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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
17/12/2021 ESMA91-372-1945 Assessment Report under Article 25(2c) of EMIR (Part 1 of 2) CCP Directorate, Post Trading, Press Releases Report PDF
13.38 MB
17/12/2021 ESMA91-372-1945 Assessment Report under Article 25(2c) of EMIR (Part 2 of 2) CCP Directorate, Post Trading, Press Releases Report PDF
13.18 MB
22/12/2020 ESMA70-156-3782 ESMA report on application of AMP 2020 Market Abuse Report PDF
1.38 MB
21/12/2020 ESMA70-156-3537 Annual Report on MAR administrative and criminal sanctions 2020 Market Abuse Report PDF
291.51 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs Credit Rating Agencies, Supervisory convergence, Trade Repositories Report PDF
606.45 KB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs Market Abuse, Market Integrity Report PDF
1.4 MB
12/12/2019 ESMA70-156-2005 MAR Article 33 Report on Sanctions Market Abuse Report PDF
352.9 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices Market Abuse, Market Integrity Report PDF
1.68 MB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories Credit Rating Agencies, Trade Repositories Report PDF
1.14 MB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems Corporate Finance, Corporate Governance Report PDF
1.09 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 Credit Rating Agencies, Trade Repositories Report PDF
2.49 MB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF Corporate Disclosure, European Single Electronic Format, Transparency Report PDF
6.98 MB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines Market Abuse, Market Integrity Report PDF
852.59 KB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
247 KB
05/02/2016 2016/234 ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan. Credit Rating Agencies, Trade Repositories Report PDF
2.08 MB

The European Securities and Markets Authority’s (ESMA) annual report and work programme has been prepared according to Article 21 of Regulation 1060/2009 on credit rating agencies as amended (the CRA Regulation) and Article 85 of Regulation 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR). It highlights the direct supervisory activities carried out by ESMA during 2015 regarding credit rating agencies (CRAs) and trade repositories (TRs) and outlines ESMA’s main priorities in these areas for 2016.

ESMA adopts a risk-based approach to the supervision of CRAs and TRs in accordance with its overall objectives of promoting financial stability and orderly markets and enhancing investor protection. This risk-based approach requires the analysis of information from a variety of sources and the application of multiple supervisory tools including day-to-day supervision, cycle of engagement meetings with supervised entities, on-site inspections and dedicated investigations.

In order to build on the expertise that ESMA has developed through its supervision of CRAs and TRs, ESMA created a single Supervision Department in November 2015. ESMA intends to draw on the best practices identified from the supervision of both types of entity to further enhance its supervisory effectiveness in future.
28/09/2015 2015-ESMA-1455 Final Report MAR TS Market Abuse Technical Standards PDF
1.77 MB
25/09/2015 2015/1460 ESMA Final Report on DRAFT RTS on EEAP Transparency Technical Standards PDF
1.62 MB
29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive Corporate Disclosure, Transparency Technical Standards PDF
810.07 KB		 The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Prospectus, Corporate Disclosure, Transparency CESR Document PDF
265.19 KB
29/06/2012 2012/415 Call for Evidence on Empty Voting Transparency, Corporate Disclosure CESR Document PDF
275.66 KB		 ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present.

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