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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/03/2012 2012/197 ro Ghid privind măsurarea riscului şi calcularea expunerii globale pentru anumite tipuri de OPCVM-uri structurate , Guidelines & Recommendations PDF
267.6 KB
28/03/2012 2012/197 sk Usmernenia o meraní rizika a výpočte celkového rizika pre určité typy štruktúrovaných PKIPCP , Guidelines & Recommendations PDF
272.43 KB
28/03/2012 2012/197 sl Smernice o merjenju tveganj in izračunu skupne izpostavljenosti za nekatere vrste strukturiranih UCITS skladov , Guidelines & Recommendations PDF
267.01 KB
28/03/2012 2012/197 sv Riktlinjer om riskbedömning och beräkning av total exponering i vissa typer av strukturerade fondföretag , Guidelines & Recommendations PDF
265.15 KB
18/12/2012 2012/832 Guidelines on ETFs and other UCITS issues Guidelines & Recommendations PDF
333.17 KB

Guidelines on ETFs and other UCITS issues

11/02/2013 2013/201 Guidelines on sound remuneration policies under the AIFMD Guidelines & Recommendations PDF
987.73 KB
20/03/2013 2013/319 The consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive , Guidelines & Recommendations PDF
540.48 KB

This document contains an update of the CESR recommendations.

03/07/2013 2013/232 Guidelines on sound remuneration policies under the AIFMD Guidelines & Recommendations PDF
731.73 KB
18/07/2013 2013/998 Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities , Guidelines & Recommendations PDF
245.15 KB

ESMA finalises supervisory co-operation agreements for alternative investment funds The European Securities and Markets Authority (ESMA) has approved seven co-operation arrangements between EU securities regulators and their global counterparts with responsibility for the supervision of alternative investment funds, including hedge funds, private equity and real estate funds. ESMA’s Board of Supervisors, at its July meeting, approved Memoranda of Understanding (MoUs) with authorities from the Bahamas, Japan, Malaysia, Mexico and the United States, including the Commodity Futures Trading Commission (CFTC). ESMA has now negotiated 38 agreements on behalf of the 31 EU/EEA national competent authorities for securities markets supervision. The co-operation agreements allow for the exchange of information, cross-border on-site visits and mutual assistance in the enforcement of respective supervisory laws. ESMA had approved 31 MoUs with other non-EU regulators in May. The agreements cover third-country alternative investment fund managers (AIFMs) that market alternative investment funds (AIFs) in the EU and EU AIFMs that manage or market AIFs outside the EU. The agreements also cover co-operation in the cross-border supervision of depositaries and AIFMs’ delegates. National securities regulators in the EU, as the supervisors of AIFMs, are in the process of signing MoUs with those jurisdictions relevant to their market. The existence of co-operation arrangements between the EU and non-EU authorities is a precondition of the Alternative Investment Fund Managers Directive (AIFMD) for allowing managers from third countries access to EU markets or to perform fund management by delegation from EU managers by 22 July 2013. The co-operation arrangements are applicable from 22 July, and will enable cross-border marketing of AIFs to professional investors between jurisdictions. This is subject to the non-EU jurisdiction not being listed as a non-cooperative jurisdiction by the Financial Action Task Force and, as from the entry into force of the passport for non-EU managers, having co-operation agreements in place with EU Member States regarding the exchange of information on tax matters. The content of the ESMA MoUs follow the IOSCO Principles on Cross-Border Supervisory Co-operation of 2010, and complements the terms and conditions of the IOSCO Multilateral MoU Concerning Consultation and Co-operation and the Exchange of Information of 2002 (MMoU). ESMA had originally contacted all the authorities that have signed the IOSCO MMoU of 2002. ESMA has now approved MoUs with those 42 authorities that responded to ESMA’s call. ESMA continues to negotiate the MoU with the Chinese authority.   Memoranda of Understanding (MoUs) MoU with AFSA (Albania) MoU with ASIC (Australia) MoU with BMA (Bermuda) MoU with Canadian authorities  Accompanying letter MoU with CDVM (Morocco) MoU with CFTC (US) Accompanying letter MoU with CIMA (Cayman Islands) MoU with CMA (Kenya) MoU with CMSA (Tanzania) MoU with CNBV (Mexico) MoU with CVM (Brazil) MoU with DFSA (Dubai) MoU with FCSM (Mauritius) MoU with FINMA (Switzerland) MoU with FSA (Labuan) MoU with FSC (BVI) MoU with FSC (Guernsey) MoU with FSC (Isle of Man) MoU with FSC (Jersey) MoU with HKMA (Hong Kong) MoU with ISA (Israel) MoU with JFSA (Japan) MoU with MAFF (Japan) MoU with MAS (Singapore) MoU with METI (Japan) MoU with OCC and FED (US) MoU with OSFI (Canada) MoU with SC (Malaysia) MoU with SC (Republic of Srpska) MoU with SC (The Bahamas) MoU with SCA (UAE) MoU with SEBI (India) MoU with SEC (Montenegro) MoU with SEC (Pakistan) MoU with SEC (Thailand) MoU with SEC Macedonia (FYROM) MoU with SFC (Hong Kong) MoU with US SEC Accompanying letter   MoU with EFSA (Egypt)   MoU with FMA (New Zealand)   MoU with FSB (South Africa)   MoU with SSC (Vietnam)   MoU with FSC and FSS (South Korea)

