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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|05/03/2013||2013/SMSG/03||SMSG Advice on Benchmarks/Indices||Securities and Markets Stakeholder Group, Benchmarks||Letter||PDF
|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
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.
|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
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|29/03/2017||ESMA70-145-48||Draft technical standards under the Benchmarks Regulation||Benchmarks||Report||PDF
|02/06/2017||ESMA70-143-5||Methodological framework for mandatory benchmarks contributions||Benchmarks||Report||PDF
|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
|05/09/2018||ESMA70-151-1651 Annex 1||Letter from European Commission on SFTR draft RTS||Securities Financing Transactions||Letter||PDF
|05/09/2018||ESMA70-151-1719||Letter to VP Dombrovskis on opinion on SFTR||Securities Financing Transactions||Letter||PDF
|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
|14/02/2020||ESMA70-156-1778||ESMA’s response to the Commission’s consultation on the BMR review||Benchmarks||Report||PDF
|28/05/2021||ESMA81-393-98||Supervisory Briefing on Benchmark administrators’ presence in their Member States of location and outsourcing||Benchmarks, Supervisory convergence||Report||PDF
|15/07/2021||ESMA81-391-71||Letter from Chairman of EUR Risk Free Rates WG to European Commission on transition from EONIA to Euro Short Term Rate||Benchmarks||Letter||PDF
|02/09/2021||ESMA81-459-6||Letter from Chairman of EUR Risk Free Rates WG to European Commission on the EONIA designation||Benchmarks||Letter||PDF
|16/11/2021||ESMA81-459-31||Letter from the Chairman of the EUR Risk Free Rates Working Group to the European Commission with regards to the designation of statutory replacement rates for GBP & JPY LIBOR||Benchmarks||Letter||PDF
|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
|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
|25/11/2022||ESMA81-393-570||Report on sanctions imposed under the Benchmarks Regulation in 2021||Benchmarks||Report||PDF