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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/03/2022 ESMA41-356-271 Decision of the Board of Supervisors to adopt supervisory measures and impose fines in respect of infringements committed by REGIS-TR, S.A Board of Supervisors, Trade Repositories Decision PDF
1.17 MB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository Board of Supervisors, Trade Repositories Decision PDF
1.13 MB
30/03/2021 ESMA41-356-168 Public Notices Moodys UK DE ES FR IT Board of Supervisors, Credit Rating Agencies Decision PDF
277.29 KB
30/03/2021 ESMA41-356-132 Decision 5-2021 Moody's Spain Board of Supervisors, Credit Rating Agencies Decision PDF
332.83 KB
esma71-99-1622_cra_enforcement_case_moodys_march_2021.pdf
30/03/2021 ESMA41-356-131 Decision 4-2021 Moody's Italy Board of Supervisors, Credit Rating Agencies Decision PDF
350.91 KB
esma71-99-1622_cra_enforcement_case_moodys_march_2021.pdf
esma41-356-168_public_notices_moodys_uk_de_es_fr_it.pdf
30/03/2021 ESMA41-356-130 Decision 3-2021 Moody's Germany Board of Supervisors, Credit Rating Agencies Decision PDF
333.78 KB
esma71-99-1622_cra_enforcement_case_moodys_march_2021.pdf
esma41-356-168_public_notices_moodys_uk_de_es_fr_it.pdf
30/03/2021 ESMA41-356-129 Decision 2-2021 Moody's France Board of Supervisors, Credit Rating Agencies Decision PDF
352.97 KB
esma71-99-1622_cra_enforcement_case_moodys_march_2021.pdf
esma41-356-168_public_notices_moodys_uk_de_es_fr_it.pdf
30/03/2021 ESMA41-356-114 Decision 1-2021 Moody's UK Board of Supervisors, Credit Rating Agencies Decision PDF
728.73 KB
esma71-99-1622_cra_enforcement_case_moodys_march_2021.pdf
esma41-356-168_public_notices_moodys_uk_de_es_fr_it.pdf
06/11/2020 ESMA70-155-11210 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
124.97 KB
23/03/2020 ESMA22-328-275 Decision of the Management Board- Rules of Procedure Corporate Information, Management Board Decision PDF
144.92 KB
11/02/2020 ESMA22-328-356 Decision of the Board of Supervisors- Election of Management Board Members Board of Supervisors, Management Board Decision PDF
116.69 KB
17/10/2019 ESMA74-362-111 Decision on delegation to the Chair the adoption of changes to technical instructions on IT and data matters Board of Supervisors Decision PDF
127.62 KB
11/10/2018 ESMA70-155-5905 Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits Board of Supervisors, MiFID - Secondary Markets Decision PDF
222.28 KB
11/10/2018 ESMA70-155-5775 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
219.76 KB
30/04/2018 BoA 2018-01 Decision in an appeal by A v ESMA Board of Appeal, Joint Committee Decision PDF
392.62 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
14/08/2015 BOA/2015/001 Decision of the Board of Appeal of the European Supervisory Authorities given under Article 60 of Regulation (EU) No 1094/2010 and the Board of Appeal’s Rules of Procedure (BOA 2012 002) Joint Committee, Board of Appeal Decision PDF
147.78 KB
02/12/2014 2014/BOA/05 Decision by the ESA BoA concerning Investor Protection Europe sprl Joint Committee, Board of Appeal Decision PDF
229.85 KB		 The Joint Board of Appeal of the ESAs decides on the inadmissibility of an appeal brought by IPE sprl, a company based in Brussels, against a decision by ESMAThe Joint Board of Appeal of the European Supervisory Authorities published today its decision in an appeal brought by Investor Protection Europe (IPE) sprl, a company based in Brussels, against a decision of the European Securities and Markets Authority (ESMA) of 10 June 2014 not to initiate an investigation under Article 17 of the ESMA Regulation regarding an alleged breach of Union law by the Commission de Surveillance du Secteur Financier of Luxembourg.  The Board of Appeal unanimously decided that the appeal was inadmissible, and in the light of that decision, did not consider the substance of IPE’s complaint.
17/07/2014 2014/C1/02 Board of Appeal Decision Joint Committee, Board of Appeal Decision PDF
368.94 KB		 The Joint Board of Appeal of the European Supervisory Authorities (the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) published its decision in an appeal brought by SV Capital OÜ, an Estonian company, against a decision of the EBA. This was the second appeal to be considered by the Board of Appeal in this matter between the same parties concerning the question whether the suitability of the managers of a significant branch of a bank raised a question of Union law. Following the Board of Appeal’s affirmative decision of 24 June 2013, the appellant requested the EBA to initiate an investigation against the Estonian and Finnish Financial Supervision Authorities because their alleged failure to take action in respect of individuals in the Estonian branch of Nordea Bank Finland PLC whom it was alleged were not fit and proper persons to be key function holders in the bank. The EBA decided that it would not initiate an investigation.  The Board of Appeal decided that the EBA had been right to raise the matter with the national supervisors, but that having done so, it was entitled to take no further action in the light of their responses. The Board accordingly dismissed the appellant’s appeal against the EBA’s decision.
13/01/2014 BoA 2013-014 Board of Appeal Decision Global Private Rating Company v. ESMA Joint Committee, Board of Appeal Decision PDF
361.96 KB		 Board of Appeal of the European Supervisory Authorities dismisses appeal made by a refused CRA-applicant against ESMA On 10 January 2014, the Board of Appeal of the European Supervisory Authorities handed down its decision on an appeal by the appellant, Global Private Rating Company “Standard Rating” Ltd, against the refusal by the European Securities and Markets Authority (ESMA) to register it as a credit rating agency. This is the first appeal against a decision by ESMA refusing an applicant registration as a credit rating agency. The Board of Appeal unanimously decided that the appeal should be dismissed, and that ESMA’s refusal decision should be confirmed. It stated that it accepted the appellant’s point that the registration of a credit rating agency by ESMA is a new process, and recognised that the procedures will to an extent take time fully to work out. Nevertheless, because of the responsibilities placed on credit rating agencies and their importance in the financial system generally, it considered that the onus must be on an applicant to satisfy ESMA that the relevant requirements are met. The application and its contents must be very clear, and it is not ESMA’s responsibility as regulator to remedy deficiencies.

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