13/08/2013 2013/611 Key concepts of the AIFMD , Guidelines & Recommendations PDF
99.79 KB
Table of Contents I. Scope II. Definitions III. Purpose IV. Compliance and reporting obligations V. Guidelines on the treatment of investment compartments of an undertaking VI. Guidelines on ‘collective investment undertaking’ VII. Guidelines on ‘raising capital’ VIII. Guidelines on ‘number of investors’ IX. Guidelines on ‘defined investment policy’
13/08/2013 2013/611 BG Key concepts of the AIFMD , Guidelines & Recommendations PDF
140 KB
Насоки Насоки относно ключови концепции на директивата относно лицата, управляващи алтернативни инвестиционни фондове
13/08/2013 2013/611 CS Key concepts of the AIFMD , Guidelines & Recommendations PDF
138.29 KB
Obecné pokyny Obecné pokyny ke klíčovým pojmům směrnice o správcích alternativních investičních fondů
13/08/2013 2013/611 DA Key concepts of the AIFMD , Guidelines & Recommendations PDF
82.5 KB
Retningslinjer Retningslinjer for FAIF-nøglebegreber
13/08/2013 2013/611 NL Key concepts of the AIFMD , Guidelines & Recommendations PDF
86.53 KB
Richtsnoeren Richtsnoeren met betrekking tot centrale begrippen van de AIFMD
13/08/2013 2013/611 ET Key concepts of the AIFMD , Guidelines & Recommendations PDF
83.79 KB
Suunised Alternatiivsete investeerimisfondide valitsejaid käsitleva direktiivi põhimõistete suunised
13/08/2013 2013/611 FI Key concepts of the AIFMD , Guidelines & Recommendations PDF
87.54 KB
Ohjeet Ohjeet AIFM-direktiivin keskeisistä käsitteistä
13/08/2013 2013/611 FR Key concepts of the AIFMD , Guidelines & Recommendations PDF
93.74 KB
Orientations Orientations relatives aux notions essentielles contenues dans la directive sur les gestionnaires de fonds d’investissement alternatifs
13/08/2013 2013/611 DE Key concepts of the AIFMD , Guidelines & Recommendations PDF
139.3 KB
Leitlinien Leitlinien zu Schlüsselbegriffen der Richtlinie über die Verwalter alternativer Investmentfonds (AIFMD) Compare German translation
13/08/2013 2013/611 EL Key concepts of the AIFMD , Guidelines & Recommendations PDF
138.43 KB
Κατευθυντήριες γραμμές Κατευθυντήριες γραμμές σχετικά με βασικές έννοιες της οδηγίας ΔΟΕΕ
13/08/2013 2013/611 HU Key concepts of the AIFMD , Guidelines & Recommendations PDF
130.92 KB
Iránymutatás Az ABAK-irányelv kulcsfontosságú fogalmaira vonatkozó iránymutatás