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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/05/2015 2015/SMSG/017 PART III SMSG Contribution to the Green Paper on CMU- PART III SMSG Advice PDF
470.85 KB
03/06/2015 2014/SMSG/018 SMSG Call for evidence: Competition, choice and conflicts of interest in the credit rating industry SMSG Advice PDF
91.24 KB
13/07/2015 SMSG 09/07/15 SMSG Advice on the Commission’s Green Paper “Building a Capital Markets Union” SMSG Advice PDF
781.74 KB
24/07/2015 2015/SMSG/20 SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II SMSG Advice PDF
362.66 KB
30/07/2015 2015/1236 ESMA's advice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs Technical Advice PDF
1.36 MB
Executive summary Reasons for publication In accordance with Articles 36 and 42 of the Directive 2011/61/EU on Alternative Investment Fund Managers (AIFMD), non-EU alternative investment fund managers (AIFMs) and non-EU alternative investment funds (AIFs) managed by EU AIFMs are subject to the national private placement regime (NPPR) of each of the Member States where the AIFs are marketed or managed. However, the AIFMD makes provision for the passport, which is currently reserved to EU AIFMs and AIFs, to be potentially extended in future. Article 67(1) of the AIFMD establishes that, by 22 July 2015, ESMA shall issue to the European Parliament, the Council and the Commission advice on the application of the passport to non-EU AIFMs and AIFs in accordance with the rules set out in Article 35 and 37 to 41 of the AIFMD. This document sets out ESMA’s advice on the application of the passport to six non-EU countries: Guernsey, Hong Kong, Jersey, Switzerland, Singapore and the United States. Contents Section 1 of the advice sets out the background to ESMA’s work, while the detailed assessment of each of the aforementioned non-EU countries is contained in section 2. Annexes 1 to 7 contain a summary of the feedback to the call for evidence that ESMA launched in November 2014. Annex 8 gives a detailed breakdown by non-EU country of the number of non-EU AIFs and non-EU AIFMs active in Member States in accordance with Articles 36 and 42 of the AIFMD. Next Steps ESMA will continue to work on its assessment of other non-EU countries not covered in this advice with a view to delivering further submissions to the European Parliament, the Council and the Commission in the coming months. For those non-EU jurisdictions with which there are currently no supervisory cooperation arrangements in place for the purposes of the AIFMD, ESMA will continue its efforts to agree a MoU with the authorities concerned.
05/08/2015 2015/1219 Final Report- Technical Advice under the CSD Regulation Technical Advice PDF
751.38 KB
18/09/2015 2015/SMSG/023 SMSG reply to the ESAs_PRIIPS_Key information document PRIIPs_final SMSG Advice PDF
662.2 KB
18/09/2015 2015/SMSG/026 Advice on Proxy advisors SMSG Advice PDF
206.54 KB
29/09/2015 2015/SMSG/025 SMSG Position Paper MAR SMSG Advice PDF
158.23 KB
02/10/2015 2015/1471 Technical Advice on Reducing Sole and Mechanistic Reliance on Credit Ratings Technical Advice PDF
1.1 MB
02/10/2015 2015/1472 Technical Advice on Competition, Choice and Conflicts of Interest in the CRA industry Technical Advice PDF
2.48 MB
11/11/2015 ESMA/2015/SMSG/031 Advice on sound remuneration under UCITS and AIFMD SMSG Advice PDF
123.3 KB
06/02/2016 2016/SMSG/006 SMSG Opinion Paper on PRIIPs Regulation – Performance Measures SMSG Advice PDF
101.82 KB
18/02/2016 2015/SMSG/036 SMSG Advice on ESEF , SMSG Advice PDF
109.63 KB
13/04/2016 2016/SMSG/010 SMSG Advice MAR Guidelines SMSG Advice PDF
152.68 KB
10/05/2016 2016/SMSG/011 SMSG Advice on ESMA's DP on the validation and review of CRAs’ methodologies SMSG Advice PDF
75.25 KB
14/06/2016 2016/SMSG/014 SMSG Position Paper on Supervisory Convergence SMSG Advice PDF
174.38 KB
12/09/2016 2016/1140 Final advice on AIFMD passport Technical Advice PDF
621.95 KB

This version of the advice includes the following clarifications with respect to the assessment of the Isle of Man:

  • the Isle of Man underwent an assessment by the International Monetary Fund (IMF) in 2003 and 2009 as part of the Financial Sector Assessment Program (FSAP); and
  • the self-assessment carried out by the Isle of Man Financial Services Authority in 2013 was an assisted self-assessment.
16/12/2016 2016/SMSG/022 SMSG Advice- Response to ESMA’s Consultation Paper on Draft technical standards under the Benchmarks Regulation SMSG Advice PDF
165.4 KB
17/01/2017 2016/SMSG/024 SMSG Advice- Response to ESMA’s Consultation Paper on MiFID II product governance SMSG Advice PDF
202.01 KB