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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|10/06/2013||2013/619 Annex II||Comparative table of responses from EEA States||Prospectus||Report||PDF
|03/07/2017||ESMA31-62-746||EEA prospectus activity in 2016||Corporate Finance, Prospectus||Report||PDF
|31/10/2019||ESMA31-62-1360||EEA prospectus activity in 2018||Prospectus||Report||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.
|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
|10/06/2013||2013/619 Annex III||Individual responses from EEA States||Prospectus||Report||PDF
|28/07/2016||2016/1170||Report on EEA prospectus activity in 2015||Corporate Disclosure, Prospectus||Report||PDF
|25/03/2019||ESMA22-106-1684||SMSG advice on draft RTS amending the PRIIPs Delegated Regulation||Securities and Markets Stakeholder Group||Report||PDF
|26/03/2019||ESMA22-106-1683||SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD||Securities and Markets Stakeholder Group||Report||PDF
|01/04/2019||ESMA22-106-1731||SMSG Credit Ratings Disclosures advice||Securities and Markets Stakeholder Group||Report||PDF
|01/07/2016||2016/SMSG/009||SMSG End of Term Report 2016||Securities and Markets Stakeholder Group||Report||PDF
|03/01/2019||ESMA22-16-1603||SMSG End of Term Report 2018||Securities and Markets Stakeholder Group||Report||PDF
|04/12/2017||ESMA22-106-535||SMSG Report on Access to public capital markets for SMEs||Securities and Markets Stakeholder Group||Report||PDF
|01/04/2019||esma22-106-1710||smsg_advice_on_stor_peer_review||Securities and Markets Stakeholder Group||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||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