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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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22/12/2021 | ESMA80-416-197 | Report on CRA Market Share Calculation 2021 | Credit Rating Agencies | Report | PDF 494.35 KB |
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14/12/2020 | ESMA 33-9-383 | CRA Market Share Calculation 2020 | Credit Rating Agencies | Annual Report | PDF 511.26 KB |
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30/09/2020 | ESMA 33-9-371 | Final Report Guidelines Internal Control for CRAs | Credit Rating Agencies | Report | PDF 430.48 KB |
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09/03/2020 | ESMA80-199-332 | ESMA Supervision- Annual Report 2019 and Work Programme 2020 | Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories | Annual Report | PDF 825.72 KB |
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10/01/2020 | ESMA33-9-340 | CRA Market Share Calculation 2019 | Credit Rating Agencies | Report | PDF 446.77 KB |
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20/12/2019 | ESMA80-196-3218 | Follow-up Report on fees charged by CRAs and TRs | Credit Rating Agencies, Supervisory convergence, Trade Repositories | Report | PDF 606.45 KB |
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19/02/2019 | ESMA80-199-273 | ESMA supervision 2019 work plan and annual report 2018 | Credit Rating Agencies | Annual Report | PDF 622.46 KB |
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04/12/2018 | ESMA33-9-281 | CRA market share report | Credit Rating Agencies | Annual Report | PDF 827.25 KB |
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08/02/2018 | ESMA80-199-153 | ESMA’s supervision of credit rating agencies, trade repositories and monitoring of third country central counterparties- 2017 Annual Report and 2018 Work Programme | Credit Rating Agencies | Annual Report | PDF 1.03 MB |
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11/01/2018 | ESMA80-196-954 | Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories | Credit Rating Agencies, Trade Repositories | Report | PDF 1.14 MB |
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20/12/2017 | ESMA33-5-209 | CRA Market Share Calculation 2017 | Credit Rating Agencies | Report | PDF 1012.23 KB |
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06/04/2017 | ESMA33-9-158 | Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs | Credit Rating Agencies | Report | PDF 687.07 KB |
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05/04/2017 | ESMA31-54-435 | Report on shareholder identification and communication systems | Corporate Finance, Corporate Governance | Report | PDF 1.09 MB |
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03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
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16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 MB |
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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. |
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16/02/2015 | 2015/280 | ESMA supervision of Credit Rating Agencies and Trade Repositories | Corporate Information, Credit Rating Agencies, Post Trading | Annual Report | PDF 891.95 KB |
This document reports on the direct supervisory activities carried out by ESMA during 2014 regarding credit rating agencies (CRAs) and trade repositories (TRs) within the European Union (EU). It sets out ESMAs key areas of action during 2014 and outlines ESMA’s main priorities for 2015. | |||
24/06/2014 | 2014/685 | Draft Regulatory Technical Standards under the CRA3 Regulation | Credit Rating Agencies | Technical Standards | PDF 2.39 MB |
The European Securities and Markets Authority (ESMA) has published its Final Report on draft Regulatory Technical Standards (RTS) required under the Credit Rating Agencies (CRA3) Regulation regarding information on transparency of structured finance instruments, the European Rating Platform and periodic reporting of fees charged by credit rating agencies. The draft RTS, which complement the existing regulatory framework for credit rating agencies (CRAs), cover: • disclosure requirements on structured finance instruments (SFIs); • the European Rating Platform (ERP); and • the periodic reporting on fees charged by CRAs. | |||
30/03/2012 | 2012/228 | Draft technical standards on the Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps | Short Selling | Technical Standards | PDF 1.02 MB |
Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation) requires ESMA to develop draft regulatory (RTS) and implementing technical standards (ITS) in relation to several provisions contained in Articles 9, 11, 12 and 16 of the Regulation. The draft RTS and ITS will be submitted to the European Commission by 31 March 2012. The Commission has three months to decide whether to endorse ESMAs draft technical standards. A further regulatory technical standard, on the method of calculation of the fall in value of a financial instrument required under Article 24(8) of the Regulation will be submitted together with the technical advice in the course of April 2012. | |||
22/12/2011 | 2011/464 | Final report- Draft RTS on the content and format of ratings data periodic reporting to be requested from credit ratings agencies for the purpose of on-going supervision by ESMA | Credit Rating Agencies | Technical Standards | PDF 485.78 KB |