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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/06/2010 10-333 Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies CESR Archive, Credit Rating Agencies Technical Advice PDF
4.59 MB
17/05/2011 2011/144 Final advice- ESMA´s Technical Advice to the Commission on Fees for CRAs Credit Rating Agencies Technical Advice PDF
1.72 MB
22/07/2011 2011/BS/141 Summary of conclusions- Board of Supervisors meeting of 12 April 2011 Board of Supervisors Reference PDF
139.03 KB
22/07/2011 2011/BS/142 Summary of conclusions- Board of Supervisors meeting of 25 May 2011 Board of Supervisors Reference PDF
117.04 KB
04/10/2011 2011/323 Final report- ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
797.56 KB
02/12/2011 2011/BS/209 Summary of conclusions- Board of Supervisors meeting on 20 September 2011 Board of Supervisors Reference PDF
119.95 KB
02/12/2011 2011/BS/180 Summary of conclusions- Board of Supervisors conference calls on 25 and 28 July 2011 Board of Supervisors Reference PDF
98.62 KB
02/12/2011 2011/BS/179 Summary of conclusions- Board of Supervisors meeting on 11-12 July 2011 Board of Supervisors Reference PDF
55.2 KB
13/02/2012 2011/BS/233 Summary of conclusions- Board of Supervisors meeting of 8 November 2011 Board of Supervisors Reference PDF
121.56 KB
13/02/2012 2011/BS/234 Summary of conclusions- Board of Supervisors conference call on 23 November 2011 Board of Supervisors Reference PDF
22.39 KB
01/03/2012 2012/BS/4 Board of Supervisors meeting on 20 December 2011 Board of Supervisors Reference PDF
258.17 KB
01/03/2012 2012/BS/5 Board of Supervisors meeting on 18 January 2012 Board of Supervisors Reference PDF
189.43 KB
01/03/2012 2012/137 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.32 MB		 ESMA publishes today the second part of its final advice (ESMA/2012/137) on possible delegated acts for the Prospectus Directive (PD).  The advice was submitted to the Commission on 29 February 2012.  In its advice, ESMA proposes how to use a prospectus in a retail cascade and provides input on how to review the provisions of the Prospectus Regulation concerning tax information, indices, auditor’s report on profit forecasts and estimates and audited historical financial information. Today’s advice follows a public consultation started on 13 December 2011. Overall, the technical advice aims to achieve a high level of investor protection and to increase across Europe the legal clarity and efficiency of the prospectus regime. Investment prospectuses as such are aimed to provide investors with easily accessible information on financial products so as to foster in-formed decision-making.
18/04/2012 2012/259 Technical advice on CRA regulatory equivalence- US, Canada and Australia Credit Rating Agencies Technical Advice PDF
697.78 KB		 On 12 June 2009 the European Commission requested CESR, now ESMA, to provide its technical advice on the equivalence between the legal and supervisory framework of Japan, The United States, and Canada with the EU regulatory regime for credit rating agencies. (Regulation (EC) No. 1060/2009 of the European Parliament and the Council on credit rating agencies ). On 17 November 2009, the Commission also requested CESR to provide its technical advice on Australia. On 28 September 2010, the European Commission published an equivalence decision on Japan. With regard to the compliance with the EU requirements on endorsement, ESMA had already indicated that it considers the legal and regulatory regime for CRAs supervision of the following countries as “as stringent as” the EU requirements:        - On 22 December 2011, Japan and Australia;        - On 15 March 2012, US, Canada, Hong Kong and Singapore. This report sets out ESMA’s advice to the European Commission in respect of the equivalence between the US (Part I), Canada (Part II) and Australia (Part III) respective legal and supervisory frameworks and the EU regulatory regime for credit rating agencies.
24/04/2012 2012/BS/29 Board of Supervisors meeting on 14 February 2012 Board of Supervisors Reference PDF
257.22 KB
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading MiFID - Secondary Markets Reference PDF
353.3 KB		 This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
29/06/2012 2012/BS/46 Board of Supervisors meeting on 20 March 2012 Board of Supervisors Reference PDF
240.14 KB
29/06/2012 2012/BS/66 Board of Supervisors meeting on 17 April 2012 Board of Supervisors Reference PDF
251.54 KB
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC Credit Rating Agencies, International cooperation Reference PDF
4 MB		 This document contains two copies of the MOU, signed by ESMA and by the ASIC.
19/07/2012 2012/124 MOU on the supervision of CRAs- ESMA and MAS Credit Rating Agencies, International cooperation Reference PDF
574.14 KB

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