ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
35
REFINE YOUR SEARCH
Sections
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove Fund Management filter Fund Management
- (-) Remove Short Selling filter Short Selling
- (-) Remove IFRS Supervisory Convergence filter IFRS Supervisory Convergence
- Guidelines and Technical standards (30) Apply Guidelines and Technical standards filter
- Board of Appeal (16) Apply Board of Appeal filter
- Management Board (12) Apply Management Board filter
- MiFID - Investor Protection (12) Apply MiFID - Investor Protection filter
- Joint Committee (9) Apply Joint Committee filter
- MiFID - Secondary Markets (9) Apply MiFID - Secondary Markets filter
- Board of Supervisors (8) Apply Board of Supervisors filter
- Market Integrity (8) Apply Market Integrity filter
- Corporate Information (6) Apply Corporate Information filter
- Post Trading (6) Apply Post Trading filter
- COVID-19 (5) Apply COVID-19 filter
- Market Abuse (3) Apply Market Abuse filter
- Securities and Markets Stakeholder Group (3) Apply Securities and Markets Stakeholder Group filter
- Careers (2) Apply Careers filter
- Corporate Disclosure (2) Apply Corporate Disclosure filter
- Benchmarks (1) Apply Benchmarks filter
- Press Releases (1) Apply Press Releases filter
- Procurement (1) Apply Procurement filter
- Supervisory convergence (1) Apply Supervisory convergence filter
- Trade Repositories (1) Apply Trade Repositories filter
- Trading (1) Apply Trading filter
Type of document
- (-) Remove Decision filter Decision
- (-) Remove Compliance table filter Compliance table
- Guidelines & Recommendations (163) Apply Guidelines & Recommendations filter
- Reference (160) Apply Reference filter
- Press Release (127) Apply Press Release filter
- Consultation Paper (73) Apply Consultation Paper filter
- Final Report (53) Apply Final Report filter
- Statement (50) Apply Statement filter
- Report (48) Apply Report filter
- Opinion (44) Apply Opinion filter
- Letter (38) Apply Letter filter
- Speech (25) Apply Speech filter
- Technical Advice (18) Apply Technical Advice filter
- Annual Report (13) Apply Annual Report filter
- Technical Standards (10) Apply Technical Standards filter
- Q&A (9) Apply Q&A filter
- SMSG Advice (1) Apply SMSG Advice filter
Your filters
Credit Rating Agencies X European Single Electronic Format X MiFID II: Transparency Calculations and DVC X IFRS Supervisory Convergence X Planning reporting budget X Fund Management X Short Selling X Compliance table X Decision X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 03/06/2014 | 2014/544 | Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies | Credit Rating Agencies | Decision | PDF 49.36 KB |
Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies The Board of Supervisors (“Board”), Having regard to the Treaty on the Functioning of the European Union (“Treaty”) Having regard to Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (“ESMA Regulation”), and in particular Article 43(2) and Article 44(1) thereof Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (“CRA Regulation”), in particular Articles 6(2), 23e, 24, 25 thereof Having regard to Commission Delegated Regulation (EU) No 946/2012 of 12 July 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions (“Procedural Regulation”), in particular Article 3(4) thereof Whereas: (1) On the basis of the file containing the investigating officer’s findings and after examination of the submissions of Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited the Board finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of the CRA Regulation. (2) The Board considers that the evidence before it does not allow it to establish that Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited acted intentionally or negligently as required by Article 36a(1) of the CRA Regulation in order for the Board to impose a fine. (3) The Board thus decides to adopt a supervisory measure taking the form of a public notice in accordance with Article 24 of the CRA Regulation. Has adopted this decision: Article 1 The Board of Supervisors finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. Article 2 The Board of Supervisors takes the decision to adopt a supervisory measure taking the form of the following public notice, in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. | |||
| 29/06/2015 | 2015/1048 | Public Notice- ESMA fines DBRS Ratings Limited | Credit Rating Agencies | Decision | PDF 186.47 KB |
||||
| 07/04/2016 | 2016/572 | Compliance table- Guidelines on key concepts of the AIFMD | Fund Management, Guidelines and Technical standards | Compliance table | PDF 214.15 KB |
||||
| 12/04/2016 | 2016/602 | Compliance table- Guidelines on ETFs and other UCITS issues | Fund Management, Guidelines and Technical standards | Compliance table | PDF 193.01 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 308.44 KB |
||||
| 21/07/2016 | 2016/1131 | BoS Decision on Fitch Ratings Limited 21 July 2016 | Credit Rating Agencies, Press Releases | Decision | PDF 108.21 KB |
||||
| 01/06/2017 | ESMA41-137-1005 | Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited | Board of Supervisors, Credit Rating Agencies | Decision | PDF 207.16 KB |
||||
| 20/07/2017 | BoA 2017 01 | FinancialCraft Analytics Sp. z o.o. vs ESMA BoA Decision | Board of Appeal, Credit Rating Agencies | Decision | PDF 693 KB |
||||
| 04/10/2017 | ESMA34-43-352 | Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive (ESMA/2016/575) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 318.38 KB |
||||
| 04/10/2017 | ESMA34-32-316 | Compliance table for the Guidelines on sound remuneration policies under the AIFMD (ESMA/2016/579) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 310.68 KB |
||||
| 23/07/2018 | ESMA41-137-1153 | BoS decision- CRA 2-2017- SEB | Credit Rating Agencies | Decision | PDF 706.81 KB |
||||
| 23/07/2018 | ESMA41-137-1152 | BoS decision-CRA 2-2017- Swedbank | Credit Rating Agencies | Decision | PDF 715.12 KB |
||||
| 23/07/2018 | ESMA41-137-1150 | BoS decision-CRA 2-2017- Nordea | Credit Rating Agencies | Decision | PDF 714.78 KB |
||||
| 23/07/2018 | ESMA41-137-1147 | BoS decision-CRA 2-2017- Svenska Handelsbanken AB | Credit Rating Agencies | Decision | PDF 690.73 KB |
||||
| 23/07/2018 | ESMA41-137-1145 | BoS decision-CRA 2-2017- Danske | Credit Rating Agencies | Decision | PDF 635.85 KB |
||||
| 28/03/2019 | ESMA41-356-22 | Public notice Fitch Group | Credit Rating Agencies | Decision | PDF 227.33 KB |
||||
| 28/03/2019 | ESMA-41-356-11 | Decision Fitch UK | Credit Rating Agencies | Decision | PDF 697.42 KB |
||||
| 15/07/2019 | esma41-139-1231 | Amended decision Handelsbanken | Credit Rating Agencies | Decision | PDF 244.4 KB |
||||
| 15/07/2019 | esma41-139-1229 | Amended_decision_seb | Credit Rating Agencies | Decision | PDF 239.8 KB |
||||
| 15/07/2019 | esma41-139-1230 | Amended_decision_swedbank | Credit Rating Agencies | Decision | PDF 243.03 KB |