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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 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
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.

16/07/2021 ESMA34-43-392 Q&A on the application of the UCITS Directive Q&A PDF
722.03 KB
20/07/2021 ESMA34-45-1269 Penalties and measures imposed under the UCITS Directive in 2020 Report PDF
516.21 KB
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Report PDF
398.96 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
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
16/11/2020 ESMA50-165-1362 ASR on EU derivatives markets- 2020 , Report PDF
1.88 MB
08/04/2021 ESMA50-165-1734 EU Alternative Investment Funds- 2021 Statistical Report , , Report PDF
1.77 MB
02/02/2018 ESMA70-151-1154 EU-wide CCP Stress Test 2017 Report PDF
4.72 MB
02/02/2018 ESMA70-151-1179 Questions and Answers ESMA CCP Stress Test Q&A PDF
694.47 KB
13/06/2018 ESMA70-151-1400 Report on supervisory measures and penalties under EMIR Report PDF
605.66 KB
22/07/2019 ESMA70-151-1952 2018 CCP Peer Review Report Report PDF
694.38 KB
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   , Report PDF
819.71 KB
02/03/2020 ESMA70-151-2908 MIFID II Report C6 Energy Derivatives Report PDF
367.55 KB
13/07/2020 ESMA70-151-3186 3rd EU-wide CCP Stress Test Report , Report PDF
5.94 MB