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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/10/2013 2013/1400 20 September 2013 meeting of the Principals of the OTC Derivative Regulators Group , Press Release PDF
86.63 KB

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Québec, Singapore, Switzerland and the United States met on 20 September 2013 at the headquarters of the European Securities and Markets Authority (ESMA) in Paris.  The Principals and representatives include:  ·         Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); ·         Greg Medcraft, Chairman of the Australian Securities and Investments Commission; ·         Leonardo Pereira, Chairman of the Comissão de Valores Mobiliários (Brazil); ·         Patrick Pearson, Acting Director at the European Commission; ·         Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; ·         Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; ·         Howard Wetston, Chair of the Ontario Securities Commission; ·         Anne Héritier Lachat, Chair of the Swiss Financial Market Supervisory Authority; ·         Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; ·         Mary Jo White, Chair of the United States Securities and Exchange Commission; ·         Chuan Teck Lee, Assistant Managing Director at the Monetary Authority of Singapore; ·         Louis Morisset, President and CEO, l’Autorité des marchés financiers du Québec.  The Principals discussed generally: the application of clearing requirements to foreign branches and affiliates; risk mitigation techniques for non-centrally cleared derivatives transactions, such as timely confirmation, portfolio reconciliation, portfolio compression, valuation and dispute resolution; the need to co-operate in the implementation of internationally agreed standards on margin for non-centrally cleared derivatives transactions; co-operation on equivalence and substituted compliance assessments among the relevant authorities; and co-operation between authorities in the supervision of registered foreign entities;  The Principals agreed to meet again in February to continue the discussion of the above points.

16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Q&A PDF
436.68 KB
22/07/2019 ESMA70-151-1952 2018 CCP Peer Review Report Report PDF
694.38 KB
29/11/2013 2013/998 ES 28.11.13 | ESMA/2013/998 Directrices sobre el modelo de memorando de acuerdo relativo a la consulta, la cooperación y el intercambio de información en lo que respecta a la supervisión de las entidades de la DGFIA , Guidelines & Recommendations PDF
244.6 KB
29/11/2013 2013/998 RO 28.11.13 | ESMA/2013/998 Orientări referitoare la modelul de memorandum de înţelegere privind consultarea, cooperarea şi schimbul de informaţii în legătură cu supravegherea entităţilor prevăzute de DAFIA , Guidelines & Recommendations PDF
263.01 KB
29/11/2013 2013/998 SK 28.11.13 | ESMA/2013/998 Usmernenia o vzorovom memorande o porozumení o konzultáciách, spolupráci a výmene informácií v súvislosti s dohľadom nad subjektmi, na ktoré sa vzťahuje smernica o správcoch alternatívnych investičných fondov , Guidelines & Recommendations PDF
269.81 KB
04/12/2019 ESMA71-99-1254 Acting Chair CCP Supervisory Committee , , , Statement PDF
82.87 KB
12/09/2013 2013/08/ODRG Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements Final Report PDF
442.48 KB
24/05/2013 2013/599 AIFM reporting XSD schema and samples Consultation Paper ZIP
29.41 KB
The CP setting out draft ESMA’s guidelines on reporting obligations under Articles 3 and 24 of the AIFMD (ESMA/2013/592) is supplemented by AIFM reporting XSD schema and samples that AIFMs will have to use to report the information under Articles 3 and 24 to their national competent authorities. ESMA is also seeking feedback from stakeholders on these documents 
20/02/2020 ESMA34-32-418 AIFMD MoUs signed by the EU authorities , Reference XLSX
50.84 KB
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.
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.
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.
04/10/2019 ESMA70-156-1555 Alignment of MiFIR with the changes introduced by EMIR Refit , Consultation Paper PDF
270.97 KB
05/02/2019 ESMA50-164-1942 Alternative Investment Funds (AIFs) exposures to commercial real estate- 2017 Reference PDF
326.45 KB
23/12/2019 ESMA50-164-2969 Alternative Investment Funds (AIFs) exposures to commercial real estate- 2018 , Reference PDF
146.79 KB
28/09/2015 2015/1457 - Annex II Annex II- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
1.44 MB
28/09/2015 2015/1457 Annex III Annex III- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
910.14 KB
22/06/2018 ESMA 70-145-466 EC Annex to ESMA response to the EC consultation on supervisory reporting fitness check Statement PDF
386.78 KB
21/12/2017 ESMA70-151-812 Annual peer review of EU CCP supervision on supervisory activities on CCPs’ Default Management Procedures Final Report PDF
471.59 KB

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