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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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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 |
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23/03/2011 | 2011/81 | Recommendations- ESMA update of the CESR recommendations on the consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive | Guidelines and Technical standards, Prospectus, Corporate Disclosure | Guidelines & Recommendations | PDF 593.19 KB |
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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 |
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18/05/2011 | 2011/139 | Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 653.98 KB |
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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 |
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22/12/2011 | 2011/456 | Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities | MiFID - Secondary Markets | Guidelines & Recommendations | PDF 407 KB |
This is the final report. The guidelines along with the translations are published separately. |
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24/02/2012 | 2012/122 | Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities | Guidelines and Technical standards, MiFID - Secondary Markets | Guidelines & Recommendations | PDF 1006.44 KB |
ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts. |
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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. | |||
17/12/2012 | 2011/188 | Cooperation including delegation between ESMA, the competent authorities and the sectoral competent authorities under Regulation (EU) No 513/2011 on credit rating agencies | Credit Rating Agencies | Guidelines & Recommendations | PDF 190.32 KB |
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09/01/2013 | 2012/864 | 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 1.23 MB |
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20/03/2013 | 2013/319 | The consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive | Corporate Disclosure, Prospectus | Guidelines & Recommendations | PDF 540.48 KB |
This document contains an update of the CESR recommendations. |
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04/04/2013 | 2013/302 | ESMA’s Technical Advice to the Commission on Fees for Trade Repositories | Post Trading | Technical Advice | PDF 1.08 MB |
On 14 January 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) by a delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the proposed fee structures for registration, supervision and recognition of TRs. Respondents to this consultation were encouraged to provide the relevant data to support their arguments or proposals.Given the time period established for providing this advice, ESMA was compelled to require responses to the consultation within a short timeframe. In total, ESMA received 8 responses to the consultation. Non-confidential responses can be found on ESMA’s website. ESMA would like to thank respondents for providing input given the short period ESMA was able to consult for. This document sets out a summary of the responses received by ESMA regarding the fee structure for registration, supervision and recognition of TRs in the EU and includes ESMA’s final technical advice to the Commission on the future Regulation on fees for TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered how best to adjust the original proposals. Next steps ESMA will follow-up on this work with the Commission as they work on the adoption of the Commission delegated regulation on fees for TRs. |
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31/05/2013 | 2013/626 | Technical advice on CRA regulatory equivalence on Argentina, Brazil, Mexico, Hong Kong and Singapore | Credit Rating Agencies | Technical Advice | PDF 840.48 KB |
The European Securities and Markets Authority (ESMA) has provided advice to the European Commission in respect of the equivalence between the EU regulatory regime for credit rating agencies and the respective legal and supervisory frameworks of Argentina, Brazil, Mexico, Hong Kong and Singapore. This is in response to the European Commission’s request for technical advice from ESMA on the equivalence of these jurisdictions legal and supervisory frameworks with the EU regulatory regime for credit rating agencies as set out in Regulation (EC) No. 1060/2009 of the European Parliament and the Council on credit rating agencies. The European Commission has already published equivalence decisions on US, Canada and Australia, on 9 October 2012, and on Japan, 28 October 2010. Regarding compliance with the EU requirements on endorsement, ESMA has already indicated that it considers the legal and regulatory regime for CRAs supervision of the following countries as “as stringent as” the EU requirements: 15 March 2012, Hong Kong and Singapore; 18 April 2012, Argentina and Mexico; 27 April 2012, Brazil. | |||
10/06/2013 | 2013/322 | Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements | Guidelines and Technical standards, Post Trading | Guidelines & Recommendations | PDF 260.78 KB |
See also 2013/811 Confirmation of compliance with guidelines |
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17/06/2013 | 2013/720 EN | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 221.56 KB |
Croatian translation is also available. | |||
17/06/2013 | 2013/720 | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies | Guidelines & Recommendations | PDF 317.88 KB |
Croatian translation is also available. |
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30/07/2013 | 2013/720 BG | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 159.45 KB |
Насоки и препоръки Насоки и препоръки относно приложното поле на Регламента за АКР | |||
30/07/2013 | 2013/720 ES | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 103.74 KB |
Directrices y recomendaciones Directrices y recomendaciones sobre el ámbito de aplicación del Reglamento relativo a las agencias de calificación crediticia | |||
30/07/2013 | 2013/720 CS | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 140.94 KB |
Obecné pokyny a doporučení Obecné pokyny a doporučení k oblasti působnosti nařízení o ratingových agenturách |