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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|02/04/2013||2013/413||Final Report- Draft regulatory technical standards on types of AIFMs||Fund Management||Technical Standards||PDF
|The European Securities and Markets Authority (ESMA) has published its draft regulatory technical standards (RTS) to determine types of alternative investment fund managers (AIFMs), where relevant in the application of the AIFMD. The draft RTS distinguish AIFMs managing alternative investment funds (AIF) of the open-ended type and AIFMs managing AIFs of the closed-ended type, in order to apply the rules on liquidity management, the valuation procedures and the transitional provisions of the AIFMD. ESMA was required to develop these RTS by Article 4(4) of the AIFMD and they are aimed at ensuring uniform conditions of application of the AIFMD across the European Union.|
|19/12/2014||2014/1571||Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation||MiFID - Secondary Markets||Technical Standards||PDF
|The European Securities and Markets Authority (ESMA) has developed draft Implementing Technical Standards specifying main indices and recognised exchanges as required under Paragraph 8 of Article 197 of Regulation (EU) 575/2013 (Capital Requirements Regulation). These have now been submitted to the European Commission submitted for endorsement of the draft ITS.It has 3 months to make this decision.|
|20/02/2014||2014/160||Draft implementing technical standards on notification- EuVECA||Fund Management||Technical Standards||PDF
|20/02/2014||2014/161||Draft implementing technical standards on notification- EuSEF||Fund Management||Technical Standards||PDF
|28/09/2015||2015-ESMA-1464||Final Report- draft RTS and ITS on MIFID II and MiFIR||MiFID - Secondary Markets||Technical Standards||PDF
|28/09/2015||2015-ESMA-1464 Annex I||2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR||MiFID - Secondary Markets||Technical Standards||PDF
|30/06/2015||2015/1006||Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities||MiFID - Investor Protection||Technical Standards||PDF
|18/09/2015||2015/1409||Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive)||Fund Management||Technical Standards||PDF
|30/09/2016||2016/1408||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection||Statement||PDF
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas. The appointments are for a period of two years and commence with immediate effect.
|02/02/2016||2016/165||Public Statement- Supervisory work on potential closet index tracking||Fund Management||Statement||PDF
The European Securities and Markets Authority (ESMA) is issuing this statement to inform stakeholders and especially investors about the potential for some European collective investment funds to be ‘closet index trackers’, and to give details on the work that ESMA has been doing in this context.
Reasons for issuing this statement
 ESMA recognises that management fees may depend on a number of factors.
|02/06/2016||2016/902||MiFID practices for firms selling financial instruments subject to the BRRD resolution regime||MiFID - Investor Protection||Statement||PDF
|20/06/2016||2016/940||Statement by Steven Maijoor at ECON MiFID II/MiFIR Scrutiny Session, 21 June 2016||Speeches, MiFID - Secondary Markets||Statement||PDF
|05/02/2019||ESMA 70-155-7026||Use of UK data in ESMA databases in case of a no-deal Brexit||Brexit, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC||Statement||PDF
|12/07/2019||ESMA35-36-1743||Statement Product Intervention||MiFID - Investor Protection||Statement||PDF
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|19/12/2018||ESMA35-43-1328||Brexit Statement- information to clients||Brexit, MiFID - Investor Protection||Statement||PDF
|07/10/2019||ESMA65-8-6254||ESMA’s Data Operational Plan under a no-deal Brexit scenario on 31 October 2019||Brexit, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC||Statement||PDF
|20/12/2017||ESMA70-145-401||ESMA statement for smooth implementation of LEI||MiFID - Secondary Markets||Statement||PDF
|20/06/2018||ESMA70-145-872||Public statement on LEI||MiFID - Secondary Markets||Statement||PDF
|29/05/2019||ESMA70-154-1204||Revised Public_ Statement_Trading_Obligation_Shares||Brexit, MiFID - Secondary Markets||Statement||PDF