ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/06/2012 2012/415 Call for Evidence on Empty Voting , CESR Document PDF
275.66 KB
ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present.
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies , , CESR Document PDF
265.19 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.

01/07/2016 2016/SMSG/009 SMSG End of Term Report 2016 Report PDF
1.55 MB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
1.11 MB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
03/01/2019 ESMA22-16-1603 SMSG End of Term Report 2018 Report PDF
649.37 KB
25/03/2019 ESMA22-106-1684 SMSG advice on draft RTS amending the PRIIPs Delegated Regulation Report PDF
96.91 KB
26/03/2019 ESMA22-106-1683 SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD