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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
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.

01/07/2016 2016/SMSG/009 SMSG End of Term Report 2016 Report PDF
1.55 MB
06/04/2020 ESMA 50-165-1098 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 , , Report PDF
4.08 MB
31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments Report PDF
644.29 KB
06/02/2020 ESMA22-105-1052 Strategy on Sustainable Finance Report PDF
161.97 KB
17/07/2020 ESMA22-105-2740 SMSG- End of Term Report 2020 Report PDF
723.28 KB
26/03/2019 ESMA22-106-1683 SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD Report PDF
142.78 KB
25/03/2019 ESMA22-106-1684 SMSG advice on draft RTS amending the PRIIPs Delegated Regulation Report PDF
96.91 KB
01/04/2019 esma22-106-1710 smsg_advice_on_stor_peer_review Report PDF
189.48 KB
01/04/2019 ESMA22-106-1731 SMSG Credit Ratings Disclosures advice Report PDF
209.66 KB
17/07/2020 ESMA22-106-2738 Own Initiative SMSG Report II on Covid-19 related Issues Report PDF
183.42 KB
04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
1.11 MB