REFINE YOUR SEARCH
Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|01/10/2012||2012/641||ESMA approves Axesor S.A. as a credit rating agency||Credit Rating Agencies, Press Releases||Statement||PDF
|20/03/2013||2013/336||ESMA certifies Kroll Bond Rating Agency to operate in the EU||Credit Rating Agencies||Statement||PDF
|24/04/2014||2013/922||Compliance table- suitability guidelines||MiFID - Investor Protection, Guidelines and Technical standards||Compliance table||PDF
|24/04/2014||2013/923||Compliance table- compliance guidelines||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|07/05/2014||2014/477||ESMA approves EuroRating as a credit rating agency||Credit Rating Agencies||Statement||PDF
|The European Securities and Markets Authority (ESMA) has approved the registration of EuroRating Sp. z o.o., based in Poland, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 7 May 2014.|
|07/10/2014||2014-1213||Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID)||MiFID - Investor Protection||Compliance table||PDF
|07/11/2014||2014/1345||ESMA certifies HR Ratings de México to operate in the EU||Credit Rating Agencies||Statement||PDF
|The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of HR Ratings de México, S.A. de C.V. (HR Ratings), a Mexican credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 7 November 2014.|
|24/11/2014||2014/1399||Public Statement- ESMA approves Moody’s Investors Service EMEA Limited as a credit rating agency||Credit Rating Agencies||Statement||PDF
|The European Securities and Markets Authority (ESMA) has approved the registration of Moody’s Investors Service EMEA Limited, based in the UK, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 24th November 2014. Moody’s Investors Service EMEA Limited’s registration as a CRA means that its credit ratings can be used for regulatory purposes under EU legislation. This is the seventh entity in the Moody’s Investors Service group to be registered as an EU Registered Credit Rating Agency.|
|12/12/2014||2014/1486||Public Statement- ESMA certifies Egan-Jones Ratings Co. to operate in the EU||Credit Rating Agencies||Statement||PDF
|The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of Egan-Jones Ratings Co. (EJR), an U.S. American credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 12 December 2014.EJR is headquartered in Haverford (Pennsylvania, USA) and is subject to registration, supervision and enforcement by the U.S. Securities and Exchange Commission as a “Nationally Recognized Statistical Rating Organization”.|
|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|
|27/10/2015||2015/1605||Public Statement- INC Rating registration FINAL||Credit Rating Agencies||Statement||PDF
|01/12/2015||2015/1778||Public Statement- Expert RA registration||Credit Rating Agencies||Statement||PDF
|02/06/2016||2016/902||MiFID practices for firms selling financial instruments subject to the BRRD resolution regime||MiFID - Investor Protection||Statement||PDF
|20/06/2016||2016/940||Statement by Steven Maijoor at ECON MiFID II/MiFIR Scrutiny Session, 21 June 2016||Speeches, MiFID - Secondary Markets||Statement||PDF
|13/07/2016||2016/1122||Feedback Statement on the Discussion Paper on the validation and review of CRAs’ methodologies||Credit Rating Agencies||Statement||PDF
|21/07/2016||2016/1159||Public notice- Infrigement by Fitch||Credit Rating Agencies, Press Releases||Statement||PDF
|30/09/2016||2016/1408||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection||Statement||PDF
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas. The appointments are for a period of two years and commence with immediate effect.
|03/05/2017||ESMA33-9-174||Opening Statement for ECON Scrutiny Hearing on CRA Regulation||Credit Rating Agencies||Statement||PDF
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|28/09/2017||ESMA70-154-356||Public statement- Joint work plan of ESMA and NCAs for opinions on MiFID II pre-trade transparency waivers and position limits||MiFID - Secondary Markets||Statement||PDF