ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
14/04/2011 2011/114 Consultation paper- ESMA´s Technical Advice to the Commission on Fees for CRA Supervision Consultation Paper PDF
95.52 KB
26/05/2011 2011/155 Call for evidence- assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC) Consultation Paper PDF
69.4 KB
26/05/2011 2011/156 Call for evidence- ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation Consultation Paper PDF
88.95 KB
20/07/2011 2011/224 Consultation paper- Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities Consultation Paper PDF
623.6 KB
19/09/2011 2011/302 Consultation paper- Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance Consultation Paper PDF
276.02 KB
19/09/2011 2011/303 Consultation paper- Regulatory technical standards on the assessment of compliance of credit rating method-ologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009 Consultation Paper PDF
374.84 KB
19/09/2011 2011/304 Consultation paper- ESMA’s draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2 Consultation Paper PDF
182.29 KB
19/09/2011 2011/305 Consultation paper- ESMA’s Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies Consultation Paper PDF
264 KB
22/12/2011 2011/445 Consultation paper on guidelines on certain aspects of the MiFID suitability requirements Consultation Paper PDF
355.06 KB
22/12/2011 2011/446 Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements Consultation Paper PDF
393.94 KB
22/12/2011 2011/461 Final report- Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009 Technical Standards PDF
555.25 KB
22/12/2011 2011/462 Final Report- Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation Technical Standards PDF
445.83 KB
22/12/2011 2011/463 Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies Technical Standards PDF
444.79 KB
22/12/2011 2011/464 Final report- Draft RTS on the content and format of ratings data periodic reporting to be requested from credit ratings agencies for the purpose of on-going supervision by ESMA Technical Standards PDF
485.78 KB
14/01/2011 2011/5 Call for evidence- criteria for endorsement (Article 21 (2)(a) of the draft amended CRA Regulation) Consultation Paper PDF
218.02 KB
18/03/2011 2011/97 Consultation paper- ESMA Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation1060/2009 Consultation Paper PDF
273.66 KB
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries Q&A PDF
319.78 KB
17/09/2012 2012/570 Guidelines on remuneration policies and practices (MiFID) Consultation Paper PDF
508.33 KB
20/12/2012 2012/841 Guidelines and recommendations on the scope of the CRA Regulation Consultation Paper PDF
255.36 KB
10/07/2013 2013/891 Discussion Paper on CRA3 Implementation Consultation Paper PDF
639.76 KB
The Discussion Paper deals with the implementation of the CRA3 Regulation, which entered into force on 20 June 2013.The Regulation, which complements the existing regulatory framework for credit rating agencies (CRAs), requires ESMA to draft Regulatory Technical Standards (RTS) on:•    disclosure requirements on structured finance instruments (SFIs);•    the European Rating Platform (ERP); and•    the periodic reporting on fees charged by CRAs.ESMA is seeking views from all interested parties by 10 October 2013 in order to assist in its preparation of the draft RTS to be published for consultation in early 2014.  ESMA must submit the draft RTS to the European Commission by 21 June 2014.

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