ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
128
REFINE YOUR SEARCH
Sections
- (-) Remove Risk Analysis & Economics - Markets Infrastructure Investors filter Risk Analysis & Economics - Markets Infrastructure Investors
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove MiFID - Investor Protection filter MiFID - Investor Protection
- (-) Remove Innovation and Products filter Innovation and Products
- (-) Remove Sustainable finance filter Sustainable finance
- (-) Remove Securities and Markets Stakeholder Group filter Securities and Markets Stakeholder Group
- (-) Remove Securitisation filter Securitisation
- (-) Remove Short Selling filter Short Selling
- (-) Remove Corporate Governance filter Corporate Governance
- Corporate Information (88) Apply Corporate Information filter
- Post Trading (43) Apply Post Trading filter
- Fund Management (32) Apply Fund Management filter
- Supervisory convergence (28) Apply Supervisory convergence filter
- Joint Committee (27) Apply Joint Committee filter
- MiFID - Secondary Markets (25) Apply MiFID - Secondary Markets filter
- CESR Archive (24) Apply CESR Archive filter
- Corporate Disclosure (22) Apply Corporate Disclosure filter
- IFRS Supervisory Convergence (22) Apply IFRS Supervisory Convergence filter
- Planning reporting budget (17) Apply Planning reporting budget filter
- Board of Supervisors (11) Apply Board of Supervisors filter
- Market Abuse (11) Apply Market Abuse filter
- Prospectus (10) Apply Prospectus filter
- Benchmarks (7) Apply Benchmarks filter
- Market data (7) Apply Market data filter
- Market Integrity (7) Apply Market Integrity filter
- Trade Repositories (7) Apply Trade Repositories filter
- CCP Directorate (6) Apply CCP Directorate filter
- Management Board (6) Apply Management Board filter
- Corporate Finance (5) Apply Corporate Finance filter
- Transparency (4) Apply Transparency filter
- Guidelines and Technical standards (3) Apply Guidelines and Technical standards filter
- IAS Regulation (3) Apply IAS Regulation filter
- Press Releases (3) Apply Press Releases filter
- Brexit (2) Apply Brexit filter
- COVID-19 (2) Apply COVID-19 filter
- Securities Financing Transactions (2) Apply Securities Financing Transactions filter
- Crowdfunding (1) Apply Crowdfunding filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
Type of document
- (-) Remove Report filter Report
- (-) Remove Q&A filter Q&A
- (-) Remove Annual Report filter Annual Report
- (-) Remove Technical Standards filter Technical Standards
- Reference (287) Apply Reference filter
- Press Release (155) Apply Press Release filter
- Guidelines & Recommendations (145) Apply Guidelines & Recommendations filter
- Opinion (102) Apply Opinion filter
- Final Report (92) Apply Final Report filter
- SMSG Advice (90) Apply SMSG Advice filter
- Consultation Paper (84) Apply Consultation Paper filter
- Statement (60) Apply Statement filter
- Letter (49) Apply Letter filter
- Speech (49) Apply Speech filter
- Summary of Conclusions (43) Apply Summary of Conclusions filter
- Decision (38) Apply Decision filter
- Investor Warning (27) Apply Investor Warning filter
- Technical Advice (19) Apply Technical Advice filter
- Compliance table (14) Apply Compliance table filter
Your filters
MiFID - Investor Protection X Careers X Securities and Markets Stakeholder Group X Corporate Governance X Risk Analysis & Economics - Markets Infrastructure Investors X Innovation and Products X Securitisation X Sustainable finance X Credit Rating Agencies X Short Selling X Technical Standards X Q&A X Annual Report X Report X
Reset all filters| 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 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
||||
| 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 |
||||
| 30/03/2012 | 2012/228 | Draft technical standards on the Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps | Short Selling | Technical Standards | PDF 1.02 MB |
Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation) requires ESMA to develop draft regulatory (RTS) and implementing technical standards (ITS) in relation to several provisions contained in Articles 9, 11, 12 and 16 of the Regulation. The draft RTS and ITS will be submitted to the European Commission by 31 March 2012. The Commission has three months to decide whether to endorse ESMAs draft technical standards. A further regulatory technical standard, on the method of calculation of the fall in value of a financial instrument required under Article 24(8) of the Regulation will be submitted together with the technical advice in the course of April 2012. | |||
| 22/06/2012 | 2012/382 | MiFID Q&A in the area of investor protection and intermediaries | MiFID - Investor Protection | Q&A | PDF 319.78 KB |
||||
| 30/01/2013 | 2013/159 | Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) | Short Selling | Q&A | PDF 873.32 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. | |||
| 01/07/2015 | 2015/1005 | Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing | Innovation and Products | Q&A | PDF 157.73 KB |
||||
| 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 |
||||
| 16/02/2015 | 2015/280 | ESMA supervision of Credit Rating Agencies and Trade Repositories | Corporate Information, Credit Rating Agencies, Post Trading | 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. | |||
| 04/10/2016 | 2016/1415 | ESMA reporton on securities financing transactions and leverage in the EU | Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors | Report | PDF 1.94 MB |
||||
| 16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 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. |
|||
| 06/06/2016 | 2016/743 | Multi-venue trading increases liquidity in EU equity markets despite duplicate orders | Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors | Report | PDF 247 KB |
||||
| 06/06/2016 | 2016/907 | Economic Report on order duplication and liquidity measurement in EU equity markets | Risk Analysis & Economics - Markets Infrastructure Investors | Report | PDF 1.44 MB |
||||
| 01/07/2016 | 2016/SMSG/009 | SMSG End of Term Report 2016 | Securities and Markets Stakeholder Group | Report | PDF 1.55 MB |
||||
| 22/10/2021 | AFM/1 | Consumer testing AFM report | Sustainable finance | Report | PDF 2.75 MB |
||||
| 07/02/2022 | ESA 2022 01 | Joint ESA response to the EU Commission on Digital Finance | Innovation and Products, Joint Committee | Report | PDF 2.57 MB |