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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/11/2018 ESMA70-145-1081 Annual report on administrative and criminal sanctions and other administrative measures under MAR , Annual Report PDF
158.47 KB
04/12/2018 ESMA33-9-281 CRA market share report Annual Report PDF
827.25 KB
10/01/2019 ESMA50-165-731 ESMA annual statistical report on performance and costs of retail investment products in the EU , Annual Report PDF
3.43 MB
19/02/2019 ESMA80-199-273 ESMA supervision 2019 work plan and annual report 2018 Annual Report PDF
622.46 KB
16/02/2015 2015/280 ESMA supervision of Credit Rating Agencies and Trade Repositories , , 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.
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB
02/10/2013 2013/1369 ESMA Technical advice on equivalence of Hong Kong for OTC and TR (Supplement) Technical Advice PDF
124.15 KB
30/01/2014 2014/123 ESMA Technical advice on equivalence of Japan for CCP II- Commodities CCPs Technical Advice PDF
3.33 MB

ESMA delivers second set of advice on EMIR equivalence Following its technical advice published on 9 September 2013, the European Securities and Market Authority (ESMA) has published a supplement to its advice to the European Commission on the equivalence of the regulatory regime for central counterparties (CCPs) of Japan with the European Markets Infrastructure Regulation (EMIR). This supplement to the September 2013 Final report sets out ESMA’s advice to the European Commission is in respect of the equivalence between the Japanese regulatory regime for commodity CCPs and the regulatory regime for CCPs under EMIR. ESMA proposes conditional equivalence As for ESMA’s advice to the Commission in respect of Japan for CCPs which clear transactions relating to securities, currencies, interest rates, credit, weather, GDP and other indices, ESMA considers that the Japanese regulatory regime for commodity CCPs contains legal provisions and involves supervision and enforcement similar to that of EMIR. The Commission is expected to use ESMA’s technical advice to prepare possible equivalence decisions. Where it adopts such a decision, certain provisions of EMIR may be disapplied in favour of equivalent third-country rules. In particular, ESMA may recognise within the EU a CCP which is authorised outside the EU. The different pieces of advice are available on ESMA’s website.

02/10/2013 2013/1372 ESMA Technical advice on equivalence of Singapore for TRs (Supplement) Technical Advice PDF
500.37 KB
02/10/2013 2013/1371 ESMA Technical advice on equivalence of South Korea for CCPs Technical Advice PDF
1.83 MB
20/04/2012 2012/236 ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS , Technical Advice PDF
509.39 KB
08/02/2018 ESMA80-199-153 ESMA’s supervision of credit rating agencies, trade repositories and monitoring of third country central counterparties- 2017 Annual Report and 2018 Work Programme Annual Report PDF
1.03 MB
04/04/2013 2013/302 ESMA’s Technical Advice to the Commission on Fees for Trade Repositories Technical Advice PDF
1.08 MB

On 14 January 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) by a delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the proposed fee structures for registration, supervision and recognition of TRs. Respondents to this consultation were encouraged to provide the relevant data to support their arguments or proposals.Given the time period established for providing this advice, ESMA was compelled to require responses to the consultation within a short timeframe. In total, ESMA received 8 responses to the consultation. Non-confidential responses can be found on ESMA’s website. ESMA would like to thank respondents for providing input given the short period ESMA was able to consult for. This document sets out a summary of the responses received by ESMA regarding the fee structure for registration, supervision and recognition of TRs in the EU and includes ESMA’s final technical advice to the Commission on the future Regulation on fees for TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered how best to adjust the original proposals. Next steps ESMA will follow-up on this work with the Commission as they work on the adoption of the Commission delegated regulation on fees for TRs.

04/02/2020 ESMA35-43-2134 ESMA’s Technical Advice to the Commission on the effects of product intervention measures Technical Advice PDF
425.6 KB
17/05/2011 2011/144 Final advice- ESMA´s Technical Advice to the Commission on Fees for CRAs Technical Advice PDF
1.72 MB
11/11/2019 ESMA70-151-2650 Final report on TA on EMIR_2_2_CCP fees Technical Advice PDF
606.91 KB
05/08/2015 2015/1219 Final Report- Technical Advice under the CSD Regulation Technical Advice PDF
751.38 KB
11/11/2019 ESMA70-151-2682 Final Technical advice on Tiering Criteria under EMIR 2.2 Technical Advice PDF
544.57 KB
09/10/2019 ESMA70-156-1010 On the application of waivers and deferrals Annual Report PDF
7.3 MB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 KB