ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
37
REFINE YOUR SEARCH
Sections
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove Market Integrity filter Market Integrity
- (-) Remove Press Releases filter Press Releases
- (-) Remove Securities Financing Transactions filter Securities Financing Transactions
- (-) Remove Trading filter Trading
- Board of Supervisors (106) Apply Board of Supervisors filter
- Corporate Information (84) Apply Corporate Information filter
- Management Board (63) Apply Management Board filter
- Securities and Markets Stakeholder Group (44) Apply Securities and Markets Stakeholder Group filter
- Joint Committee (19) Apply Joint Committee filter
- Board of Appeal (18) Apply Board of Appeal filter
- CESR Archive (17) Apply CESR Archive filter
- MiFID - Secondary Markets (8) Apply MiFID - Secondary Markets filter
- Planning reporting budget (8) Apply Planning reporting budget filter
- Short Selling (7) Apply Short Selling filter
- COVID-19 (5) Apply COVID-19 filter
- MiFID - Investor Protection (5) Apply MiFID - Investor Protection filter
- Trade Repositories (5) Apply Trade Repositories filter
- Careers (2) Apply Careers filter
- Market Abuse (2) Apply Market Abuse filter
- Risk Analysis & Economics - Markets Infrastructure Investors (2) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Benchmarks (1) Apply Benchmarks filter
- Corporate Finance (1) Apply Corporate Finance filter
- Post Trading (1) Apply Post Trading filter
- Procurement (1) Apply Procurement filter
- Securitisation (1) Apply Securitisation filter
- Supervisory convergence (1) Apply Supervisory convergence filter
Type of document
- (-) Remove Decision filter Decision
- (-) Remove Annual Report filter Annual Report
- Press Release (346) Apply Press Release filter
- Reference (106) Apply Reference filter
- Statement (55) Apply Statement filter
- Consultation Paper (52) Apply Consultation Paper filter
- Guidelines & Recommendations (45) Apply Guidelines & Recommendations filter
- Final Report (44) Apply Final Report filter
- Opinion (35) Apply Opinion filter
- Report (24) Apply Report filter
- Letter (16) Apply Letter filter
- Speech (16) Apply Speech filter
- Technical Advice (11) Apply Technical Advice filter
- Q&A (6) Apply Q&A filter
- Technical Standards (5) Apply Technical Standards filter
- SMSG Advice (3) Apply SMSG Advice filter
- Compliance table (2) Apply Compliance table filter
Your filters
Sustainable finance X Securities Financing Transactions X Credit Rating Agencies X Market Integrity X Trading X Press Releases X Annual Report X Summary of Conclusions X Decision X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 17/12/2020 | 106/20/COL | ESA Third Renewal Decision under Art. 28(1) SSR | COVID-19, Market Integrity, Short Selling | Decision | PDF 973.25 KB |
||||
| 03/06/2014 | 2014/544 | Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies | Credit Rating Agencies | Decision | PDF 49.36 KB |
Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies The Board of Supervisors (“Board”), Having regard to the Treaty on the Functioning of the European Union (“Treaty”) Having regard to Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (“ESMA Regulation”), and in particular Article 43(2) and Article 44(1) thereof Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (“CRA Regulation”), in particular Articles 6(2), 23e, 24, 25 thereof Having regard to Commission Delegated Regulation (EU) No 946/2012 of 12 July 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions (“Procedural Regulation”), in particular Article 3(4) thereof Whereas: (1) On the basis of the file containing the investigating officer’s findings and after examination of the submissions of Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited the Board finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of the CRA Regulation. (2) The Board considers that the evidence before it does not allow it to establish that Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited acted intentionally or negligently as required by Article 36a(1) of the CRA Regulation in order for the Board to impose a fine. (3) The Board thus decides to adopt a supervisory measure taking the form of a public notice in accordance with Article 24 of the CRA Regulation. Has adopted this decision: Article 1 The Board of Supervisors finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. Article 2 The Board of Supervisors takes the decision to adopt a supervisory measure taking the form of the following public notice, in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. | |||
| 29/06/2015 | 2015/1048 | Public Notice- ESMA fines DBRS Ratings Limited | Credit Rating Agencies | Decision | PDF 186.47 KB |
||||
| 16/02/2015 | 2015/280 | ESMA supervision of Credit Rating Agencies and Trade Repositories | Corporate Information, Credit Rating Agencies, Post Trading | Annual Report | PDF 891.95 KB |
This document reports on the direct supervisory activities carried out by ESMA during 2014 regarding credit rating agencies (CRAs) and trade repositories (TRs) within the European Union (EU). It sets out ESMAs key areas of action during 2014 and outlines ESMA’s main priorities for 2015. | |||
| 21/07/2016 | 2016/1131 | BoS Decision on Fitch Ratings Limited 21 July 2016 | Credit Rating Agencies, Press Releases | Decision | PDF 108.21 KB |
||||
| 20/07/2017 | BoA 2017 01 | FinancialCraft Analytics Sp. z o.o. vs ESMA BoA Decision | Board of Appeal, Credit Rating Agencies | Decision | PDF 693 KB |
||||
| 14/12/2020 | ESMA 33-9-383 | CRA Market Share Calculation 2020 | Credit Rating Agencies | Annual Report | PDF 511.26 KB |
||||
| 28/03/2019 | ESMA-41-356-11 | Decision Fitch UK | Credit Rating Agencies | Decision | PDF 697.42 KB |
||||
| 04/12/2018 | ESMA33-9-281 | CRA market share report | Credit Rating Agencies | Annual Report | PDF 827.25 KB |
||||
| 01/06/2017 | ESMA41-137-1005 | Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited | Board of Supervisors, Credit Rating Agencies | Decision | PDF 207.16 KB |
||||
| 23/07/2018 | ESMA41-137-1145 | BoS decision-CRA 2-2017- Danske | Credit Rating Agencies | Decision | PDF 635.85 KB |
||||
| 23/07/2018 | ESMA41-137-1147 | BoS decision-CRA 2-2017- Svenska Handelsbanken AB | Credit Rating Agencies | Decision | PDF 690.73 KB |
||||
| 23/07/2018 | ESMA41-137-1150 | BoS decision-CRA 2-2017- Nordea | Credit Rating Agencies | Decision | PDF 714.78 KB |
||||
| 23/07/2018 | ESMA41-137-1152 | BoS decision-CRA 2-2017- Swedbank | Credit Rating Agencies | Decision | PDF 715.12 KB |
||||
| 23/07/2018 | ESMA41-137-1153 | BoS decision- CRA 2-2017- SEB | Credit Rating Agencies | Decision | PDF 706.81 KB |
||||
| 15/07/2019 | esma41-139-1224 | Amended_decision_nordea | Credit Rating Agencies | Decision | PDF 236.05 KB |
||||
| 15/07/2019 | esma41-139-1229 | Amended_decision_seb | Credit Rating Agencies | Decision | PDF 239.8 KB |
||||
| 15/07/2019 | esma41-139-1230 | Amended_decision_swedbank | Credit Rating Agencies | Decision | PDF 243.03 KB |
||||
| 15/07/2019 | esma41-139-1231 | Amended decision Handelsbanken | Credit Rating Agencies | Decision | PDF 244.4 KB |
||||
| 30/03/2021 | ESMA41-356-114 | Decision 1-2021 Moody's UK | Board of Supervisors, Credit Rating Agencies | Decision | PDF 728.73 KB |