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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/11/2020 ESMA42-111-5349 Fast Track Peer Review Report- Wirecard , , Report PDF
1.33 MB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Report PDF
430.48 KB
16/02/2016 2016/297 Follow-up MMF , Report PDF
882.13 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
18/05/2017 ESMA42-113-627 Follow-up Report to the Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information Report PDF
960.69 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
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.

18/07/2017 ESMA42-111-4138 Peer Review on Guidelines on Enforcement of Financial Information , Report PDF
1.86 MB
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE , , Report PDF
285.02 KB
05/01/2016 2015/1791 Peer Review Report Compliance with SSR as regards Market Making activities Report PDF
615.09 KB
12/11/2020 ESMA34-32-548 Penalties and measures imposed under the AIFMD Directive in 2018- 2019 Report PDF
565.29 KB
20/07/2021 ESMA34-32-865 Penalties and measures imposed under the AIFMD in 2020 Report PDF
510 KB
12/12/2019 ESMA34-45-756 Penalties and measures imposed under the UCITS Directive in 2018 Report PDF
467.36 KB
12/11/2020 ESMA34-45-934 Penalties and measures imposed under the UCITS Directive in 2019 Report PDF
365.02 KB
20/07/2021 ESMA34-45-1269 Penalties and measures imposed under the UCITS Directive in 2020 Report PDF
516.21 KB
13/11/2020 ESMA34-39-1119 Recommendation of the European Systemic Risk Board (ESRB) on liquidity risk in investment funds Report PDF
1.12 MB
10/11/2020 ESMA70-156-3351 Report on PTRR services with regards to the clearing obligation , Report PDF
2.03 MB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
1.09 MB
18/10/2021 ESMA42-110-3265 Report on the independence of National Competent Authorities Report PDF
458.92 KB