ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 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. | |||
| 14/08/2015 | 2015/1261 | Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I | MiFID - Secondary Markets | Compliance table | |||||
| 12/04/2016 | 2016/602 | Compliance table- Guidelines on ETFs and other UCITS issues | Fund Management, Guidelines and Technical standards | Compliance table | PDF 131.17 KB |
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| 04/05/2016 | 2016/675 | Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 143.93 KB |
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| 14/06/2017 | ESMA20-95-590 | Annual Report 2016 | Board of Supervisors, Corporate Information, Planning reporting budget | Annual Report | PDF 2.94 MB |
Corrigendum - date on the letter of assurance from the Executive Director on p81 had inadvertently been dated 14 June 2017, when the letter was signed on 2 June 2017. The date has been amended accordingly |
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| 04/10/2017 | ESMA34-43-352 | Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive | Fund Management, Guidelines and Technical standards | Compliance table | PDF 154.54 KB |
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| 04/10/2017 | ESMA34-32-316 | Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 144.26 KB |
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| 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 | Credit Rating Agencies | Annual Report | PDF 1.03 MB |
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| 19/06/2018 | ESMA20-95-916 | Annual Report 2017 | Board of Supervisors, Corporate Information, Planning reporting budget | Annual Report | PDF 10.77 MB |
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| 17/07/2018 | ESMA70-154-651 | Application form- SMSC CWG Renewal 2018 | MiFID - Secondary Markets | Vacancy | DOCX 37.81 KB |
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| 17/07/2018 | ESMA70-154-652 | Call for expressions of interest- SMSC CWG Renewal | MiFID - Secondary Markets | Vacancy | PDF 263.08 KB |
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| 15/11/2018 | ESMA70-145-1081 | Annual report on administrative and criminal sanctions and other administrative measures under MAR | Market Abuse, Market Integrity | Annual Report | PDF 158.47 KB |
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| 04/12/2018 | ESMA33-9-281 | CRA market share report | Credit Rating Agencies | Annual Report | PDF 827.25 KB |
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| 04/02/2019 | ESMA70-145-153 | Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | Guidelines and Technical standards, Market Abuse, Market Integrity | Compliance table | PDF 179.29 KB |
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| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 177.87 KB |
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| 19/02/2019 | ESMA80-199-273 | ESMA supervision 2019 work plan and annual report 2018 | Credit Rating Agencies | Annual Report | PDF 622.46 KB |
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| 21/03/2019 | ESMA70-145-1345 | Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II | Guidelines and Technical standards, MiFID - Secondary Markets | Compliance table | PDF 112.12 KB |
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| 09/10/2019 | ESMA70-156-1010 | On the application of waivers and deferrals | MiFID - Secondary Markets | Annual Report | PDF 7.3 MB |
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| 13/02/2020 | ESMA70-145-66 | Compliance table regarding MAR guidelines for persons receiving market soundings | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 138.03 KB |
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| 09/03/2020 | ESMA80-199-332 | ESMA Supervision- Annual Report 2019 and Work Programme 2020 | Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories | Annual Report | PDF 825.72 KB |