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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   , Report PDF
819.71 KB
06/04/2017 ESMA33-9-158 Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs Report PDF
687.07 KB
  1. ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches and practices among nationally appointed Sectoral Competent Authorities (‘SCAs’).
  1. The purpose of this supervisory briefing is to provide guidance to SCAs in relation to the application of Articles 8c and 8d of the CRA Regulation and promote a common supervisory approach and enforcement of these Articles. In this regard, the Supervisory Briefing includes the following:
  1. A Common Supervisory Approach as to which issuers and related third parties are covered by Article 8c and 8d; and,
  1. A Standard Form for documentation in accordance with article 8d.
  1. The common supervisory approach will assist SCAs as well as issuers and related third parties by clearly establishing who should be prioritised for supervision and enforcement under these Articles.
  1. The Standard Form will assist SCAs by guaranteeing standardised and consistent data across different issuers and related third parties. It will also assist issuers and related third parties by providing clarity as to how they may meet their regulatory obligations under these Articles and simplify their internal processes by removing the need to develop in-house templates for documenting compliance under Article 8d.
  1. The Supervisory Briefing will be published on ESMA’s website and on the websites of the nationally appointed SCAs.
 
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
09/01/2020 ESMA22-106-1942 Strategic Orientation 2020-22 , Report PDF
325.47 KB
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16/07/2021 ESMA70-156-4582 Report to the EC- CSDR Banking services Report PDF
727.83 KB
06/08/2021 ESMA70-156-4576 Report to EC on Use of FinTech by CSDs , Report PDF
537.04 KB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Report PDF
602.75 KB
18/01/2022 ESMA70-156-4859 Report on the application of accepted market practices_2021 Report PDF
1.63 MB
13/06/2018 ESMA70-151-1400 Report on supervisory measures and penalties under EMIR Report PDF
605.66 KB
10/11/2020 ESMA70-156-3351 Report on PTRR services with regards to the clearing obligation , Report PDF
2.03 MB
22/12/2021 ESMA80-416-197 Report on CRA Market Share Calculation 2021 Report PDF
471.05 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices , Report PDF
1.68 MB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Report PDF
611.48 KB
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Report PDF
543.98 KB
02/03/2020 ESMA70-151-2908 MIFID II Report C6 Energy Derivatives Report PDF
367.55 KB
01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Report PDF
1.39 MB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
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 2011/463 Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies Technical Standards PDF
444.79 KB