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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/12/2011 2011/461 Final report- Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009 Technical Standards PDF
555.25 KB
22/12/2011 2011/462 Final Report- Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation Technical Standards PDF
445.83 KB
22/12/2011 2011/463 Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies Technical Standards PDF
444.79 KB
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 Technical Standards PDF
485.78 KB
02/04/2013 2013/413 Final Report- Draft regulatory technical standards on types of AIFMs Technical Standards PDF
116.08 KB
The European Securities and Markets Authority (ESMA) has published its draft regulatory technical standards (RTS) to determine types of alternative investment fund managers (AIFMs), where relevant in the application of the AIFMD.  The draft RTS distinguish AIFMs managing alternative investment funds (AIF) of the open-ended type and AIFMs managing AIFs of the closed-ended type, in order to apply the rules on liquidity management, the valuation procedures and the transitional provisions of the AIFMD.  ESMA was required to develop these RTS by Article 4(4) of the AIFMD and they are aimed at ensuring uniform conditions of application of the AIFMD across the European Union.
29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus , Technical Standards PDF
713.74 KB
The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.
20/02/2014 2014/160 Draft implementing technical standards on notification- EuVECA Technical Standards PDF
175.99 KB
20/02/2014 2014/161 Draft implementing technical standards on notification- EuSEF Technical Standards PDF
29.18 KB
24/06/2014 2014/685 Draft Regulatory Technical Standards under the CRA3 Regulation 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.
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
16/02/2015 2015/280 ESMA supervision of Credit Rating Agencies and Trade Repositories , , 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.
18/09/2015 2015/1409 Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive) Technical Standards PDF
339.52 KB
07/03/2017 ESMA22-106-140 SMSG advice on the Joint ESMA EBA guidelines on the Assessment of the Suitability , SMSG Advice PDF
150.61 KB

SMSG advice on the Joint ESMA EBA guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders

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 Annual Report PDF
1.03 MB
04/12/2018 ESMA33-9-281 CRA market share report Annual Report PDF
827.25 KB
19/02/2019 ESMA80-199-273 ESMA supervision 2019 work plan and annual report 2018 Annual Report PDF
622.46 KB
09/04/2019 2019 19 Joint Committee Annual Report 2018 Annual Report PDF
198.17 KB
21/01/2020 ESMA22-106-2077 SMSG Advice on Joint Consultation Paper on PRIIPs KID , SMSG Advice PDF
426.62 KB
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB