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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/08/2014 2014/937 et Börsil kaubeldavate fondide ja muude eurofondide emissioone käsitlevad suunised , Guidelines & Recommendations PDF
336.89 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 es Directrices sobre fondos cotizados (ETF) y otras cuestiones relativas a los OICVM , Guidelines & Recommendations PDF
351.34 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 el Κατευθυντήριες γραμμές σχετικά με τα διαπραγματεύσιμα αμοιβαία κεφάλαια και άλλα θέματα που αφορούν τους ΟΣΕΚΑ , Guidelines & Recommendations PDF
382.29 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 de Leitlinien zu börsengehandelten Indexfonds (Exchange-Traded Funds, ETF) und anderen OGAW-Themen , Guidelines & Recommendations PDF
366.31 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 da Retningslinjer om børshandlede fonde (ETF'er) og andre forhold relateret til investeringsinstitutter (UCITS) , Guidelines & Recommendations PDF
346.87 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 cs Obecné pokyny týkající se ETF a jiné problematiky SKIPCP , Guidelines & Recommendations PDF
353.76 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 bg Насоки относно борсово търгуваните фондове (ETF) и въпросите за ПКИПЦ , Guidelines & Recommendations PDF
382.04 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
01/08/2014 2014/937 Guidelines on ETFs and other UCITS issues , Guidelines & Recommendations PDF
339.57 KB
This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
08/08/2014 2014/869 Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD , Guidelines & Recommendations PDF
585.72 KB
27/03/2014 2014/312 Technical advice to the European Commission on the information that competent authorities should provide to ESMA pursuant to Article 67(3) of the AIFMD Technical Advice PDF
330.79 KB
Reasons for publication ESMA is issuing this technical advice in response to the mandate received from the European Commission on 20 December 2013 for advice on the possible content of the delegated act required by Article 67(5) of the AIFMD, concerning the information that EU competent authorities have to provide quarterly to ESMA pursuant to Article 67(3) of the Directive. This information is needed in order to allow ESMA to produce the opinion and the advice required in Article 67(1) of the AIFMD, in relation to the possible extension of the AIFMD passport to non-EU AIFs and non-EU AIFMs. Contents Section II describes the background of the proposal. Section III specifies the timing for the provision of the information to ESMA and lists the information that the competent authorities should provide quarterly to ESMA. The list of information is divided into three parts: the first refers to the information about the functioning of the passport for EU AIFMs; the second deals with the functioning of the national private placement regime for non-EU AIFs and non-EU AIFMs; and the third refers to the issues arising from the functioning of both systems. Finally, Section IV reproduces the mandate for advice issued by the European Commission. Next steps ESMA will cooperate closely with the European Commission in order to facilitate an expeditious adoption of the delegated act required by Article 67(5) of the AIFMD.
24/03/2014 2014/294 Final Report on Revision of Guidelines ETFs and other UCITS issues , Guidelines & Recommendations PDF
241.59 KB
Reasons for publication In December 2012, ESMA published the guidelines on ETFs and other UCITS issues (ESMA/2012/832) (hereafter the guidelines). Since the entry into force of the guidelines on 18 February 2013, ESMA has been asked by stakeholders on numerous occasions to reconsider its position on the requirements on collateral diversification (paragraph 43(e) of the guidelines) on the basis that they have a significant adverse impact on UCITS’s collateral management policies. Stakeholders drew particular attention to the consequences for money market funds that place cash into reverse repurchase agreements. On 20 December 2013, ESMA published a consultation paper (ESMA/2013/1974) in which the Authority set out proposed amendments to paragraph 43(e) of the guidelines. Contents Annex I of this final report sets out ESMA’s position on collateral management by UCITS. The guidelines in Annex I modify the rules on collateral diversification in paragraph 43(e) of the existing guidelines and introduce some further consequential changes. Next steps The guidelines in Annex I of this report will be translated into the official EU languages and published on the ESMA website. The publication of the translations will trigger a two-month period during which NCAs must notify ESMA whether they comply or intend to comply with the guidelines.
28/11/2014 2014/1417 ESMA's technical advice to the European Commission on delegated acts required by the UCITS V Directive Technical Advice PDF
469.49 KB
22/08/2014 2014/1103 Review of the CESR guidelines on a Common Definition of European Money Market Funds , Guidelines & Recommendations PDF
248.05 KB
The European Securities and Markets Authority (ESMA) published today its opinion on how national competent authorities should apply the modifications to the CESR guidelines on money market funds set out in the report on Mechanistic Reference to Credit Ratings in the ESA’s Guidelines and Recommendations  (JC 2014 004) issued by the Joint Committee of the three ESAs, when monitoring the application of the CESR guidelines by the relevant financial market participants. The Joint Committee report was published on 6 February 2014, setting out the manner in which the CESR guidelines were to be amended, in particular with respect to the assessment of credit quality of money market instruments by managers of Short-Term Money Market Funds (ST MMFs) and Money Market Funds (MMFs).
29/11/2013 2013/998 SV Riktlinjer för mall för samförståndsavtal om samråd, samarbete och informationsutbyte i samband med övervakning av enheter enligt AIFM-direktivet , Guidelines & Recommendations PDF
241.59 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
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 PT Orientações relativas ao modelo de MoU sobre consulta, cooperação e troca de informações relacionadas com a supervisão das entidades referidas na Diretiva AIFM , Guidelines & Recommendations PDF
285.42 KB
29/11/2013 2013/998 PL Wytyczne dotyczące modelowego protokołu ustaleń w sprawie konsultacji, współpracy i wymiany informacji związanych z nadzorem nad podmiotami, których dotyczy dyrektywa w sprawie ZAFI , Guidelines & Recommendations PDF
252.73 KB
29/11/2013 2013/998 NL Richtsnoeren voor het model voor een MvO inzake de raadpleging, de samenwerking en de uitwisseling van informatie met betrekking tot het toezicht op AIFMD-entiteiten , Guidelines & Recommendations PDF
244.53 KB
29/11/2013 2013/998 MT Linji gwida dwar il-mudell tal-MtQ dwar konsultazzjoni, kooperazzjoni u l-iskambju ta’ informazzjoni relatati mas-superviżjoni ta’ entitajiet tal-AIFMD , Guidelines & Recommendations PDF
268.8 KB