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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC , 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 , Reference PDF
574.14 KB
19/07/2012 MOU SFC ESMA MOU on the supervision of CRAs- ESMA and SFC Hong Kong , Reference PDF
497.63 KB
19/07/2012 MOU SEC ESMA MOU on the supervision of CRAs- ESMA and SEC , Reference PDF
306.87 KB
19/07/2012 MOU CNV ESMA MOU on the supervision of CRAs- ESMA and CNV Argentina , Reference PDF
169.13 KB
19/07/2012 MOU Canada ESMA MOU on the supervision of CRAs- ESMA and Canadian authorities , Reference PDF
139.68 KB
23/01/2013 2013/87 2013 CRA supervision and policy work plan Reference PDF
114.95 KB
18/02/2013 MOU ESMA/DFSA MOU on the supervision of CRAs- ESMA and Dubai FSA , Reference PDF
181.09 KB
29/11/2013 2013/998 DA Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder , Reference PDF
241.03 KB
29/11/2013 2013/998 SL Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS , Reference PDF
246.77 KB
16/12/2013 2013/1933 CRAs’ Market share calculation according to Article 8d of the CRA Regulation Reference PDF
181.17 KB
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 KB
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
74.45 KB
20/06/2014 2014/264 Guidelines compliance table- Guidelines on model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (ESMA/2013/998) , Compliance table PDF
98.16 KB
08/08/2014 2014/869 nl Richtsnoeren voor rapportageverplichtingen uit hoofde van artikel 3, lid 3, onder d), en artikel 24, leden 1, 2 en 4, van de AIFMD Reference PDF
740.75 KB
08/08/2014 2014/869 ES Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA Reference PDF
727.22 KB
25/08/2014 JC/2014/43 lt Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės , Reference PDF
153.6 KB

The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.

22/12/2014 2014/1583 Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation Reference PDF
330 KB
One of the objectives of the CRA Regulation is to increase competition in the markets for credit ratings by encouraging issuers to use smaller credit rating agencies. To this end, Article 8d(1) of the CRA Regulation states that where issuers or related third parties intend to appoint at least two CRAs to rate an issuance or entity, they shall consider appointing at least one CRA with no more than 10% of the total market share. They will consider this where the issuer or related third party finds that such a CRA is capable of rating the relevant issuance or entity and there is such a CRA available to rate the issuance or entity in question. Where it is not possible to appoint at least one CRA with no more than 10% of the total market share, the issuer or related third party shall document this. The obligations in Article 8d are supervised and enforced at national level by sectoral competent authorities. To help issuers and related third parties carry out this evaluation, Article 8d(2) of the CRA Regulation requires ESMA to publish a list of CRAs registered in the European Union (EU) on its website every year, indicating their total market share and the types of credit ratings issued.
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
280.37 KB
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.
10/07/2015 2015/1174 Public statement- ESMA registers modeFinance as credit rating agency Reference PDF
107.03 KB

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