ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
27
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Speeches X Trading X Trade Repositories X Guidelines and Technical standards X Joint Committee X Letter X Report X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/01/2011 10-1541 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis , Letter PDF
144.8 KB
04/01/2011 10-1541 Annex 2 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEBS annex , Letter PDF
120.57 KB
04/01/2011 10-1541 Annex 3 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEIOPS annex , Letter PDF
87.69 KB
04/01/2011 10-1541 Annex 1 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CESR annex , Letter PDF
159.33 KB
21/07/2020 JC 2020 66 Draft Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID (NOT APPROVED) , Report PDF
2.77 MB
04/05/2020 ESAs 2020 09 EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework , , Report PDF
338.72 KB
11/06/2020 2020 06 11 ESA letter to the EC , , Letter PDF
97.3 KB
18/01/2021 JC 2021 01 ESAs JC Letter to EU Commission on ITS FICOD reporting templates Letter PDF
105.8 KB
06/11/2014 2014-41 ESA’s budget 2015 – ensuring safe financial markets Letter PDF
91.5 KB
The European Supervisory Authorities - European Banking Authority (EBA), European Insurance and Occupational Pensions Authority (EIOPA), European Securities and Markets Authority (ESMA) - have written to the President of the Economic and Financial Affairs Council (ECOFIN) on their concerns regarding the budget negotiations for the 2015 EU budget and the budgetary constraints of the ESAs.
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.

03/11/2020 ESMA42-111-5349 Fast Track Peer Review Report- Wirecard , , Report PDF
1.33 MB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
07/04/2016 JC/2016/17 JC Risks and Vulnerabilities Report- Spring 2016 Report PDF
568.47 KB
08/03/2019 JC-2019-17 Joint Committee of ESAs Letter on PRIIPS , Letter PDF
121.06 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
02/04/2019 JC 2019 05 Joint ESA report on risks and vulnerabilities in the EU financial system , Report PDF
1.21 MB
22/09/2020 JC 2020 67 Joint ESA report on risks and vulnerabilities in the EU financial system 2020 , Report PDF
570.67 KB
12/09/2019 JC 2019 54 Joint ESA report on risks and vulnerabilities in the EU financial system No2 2019 , Report PDF
1.13 MB
30/10/2020 EBA BS 2020 633 Letter from the European Commission to the ESAs on the application of Regulation (EU) 2019/2088 on the sustainability-related disclosures in the financial services sector Letter PDF
300.29 KB
14/01/2021 JC 2021 02 Letter to EU Commission on priority issues relating to SFDR application , Letter PDF
210.03 KB