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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/06/2013 2013/619 Annex II Comparative table of responses from EEA States Report PDF
2.15 MB
10/06/2013 2013/619 Annex III Individual responses from EEA States Report PDF
2.63 MB
16/02/2016 2016/297 Follow-up MMF , Report PDF
882.13 KB
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.

06/06/2016 2016/907 Economic Report on order duplication and liquidity measurement in EU equity markets Report PDF
1.44 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
01/07/2016 2016/SMSG/009 SMSG End of Term Report 2016 Report PDF
1.55 MB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 , Report PDF
674.63 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 KB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Report PDF
508.75 KB
28/02/2017 ESMA70-872942901-21 Final report on draft RTS on package orders for which there is a liquid market Report PDF
712.46 KB
31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments Report PDF
644.29 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.

14/06/2017 ESMA50-165-331 ESMA Risk Dashboard 1Q2107 Report PDF
744.43 KB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
12/09/2017 ESMA50-165-413 ESMA Risk Dashboard No.3 2017 Report PDF
868.91 KB
29/09/2017 ESMA70-156-227 Final report on draft RTS on the trading obligation for derivatives under MiFIR Report PDF
609.23 KB
04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
1.11 MB
05/12/2017 ESMA50-165-498 ESMA Risk Dashboard No 4 2017 Report PDF
976.96 KB