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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
10/06/2013 2013/619 Annex II Comparative table of responses from EEA States Report PDF
2.15 MB
10/06/2013 2013/619 Annex III Individual responses from EEA States Report PDF
2.63 MB
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 KB
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
74.45 KB
07/10/2014 2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) Compliance table PDF
127.73 KB
14/08/2015 2015/1261 Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I Compliance table
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 , Report PDF
674.63 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Report PDF
1.22 MB
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Report PDF
543.98 KB
01/02/2016 2016/174 Final Report on CSDR RTS on settlement discipline Report PDF
1.59 MB
01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Report PDF
1.39 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.

16/02/2016 2016/273 Comply or explain table for G&R on CCP college , Compliance table PDF
129.84 KB
16/02/2016 2016/274 Comply or explain table for G&R on IO arrangements , Compliance table PDF
121.43 KB
16/02/2016 2016/275 Comply or explain table for G&R on PFMIs , Compliance table PDF
121.97 KB
04/05/2020 ESAs 2020 09 EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework , , Report PDF
338.72 KB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Report PDF
602.75 KB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Report PDF
430.48 KB

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