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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
02/05/2022 JC 2022 20 Call for advice on PRIIPs: ESA advice on the review of the PRIIPs Regulation , Report PDF
3.38 MB
21/07/2020 JC 2020 66 draft Draft Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID (NOT APPROVED) , Report PDF
2.77 MB
20/02/2014 2014/161 Draft implementing technical standards on notification- EuSEF Technical Standards PDF
29.18 KB
20/02/2014 2014/160 Draft implementing technical standards on notification- EuVECA Technical Standards PDF
175.99 KB
18/09/2015 2015/1409 Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive) Technical Standards PDF
339.52 KB
29/03/2017 ESMA70-145-48 Draft technical standards under the Benchmarks Regulation Report PDF
1.75 MB
06/04/2020 ESMA 50-165-1098 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 , , Report PDF
4.08 MB
14/04/2021 ESMA 50-165-1710 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2021 , , Report PDF
2.54 MB
14/02/2020 ESMA70-156-1778 ESMA’s response to the Commission’s consultation on the BMR review Report PDF
314.12 KB
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
08/04/2021 ESMA50-165-1734 EU Alternative Investment Funds- 2021 Statistical Report , , Report PDF
1.77 MB
03/02/2022 ESMA50-165-1948 EU Alternative Investment Funds- 2022 Statistical Report , , Report PDF
1.46 MB
02/04/2013 2013/413 Final Report- Draft regulatory technical standards on types of AIFMs Technical Standards PDF
116.08 KB
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.
29/09/2020 ESMA80-187-608 Final report_Benchmarks_RTS Report PDF
714.41 KB
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.

01/07/2021 ESMA 34-45-1219 Marketing requirements and marketing communications under the Regulation on cross-border distribution of funds Report PDF
1.36 MB
02/06/2017 ESMA70-143-5 Methodological framework for mandatory benchmarks contributions Report PDF
282.75 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.

12/11/2020 ESMA34-32-548 Penalties and measures imposed under the AIFMD Directive in 2018- 2019 Report PDF
565.29 KB