ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
186
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Secondary Markets X Prospectus X Risk Analysis & Economics - Markets Infrastructure Investors X Corporate Governance X Credit Rating Agencies X Crowdfunding X Q&A X Vacancy X Compliance table X Opinion X Report X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/03/2013 2013/317 Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive , Opinion PDF
725.59 KB
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
18/12/2013 2013/1944 Format of the base prospectus and consistent application of Article 26(4) of the Prospectus Regulation , Opinion PDF
75.6 KB
14/08/2015 2015/1261 Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I Compliance table
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.

08/02/2016 2016/268 Opinion on equivalence of Turkish prospectus regime Opinion PDF
98.76 KB
02/05/2016 2016/666 Opinion on draft RTS 2 non-equity transparency Opinion PDF
193.79 KB
02/05/2016 2016/666 ANNEX Annex- Opinion on draft RTS 2 non-equity transparency Opinion PDF
633.28 KB
02/05/2016 2016/668 Opinion on draft RTS 21 position limits Opinion PDF
152.8 KB
02/05/2016 2016/668 ANNEX Annex- Opinion on draft RTS 21 position limits Opinion PDF
124.02 KB
12/05/2016 ESA/2016/41 Opinion of the ESAs- ECAI credit assessments , Opinion PDF
379.79 KB
30/05/2016 2016/730 Opinion on draft RTS 20 on ancillary activity Opinion PDF
148.29 KB
30/05/2016 2016/730 ANNEX Annex- Opinion on draft RTS 20 on ancillary activity Opinion PDF
220.42 KB
06/06/2016 2016/907 Economic Report on order duplication and liquidity measurement in EU equity markets Report PDF
1.44 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 , Report PDF
674.63 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Report PDF
1.22 MB
19/12/2016 2016/1673 2016-1673 Q&A on MiFID II commodity derivatives topics Q&A PDF
338.93 KB

Pages