ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/11/2021 ESMA70-445-7 Preliminary Report on Emission Allowances , Report PDF
1005.62 KB
22/10/2021 AFM/1 Consumer testing AFM report Report PDF
2.75 MB
22/10/2021 SGH/1 Consumer testing SGH report Report PDF
2.08 MB
17/05/2021 ESMA22-106-3375 SMSG advice to the ESA’s Joint Consultation Paper on Taxonomy-related sustainability disclosures , SMSG Advice PDF
227.92 KB
17/05/2021 JC 2021 31 JC Report on the implementation and functioning of the Securitisation Regulation , Report PDF
1.03 MB
04/02/2021 JC 2021 03 Joint ESAs Final Report on RTS under SFDR , Report PDF
2.58 MB
13/11/2020 ESMA22-106-2993 SMSG advice on Sustainability Templates , SMSG Advice PDF
184.15 KB
05/10/2020 ESMA33-128-1001_ Final Report_Guidelines on Portability of Information between Securitisation Repositories Report PDF
279.02 KB
15/09/2020 ESMA22-106-2858 SMSG advice on ESG disclosure , SMSG Advice PDF
251.29 KB
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB
06/02/2020 ESMA22-105-1052 Strategy on Sustainable Finance Report PDF
161.97 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
18/12/2019 ESMA30-22-762 Report on undue short-term pressure on corporations from the financial sector Report PDF
2.11 MB
13/11/2018 ESMA33-128-505 Final Technical Advice Securitisation Repositories Fees Technical Advice PDF
570.74 KB
16/07/2018 ESMA33-128-477 Final Report on STS notification Report PDF
1.5 MB
16/07/2018 ESMA33-128-473 Final Report- Draft RTS on authorisation of firms providing STS verification services Report PDF
593.91 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
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.