ESMA LIBRARY
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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 03/06/2005 | 05-365 | MAD AMPs- Frequently Asked Questions | CESR Archive | Q&A | PDF 55.99 KB |
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| 29/05/2007 | 07-320 | Q&A on Best Execution | CESR Archive | Q&A | PDF 578.51 KB |
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| 03/11/2009 | 09-559 | Questions and Answers- MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements | CESR Archive | Q&A | PDF 405.18 KB |
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| 08/03/2010 | 10-222 | FAQ regarding the EU Regulation Credit Rating Agencies: Common positions agreed by CESR Members | CESR Archive | Q&A | PDF 327.78 KB |
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| 19/04/2010 | 10-293 | Question and Answers- Understanding the definition of advice under MiFID | CESR Archive | Q&A | PDF 335.78 KB |
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| 06/05/2010 | 10-591 | Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee | CESR Archive | Q&A | PDF 130.84 KB |
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| 04/06/2010 | 10-521 | FAQ regarding the EU regulation on Credit Rating Agencies: Common positions agreed by CESR Members | CESR Archive | Q&A | PDF 206.24 KB |
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| 13/10/2011 | 2011/342 | Opinion- Practical arrangements for the late transposition of the UCITS IV Directive | Fund Management | Opinion | PDF 41.33 KB |
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| 21/02/2012 | 2012/113 | Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 | Fund Management | Q&A | PDF 83.79 KB |
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements. | |||
| 22/06/2012 | 2012/382 | MiFID Q&A in the area of investor protection and intermediaries | MiFID - Investor Protection | Q&A | PDF 319.78 KB |
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| 01/11/2012 | 2012/715 | ESMA Opinion on emergency measure by Spanish CNMV under Section 1 of Chapter V of Regulation No. 236/2012 on short selling and certain aspects of credit default swaps | Short Selling | Opinion | PDF 79.2 KB |
ESMA Opinion ESMA is adopting the following opinion on the notified measure, on the basis of Article 27(2) of Regulation 236/2012 on Short selling and certain aspects of credit default swaps: On the adverse events or developmentsESMA considers that there are adverse developments which constitute a serious threat to financial stability and to market confidence in Spain. On the appropriateness and proportionality of the measure ESMA considers that the measure is appropriate and proportionate to address the above-mentioned threats that persist in Spain. On the duration of the measureESMA considers that the duration of the measure is justified and appreciates the CNMV’s statement in its notification of intent whereby the measure may be lifted during the period of enforcement of the measure, if considered necessary. | |||
| 01/11/2012 | 2012/717 | ESMA Opinion on emergency measure by the Greek HCMC under Section 1 of Chapter V of Regulation No. 236/2012 on short selling and certain aspects of credit default swaps | Short Selling | Opinion | PDF 95.45 KB |
ESMA Opinion ESMA is adopting the following opinion on the notified measure, on the basis of Article 27(2) of Regulation 236/2012 on Short selling and certain aspects of credit default swaps: On the adverse events or developmentsESMA considers that there are adverse developments which constitute a serious threat to financial stability and to market confidence in Greece. On the appropriateness and proportionality of the measure ESMA considers that the measure is appropriate and proportionate to address the above-mentioned threats that persist in Greece. On the duration of the measureESMA considers that the duration of the measure is justified and appreciates the HCMC’s statement in its notification of intent whereby the measure may be lifted during the period of enforcement of the measure, if considered necessary. | |||
| 20/11/2012 | 2012/721 | Opinion on Article 50(2)(a) of the UCITS Directive | Fund Management | Opinion | PDF 81.31 KB |
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| 29/01/2013 | 2013/149 | Emergency measure by the Greek HCMC under Section 1 of Chapter V of Regulation No 236/2012 on short selling and certain aspects of credit default swaps | Short Selling | Opinion | PDF 96.52 KB |
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| 30/01/2013 | 2013/159 | Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) | Short Selling | Q&A | PDF 873.32 KB |
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| 15/03/2013 | 2013/312 | Regulatory technical standards on colleges for central counterparties supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 | Post Trading | Opinion | PDF 151.67 KB |
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| 20/03/2013 | 2013/317 | Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive | Prospectus, Corporate Disclosure | Opinion | PDF 725.59 KB |
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| 30/04/2013 | 2013/542 | Emergency measure by the Greek HCMC under Section 1 of Chapter V of Regulation No 236/2012 on short selling and certain aspects of credit default swaps | Short Selling, Market Integrity | Opinion | PDF 96.41 KB |
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| 01/08/2013 | 2013/1072 | Practical arrangements for the late transposition of the AIFMD | Fund Management | Opinion | PDF 93.1 KB |
The European Securities and Markets Authority (ESMA) has published an Opinion on arrangements for the late imposition of the AIFMD. The scope of the opinion is confined to the provision of collective portfolio management services. Arrangements before implementation of the Directive in all Member States Notification of marketing of EU AIFs when the host MS of the AIFM has not transposed the Directive (Articles 31 and 32 of the Directive) ESMA believes that, if the Directive has been transposed in the home MS of the AIFM, the competent authority of the host MS of the AIFM (Article 32) or home MS of the AIFM (Article 31) may not refuse a valid notification under the Directive on the ground that the Directive has not yet been transposed in the host MS. This applies irrespective of whether the marketing is done using the freedom to provide services or by means of a branch. Management passport (Article 33 of the Directive) ESMA believes that AIFMs established in a MS that has transposed the Directive should be able to manage an EU AIF via the management passport, both using the freedom to provide services or by means of a branch, in a MS where the Directive has not been transposed, irrespective of the provisions currently in place in such jurisdiction since the relevant provisions of the Directive are of a self-executing nature, and provided the AIFM is authorised to manage that type of AIF in accordance with Article 33(1) of the AIFMD. Any local restrictions on AIFMs that are not in accordance with the AIFMD will need to be disapplied. | |||
| 01/10/2013 | 2013/1340 | Collection of information for the effective monitoring of systemic risk under Article 24(5), first sub-paragraph, of the AIFMD | Fund Management | Opinion | PDF 70.75 KB |