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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/09/2012 2012/557 PT A ESMA alerta os investidores para os riscos dos investimentos online Investor Warning PDF
336.1 KB
A ESMA alerta os investidores para os riscos dos investimentos online
12/01/2012 2012/3 Annual report on the application of the Regulation on credit rating agencies as provided by Article 21(5) and Article 39a of the Regulation (EU) No 1060/2009 as amended by Regulation No 1095/2010 Final Report PDF
141.98 KB
This is the first report under the new CRA regulation, however, please note that CESR published a report about the application of the Regulation in the EU and, in particular, on the implementation of the requirements established in Annex I of the Regulation on 6 December 2010 (CESR/10-1424), according to Article 21(4) of the Regulation which was subsequently amended by Regulation No (EC) 513/2011. At the time of publication, 16 CRA's have been registered.
18/03/2013 2013/308 Annual report on the application of the Regulation on credit rating agencies- 2012 Final Report PDF
601.08 KB
This is the second annual report on the application of the Credit Rating Agencies Regulation. 
07/02/2014 2014/154 LV Ar ieguldījumiem sarežģītos produktos saistītie riski , Investor Warning PDF
435.59 KB
10/09/2012 2012/557 HU Az Európai Értékpapírpiaci Hatóság (ESMA) az online befektetések buktatóira figyelmezteti a lakossági befektetőket Investor Warning PDF
578.5 KB
Az Európai Értékpapírpiaci Hatóság (ESMA) az online befektetések buktatóira figyelmezteti a lakossági befektetőket
07/02/2014 2014/154 HU Az összetett termékekbe történő befektetések kockázatai , Investor Warning PDF
384.08 KB
18/04/2013 2013/267 LV Cenu starpības līgumiem (CFD) Investor Warning PDF
456.82 KB
Cenu starpības līgumiem (CFD)
18/04/2013 2013/267 SV CFD-Kontrakt Investor Warning PDF
289.47 KB
CFD-Kontrakt
10/06/2013 2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive , Final Report PDF
596.91 KB
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive.   This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in  EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states.   The report does not cover how the regimes, or sanctions, are applied.    Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States
18/04/2013 2013/267 RO Contracte pentru diferentă (CFD-uri) Investor Warning PDF
347.86 KB
Contracte pentru diferentă (CFD-uri)
28/02/2013 2013/267 Contracts for Difference (CFDs) , Investor Warning PDF
389.45 KB
18/04/2013 2013/267 NL Contracts for difference (CFDs) Investor Warning PDF
441.01 KB
Contracts for difference (CFDs)
18/04/2013 2013/267 PT Contratos diferenciais (CFD) Investor Warning PDF
315.37 KB
Contratos diferenciais (CFD)
18/04/2013 2013/267 ES Contratos por Diferencias (CFD) Investor Warning PDF
270.64 KB
Contratos por Diferencias (CFD)
18/04/2013 2013/267 FR Contrats sur différence (CFD) Investor Warning PDF
386.18 KB
Contrats sur différence (CFD)
18/04/2013 2013/267 IT Contratti per differenza (CFD) Investor Warning PDF
416.5 KB
Contratti per differenza (CFD)
21/02/2014 2014/151 Credit Rating Agencies Annual Report 2013 Final Report PDF
507.61 KB
The European Securities and Markets Authority (ESMA) has published its Annual Report 2013 (Report) on credit rating agencies (CRAs) in the European Union (EU). The Report also outlines ESMA’s supervisory work plan for this year. ESMA has found that CRAs continue to progress in how they comply with the CRA Regulation, including improved internal transparency and disclosure to the market on credit rating activities as well as empowerment of the compliance function. However, ESMA considers that improvements are still necessary, notably in the following areas: • validation of rating methodologies, to ensure that a credit rating assessment is a comprehensive risk assessment leading to high quality ratings; • internal governance, ensuring the full independence of the internal review function and thereby reducing the risk of potential conflict of interest; and • robust IT systems to support the rating process, including information security controls and protection of confidential rating information. These issues form the basis for much of ESMA’s supervision activities as outlined in its 2014 work plan. This includes the completion of the two on-going supervisory reviews into CRAs’ monitoring of structured finance ratings and into small and medium-sized CRAs. A new thematic investigation on how CRAs review and validate their rating methodologies will also be launched, as well as dedicated work on CRAs’ IT systems and controls. Following the entry into force of the amended CRA Regulation in June 2013, ESMA will also complete a specific assessment on CRAs’ compliance with the new regulatory requirements.
10/09/2012 2012/557 NL De Europese Autoriteit voor effecten en markten (ESMA) waarschuwt particuliere beleggers voor de valkuilen van online beleggen Investor Warning PDF
512.32 KB
De Europese Autoriteit voor effecten en markten (ESMA) waarschuwt particuliere beleggers voor de valkuilen van online beleggen
06/01/2012 2011/412_de Devisenhandel (Forex Trading) Investor Warning PDF
40.15 KB
06/01/2012 2011/412_hu Devizakereskedés (forex) Investor Warning PDF
172.8 KB

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