ESMA LIBRARY
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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 |
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| 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 |
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| 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 |
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| 13/07/2016 | 2016/1130 | Final Report on the Market Abuse Regulation Guidelines | Market Abuse, Market Integrity | Report | PDF 852.59 KB |
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| 16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 MB |
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| 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. |
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| 30/09/2020 | ESMA 33-9-371 | Final Report Guidelines Internal Control for CRAs | Credit Rating Agencies | Report | PDF 430.48 KB |
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| 06/04/2020 | ESMA 50-165-1098 | ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 | Fund Management, Innovation and Products, MiFID - Investor Protection | Report | PDF 4.08 MB |
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| 06/05/2019 | ESMA/2016/990 | Report on budgetary and financial management 2015 | Corporate Information, Planning reporting budget | Report | PDF 544.34 KB |
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| 06/05/2019 | ESMA02-1733218672-745 | Report on budgetary and financial management 2016 | Corporate Information, Planning reporting budget | Report | PDF 548.5 KB |
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| 06/05/2019 | ESMA02-91-1958 | Report on budgetary and financial management 2017 | Corporate Information, Planning reporting budget | Report | PDF 546.02 KB |
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| 25/09/2020 | ESMA02-91-2964 | Report on Budgetary and Financial Management Financial Year 2019 | Corporate Information, Planning reporting budget | Report | PDF 385.36 KB |
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| 02/10/2020 | ESMA20-95-1273 | 2021 Annual Work Programme | Board of Supervisors, Corporate Information, Management Board, Planning reporting budget | Report | PDF 608.58 KB |
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| 28/09/2021 | ESMA20-95-1430 | 2022 Annual Work Programme | Board of Supervisors, Corporate Information, Management Board, Planning reporting budget | Report | PDF 589.43 KB |
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| 05/10/2017 | ESMA20-95-619 | 2018 Work Programme | Corporate Information, Planning reporting budget | Report | PDF 533.61 KB |
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| 09/01/2020 | ESMA22-106-1942 | Strategic Orientation 2020-22 | Board of Supervisors, Corporate Information | Report | PDF 325.47 KB |
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| 11/04/2019 | ESMA31-62-780 | Q&A on Prospectus Related Topics | Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence | Q&A | PDF 957.9 KB |
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| 01/04/2022 | ESMA32-51-370 | Q&A on ESMA Guidelines on Alternative Performance Measures | Corporate Disclosure, Corporate Information | Q&A | PDF 987.02 KB |
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| 20/12/2017 | ESMA33-5-209 | CRA Market Share Calculation 2017 | Credit Rating Agencies | Report | PDF 1012.23 KB |
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| 29/07/2021 | ESMA33-5-87 | Q&A on the Implementation of the Regulation (EU) No 462 2013 On CRA | Credit Rating Agencies | Q&A | PDF 409.83 KB |