ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
06/04/2020 ESMA 50-165-1098 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 , , Report PDF
4.08 MB
26/04/2016 2016/648 ESMA response to the Commission Green Paper on retail financial services Letter PDF
197.44 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 KB
05/02/2016 2016/234 ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan. , Report PDF
2.08 MB

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.

18/12/2018 fisma.01/РР/ rv/ (2018) 6771757 European Commission letter to ESMA on draft RTS and ITS securitisation disclosures Letter PDF
139.27 KB
On Friday 14 December 2018, the European Securities and Markets Authority (ESMA) received a letter from the European Commission regarding the draft regulatory and implementing technical standards on securitisation disclosures submitted by ESMA on 22 August 2018.
 
The letter states that the Commission intends to endorse those draft regulatory and implementing technical standards only once certain amendments are introduced.
03/11/2020 ESMA42-111-5349 Fast Track Peer Review Report- Wirecard , , Report PDF
1.33 MB
16/07/2018 ESMA33-128-477 Final Report on STS notification Report PDF
1.5 MB
16/07/2018 ESMA33-128-473 Final Report- Draft RTS on authorisation of firms providing STS verification services Report PDF
593.91 KB
05/10/2020 ESMA33-128-1001_ Final Report_Guidelines on Portability of Information between Securitisation Repositories Report PDF
279.02 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
24/07/2018 ESMA42-111-4653 Follow-up Report to the Peer Review on MiFID Suitability Requirements Report PDF
435.05 KB
01/10/2018 ESMA35-36-1442 IPISC UK withdrawal from the EU Letter Letter PDF
234.85 KB
17/11/2015 2015/1513 Letter SM to EC- implementation timeline MiFID MiFIR Letter PDF
85.8 KB
08/01/2019 ESMA33-128-619 Letter to EC on regulatory cooperation under the Securitisation Regulation Letter PDF
118.61 KB
28/01/2014 2013/1941 Letter to Jonathan Faull (EC) regarding draft technical standards , Letter PDF
44.25 KB
24/04/2018 ESMA33-128-485 Letter to OG- Delivery of ESMA’s technical standards on disclosure under the Securitisation Regulation Letter PDF
250.7 KB
01/10/2018 ESMA70-156-236 Letter to the Commission on MiFID II third country regime Letter PDF
152.92 KB
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE , , Report PDF
285.02 KB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options , Report PDF
776.15 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs , Report PDF
1.26 MB