ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
48
REFINE YOUR SEARCH
Sections
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove MiFID - Investor Protection filter MiFID - Investor Protection
- (-) Remove Market Abuse filter Market Abuse
- (-) Remove Benchmarks filter Benchmarks
- (-) Remove Trade Repositories filter Trade Repositories
- CESR Archive (109) Apply CESR Archive filter
- Risk Analysis & Economics - Markets Infrastructure Investors (39) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Post Trading (29) Apply Post Trading filter
- Corporate Disclosure (20) Apply Corporate Disclosure filter
- Fund Management (19) Apply Fund Management filter
- IFRS Supervisory Convergence (19) Apply IFRS Supervisory Convergence filter
- Supervisory convergence (17) Apply Supervisory convergence filter
- Joint Committee (13) Apply Joint Committee filter
- Prospectus (9) Apply Prospectus filter
- Securities and Markets Stakeholder Group (9) Apply Securities and Markets Stakeholder Group filter
- Corporate Information (7) Apply Corporate Information filter
- Innovation and Products (7) Apply Innovation and Products filter
- Planning reporting budget (7) Apply Planning reporting budget filter
- Transparency (5) Apply Transparency filter
- Board of Supervisors (4) Apply Board of Supervisors filter
- Market Integrity (4) Apply Market Integrity filter
- IAS Regulation (3) Apply IAS Regulation filter
- Securitisation (3) Apply Securitisation filter
- Sustainable finance (3) Apply Sustainable finance filter
- CCP Directorate (2) Apply CCP Directorate filter
- Corporate Finance (2) Apply Corporate Finance filter
- COVID-19 (2) Apply COVID-19 filter
- Guidelines and Technical standards (2) Apply Guidelines and Technical standards filter
- Market data (2) Apply Market data filter
- Corporate Governance (1) Apply Corporate Governance filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- Management Board (1) Apply Management Board filter
- Press Releases (1) Apply Press Releases filter
- Short Selling (1) Apply Short Selling filter
Type of document
- (-) Remove Report filter Report
- (-) Remove Technical Standards filter Technical Standards
- (-) Remove CESR Document filter CESR Document
- Reference (202) Apply Reference filter
- Opinion (147) Apply Opinion filter
- Guidelines & Recommendations (136) Apply Guidelines & Recommendations filter
- Press Release (134) Apply Press Release filter
- Consultation Paper (95) Apply Consultation Paper filter
- Final Report (67) Apply Final Report filter
- Statement (64) Apply Statement filter
- Letter (46) Apply Letter filter
- Speech (35) Apply Speech filter
- Decision (31) Apply Decision filter
- Investor Warning (26) Apply Investor Warning filter
- Compliance table (19) Apply Compliance table filter
- Q&A (16) Apply Q&A filter
- Technical Advice (16) Apply Technical Advice filter
- Annual Report (12) Apply Annual Report filter
- Vacancy (4) Apply Vacancy filter
Your filters
MiFID - Investor Protection X MiFID - Secondary Markets X Audit X International cooperation X Credit Rating Agencies X Trade Repositories X Vacancies X Benchmarks X Market Abuse X CESR Document X Technical Standards X Report X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 15/05/2009 | 09-220 | Feedback statement- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | Market Abuse | CESR Document | PDF 238.16 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 | Credit Rating Agencies | 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 | Credit Rating Agencies | 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 | 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 | Credit Rating Agencies | Technical Standards | PDF 485.78 KB |
||||
| 24/06/2014 | 2014/685 | Draft Regulatory Technical Standards under the CRA3 Regulation | Credit Rating Agencies | Technical Standards | PDF 2.39 MB |
The European Securities and Markets Authority (ESMA) has published its Final Report on draft Regulatory Technical Standards (RTS) required under the Credit Rating Agencies (CRA3) Regulation regarding information on transparency of structured finance instruments, the European Rating Platform and periodic reporting of fees charged by credit rating agencies. The draft RTS, which complement the existing regulatory framework for credit rating agencies (CRAs), cover: • disclosure requirements on structured finance instruments (SFIs); • the European Rating Platform (ERP); and • the periodic reporting on fees charged by CRAs. | |||
| 19/12/2014 | 2014/1571 | Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation | MiFID - Secondary Markets | Technical Standards | PDF 281.16 KB |
The European Securities and Markets Authority (ESMA) has developed draft Implementing Technical Standards specifying main indices and recognised exchanges as required under Paragraph 8 of Article 197 of Regulation (EU) 575/2013 (Capital Requirements Regulation). These have now been submitted to the European Commission submitted for endorsement of the draft ITS.It has 3 months to make this decision. | |||
| 30/06/2015 | 2015/1006 | Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities | MiFID - Investor Protection | Technical Standards | PDF 357.16 KB |
||||
| 28/09/2015 | 2015-ESMA-1464 | Final Report- draft RTS and ITS on MIFID II and MiFIR | MiFID - Secondary Markets | Technical Standards | PDF 2.74 MB |
||||
| 28/09/2015 | 2015-ESMA-1464 Annex I | 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR | MiFID - Secondary Markets | Technical Standards | PDF 2.85 MB |
||||
| 28/09/2015 | 2015-ESMA-1455 | Final Report MAR TS | Market Abuse | Technical Standards | PDF 1.77 MB |
||||
| 05/02/2016 | 2016/234 | ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan. | Credit Rating Agencies, Trade Repositories | 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. |
|||
| 13/07/2016 | 2016/1130 | Final Report on the Market Abuse Regulation Guidelines | Market Abuse, Market Integrity | Report | PDF 852.59 KB |
||||
| 16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 MB |
||||
| 11/01/2017 | ESMA42-1643088512-2962 | ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution | MiFID - Investor Protection, MiFID - Secondary Markets, Supervisory convergence | Report | PDF 774.17 KB |
||||
| 03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
||||
| 09/02/2017 | ESMA70-872942901-3 | Revised ESMA draft MiFID ITS — position reporting of commodity derivatives | MiFID - Secondary Markets | Technical Standards | PDF 184.48 KB |
||||
| 28/02/2017 | ESMA70-872942901-21 | Final report on draft RTS on package orders for which there is a liquid market | MiFID - Secondary Markets | Report | PDF 712.46 KB |
||||
| 28/02/2017 | ESMA70-872942901-21 - annex | Final Draft RTS on packaged orders | MiFID - Secondary Markets | Technical Standards | PDF 334.25 KB |
||||
| 29/03/2017 | ESMA70-145-48 | Draft technical standards under the Benchmarks Regulation | Benchmarks | Report | PDF 1.75 MB |