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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||Credit Rating Agencies, Trade Repositories||Report||PDF
|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
|05/09/2018||ESMA70-151-1719||Letter to VP Dombrovskis on opinion on SFTR||Securities Financing Transactions||Letter||PDF
|05/09/2018||ESMA70-151-1651 Annex 1||Letter from European Commission on SFTR draft RTS||Securities Financing Transactions||Letter||PDF
|24/09/2020||ESMA32-384-4852||Prospectus Activity Report 2019||Prospectus||Report||PDF
|03/07/2017||ESMA31-62-746||EEA prospectus activity in 2016||Corporate Finance, Prospectus||Report||PDF
|31/10/2019||ESMA31-62-1360||EEA prospectus activity in 2018||Prospectus||Report||PDF
|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
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.
|28/07/2016||2016/1170||Report on EEA prospectus activity in 2015||Corporate Disclosure, Prospectus||Report||PDF
|21/05/2015||2015/857||ESMA response to the European Commission consultation on the review of the Prospectus Directive||Prospectus, Corporate Disclosure||Letter||PDF
|10/06/2013||2013/619 Annex III||Individual responses from EEA States||Prospectus||Report||PDF
|10/06/2013||2013/619 Annex II||Comparative table of responses from EEA States||Prospectus||Report||PDF
|10/01/2014||2013/1932||Deadlines for the submission of draft technical standards||Prospectus, Corporate Disclosure||Letter||PDF
|09/01/2013||2012/878||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Letter||PDF
|01/03/2012||2012/138||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Letter||PDF
|06/01/2012||2012/10||Interpretation of the Mineral Companies Recommendations for cement companies||Prospectus, Corporate Disclosure||Letter||PDF
|Open letter regarding Interpretation of the Mineral Companies Recommendations for cement companies|
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF