ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/04/2019 ESMA34-45-651 UCITS Sanction Report 2016/2017 Report PDF
398.96 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
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.
 
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
06/02/2020 ESMA22-105-1052 Strategy on Sustainable Finance Report PDF
161.97 KB
01/04/2019 esma22-106-1710 smsg_advice_on_stor_peer_review Report PDF
189.48 KB
17/07/2020 ESMA22-105-2740 SMSG- End of Term Report 2020 Report PDF
723.28 KB
04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
1.11 MB
28/10/2019 ESMA22-106-1990 SMSG Opinion on ESMA's Report on performance and cost of retail investment products Opinion PDF
148.41 KB
31/10/2018 ESMA22-106-1296 SMSG Opinion on EC request to ESAs on cost and performance of retail investment, insurance and pension products Opinion PDF
152.91 KB
03/01/2019 ESMA22-16-1603 SMSG End of Term Report 2018 Report PDF
649.37 KB
01/07/2016 2016/SMSG/009 SMSG End of Term Report 2016 Report PDF
1.55 MB
01/04/2019 ESMA22-106-1731 SMSG Credit Ratings Disclosures advice Report PDF
209.66 KB
26/03/2019 ESMA22-106-1683 SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD Report PDF
142.78 KB
25/03/2019 ESMA22-106-1684 SMSG advice on draft RTS amending the PRIIPs Delegated Regulation Report PDF
96.91 KB
18/12/2019 ESMA30-22-762 Report on undue short-term pressure on corporations from the financial sector Report PDF
2.11 MB
08/07/2022 ESMA34-45-1647 Report on Penalties and measures imposed under the UCITS Directive in 2021 Report PDF
449.54 KB
08/07/2022 ESMA34-463-941 Report on Penalties and measures imposed under the AIFMD in 2021 Report PDF
793.12 KB

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