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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
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
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF Corporate Disclosure, European Single Electronic Format, Transparency Report PDF
6.98 MB
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.
16/02/2016 2016/297 Follow-up MMF Fund Management, Supervisory convergence Report PDF
882.13 KB
31/03/2016 2016/411 Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Fund Management Report PDF
1.39 MB

Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration principles set out under Article 14b of the UCITS Directive (“UCITS Remuneration Guidelines”). This final report sets out the final text of the guidelines on remuneration policies required by the UCITS V Directive and also provides for a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were originally published on 3 July 2013.
07/04/2016 2016/572 Compliance table- Guidelines on key concepts of the AIFMD Fund Management, Guidelines and Technical standards Compliance table PDF
156.43 KB
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
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
04/05/2020 ESAs 2020 09 EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework COVID-19, Joint Committee, Post Trading Report PDF
338.72 KB
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, MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
4.08 MB
29/09/2020 ESMA WP-2020-3 ESMA working paper on DVC mechanism and impact on EU equity markets Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
535.76 KB
18/02/2021 ESMA WP-2021-03 ESMA working paper on MiFID II research unbundling Innovation and Products Report PDF
1.18 MB

Presentation given during the Webinar organised on 25 February 2021

ESMA50-165-1308_RESEARCH_UNBUNDLING_PRESENTATION.PDF (europa.eu)
06/05/2019 ESMA/2016/990 Report on budgetary and financial management 2015 Corporate Information, Planning reporting budget Report PDF
544.34 KB
31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments MiFID - Secondary Markets Report PDF
644.29 KB
06/05/2019 ESMA02-1733218672-745 Report on budgetary and financial management 2016 Corporate Information, Planning reporting budget Report PDF
548.5 KB
06/05/2019 ESMA02-91-1958 Report on budgetary and financial management 2017 Corporate Information, Planning reporting budget Report PDF
546.02 KB
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
04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme Board of Supervisors, Planning reporting budget, Supervisory convergence Report PDF
308.68 KB
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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