] Reference ZIP
155.52 KB
The IT technical guidance (2013/1358) contains the following set of documents: IT technical guidance in which is included the description of changes performed on the technical guidance and/or XSD documents in sheet “change history. XML samples for AIFM and AIF reports Excel version of Annex III – “Table of geographical areas” Previous version of XSD documents (Version 1.1) The current IT technical guidance revision 4 contains modifications on the IT technical guidance to take into account the last published version of Questions and Answers (Q&A) on the application of the AIFMD (2014/868) as well as some clarifications and correction of inconsistencies with XSD documents. Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. Each AIFM should contact directly the national competent authorities to know how the filling of the XML reports will be handled at national level.
19/11/2014 JC/14/089 Call for interest Expert Group PRIIPs , Reference PDF
65.48 KB
The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA) launched today a call for expressions of interest with the aim of identifying members of a Consultative Expert Group (CEG), who will advise and provide technical input to the Joint Committee’s Sub-group on Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs).This CEG will be made up of a maximum of eighteen members, who will represent market participants, retail investors, academics and independent experts.The mandate of the CEG will be for a period of one year.A list of candidates who meet the criteria set out in this call will be drawn and the final selection of the members will be done in consultation with the Executive Directors of the three European Supervisory Authorities.Application procedure and closing dateRelevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CEG are invited to submit, in English: a completed application form (see Annex 1 of this call), and a detailed curriculum vitae (CV), preferably in the EU CV format - the link to the template for this is: http://europass.cedefop.europa.eu/en/documents/curriculum-vitae/templates-instructions Unclear or incomplete applications will not be considered.Applications must be submitted by email using the application form by no later than 23:59 GMT on 15 December 2014 to the following email addresses: timothy.shakesby@eiopa.europa.eu
05/02/2015 2015/245 Call for interest- Consultative Working Group for ESMA’s Investment Management Standing Committee Reference PDF
187.17 KB
22/05/2015 2015/881 Feedback statement on the discussion paper on the impact of EMIR on the calculation of counterparty risk for OTC financial derivative transactions by UCITS Reference PDF
57.91 KB
22/05/2015 2015/880 ESMA Opinion to the EU institutions on the impact of EMIR on UCITS Opinion PDF
208.55 KB
24/07/2015 2015/1210 Reply form for the Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Reference DOCX
786.38 KB