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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 Report PDF
2.15 MB
10/06/2013 2013/619 Annex III Individual responses from EEA States Report PDF
2.63 MB
21/10/2015 2015/BS/139rev SoC Board of Supervisors- 9 July conference call Summary of Conclusions PDF
147.59 KB
21/10/2015 2015/BS/140 SoC June 2015 Board of Supervisors Summary of Conclusions PDF
271.78 KB
21/10/2015 2015/BS/168rev SoC Board of Supervisors- conference call 31 August 2015 Summary of Conclusions PDF
122.18 KB
01/12/2015 2015/BS/202rev1 Summary of Conclusions September 2015 Board meeting Summary of Conclusions PDF
268.78 KB
17/12/2015 2015/BS/232rev SoC November 2015 Board of Supervisors Summary of Conclusions PDF
279.1 KB
03/02/2016 2016/BS/2rev1 SoC Board of Supervisors Summary of Conclusions PDF
212.94 KB
05/02/2016 2016/234 ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan. , 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.

16/02/2016 2016/297 Follow-up MMF , Report PDF
882.13 KB
31/03/2016 2016/411 Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Report PDF
1.39 MB

Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration principles set out under Article 14b of the UCITS Directive (“UCITS Remuneration Guidelines”). This final report sets out the final text of the guidelines on remuneration policies required by the UCITS V Directive and also provides for a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were originally published on 3 July 2013.

05/04/2016 2016/BS/61rev1 Summary of conclusions BoS meeting 27/01/2016 Summary of Conclusions PDF
258.36 KB
05/04/2016 2016/BS/72rev1 Summary of conclusions BoS meeting 07/03/2016 Summary of Conclusions PDF
148.73 KB
01/06/2016 2016/BS/110rev1 Summary of conclusions BoS meeting 23/03/2016 Summary of Conclusions PDF
258.81 KB
06/06/2016 2016/907 Economic Report on order duplication and liquidity measurement in EU equity markets Report PDF
1.44 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
20/06/2016 2016/BS/117rev1 Summary of Conclusions Board of Supervisors Conference call 28/04/2016 Summary of Conclusions PDF
208.82 KB
19/07/2016 2016-BS-151rev1 Summary of Conclusions BoS meeting 25 May 2016 Summary of Conclusions PDF
303.49 KB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 , Report PDF
674.63 KB
03/10/2016 2016/BS/201rev Summary of Conclusions- Board of Supervisors Meeting 12 July 2016 Summary of Conclusions PDF
230.3 KB

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