ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/09/2017 ESMA43-318-1079 Warning- Unauthorised use of ESMA’s identity and logo , Reference PDF
241.2 KB
28/02/2018 ESMA PARIS Visitor Handbook Reference PDF
2.39 MB
11/03/2013 2013/280 Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct , Reference PDF
102.91 KB
04/04/2016 2016/229 ToR SCSC Reference PDF
93.7 KB
11/02/2016 2016/214 ToR OWG Prospectus Reference PDF
87.64 KB
04/04/2016 2016/219 ToR CRA TC Reference PDF
204.41 KB
11/02/2016 2016/211 ToR CFSC Reference PDF
142.36 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
10/02/2022 ESMA 80-195-1352 Text mining ESG disclosures in rating agency press releases , , Reference PDF
403.58 KB
01/07/2022 ESMA41-140-79 Technical standards , Reference XLSX
173.59 KB
11/07/2019 ESMA41-137-1151 Swedbank- PUBLIC NOTICE Reference PDF
100.89 KB
11/07/2019 ESMA41-137-1148 Svenska Handelsbanken AB- PUBLIC NOTICE Reference PDF
100.13 KB
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   , Report PDF
819.71 KB
07/02/2018 ESMA42-114-540 Supervisory Convergence Work Programme 2018 Report PDF
611.01 KB
06/04/2017 ESMA33-9-158 Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs Report PDF
687.07 KB
  1. ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches and practices among nationally appointed Sectoral Competent Authorities (‘SCAs’).
  1. The purpose of this supervisory briefing is to provide guidance to SCAs in relation to the application of Articles 8c and 8d of the CRA Regulation and promote a common supervisory approach and enforcement of these Articles. In this regard, the Supervisory Briefing includes the following:
  1. A Common Supervisory Approach as to which issuers and related third parties are covered by Article 8c and 8d; and,
  1. A Standard Form for documentation in accordance with article 8d.
  1. The common supervisory approach will assist SCAs as well as issuers and related third parties by clearly establishing who should be prioritised for supervision and enforcement under these Articles.
  1. The Standard Form will assist SCAs by guaranteeing standardised and consistent data across different issuers and related third parties. It will also assist issuers and related third parties by providing clarity as to how they may meet their regulatory obligations under these Articles and simplify their internal processes by removing the need to develop in-house templates for documenting compliance under Article 8d.
  1. The Supervisory Briefing will be published on ESMA’s website and on the websites of the nationally appointed SCAs.
 
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments , Report PDF
148.65 KB
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 KB
28/05/2021 ESMA81-393-98 Supervisory Briefing on Benchmark administrators’ presence in their Member States of location and outsourcing , Report PDF
200.21 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
09/01/2020 ESMA22-106-1942 Strategic Orientation 2020-22 , Report PDF
325.47 KB
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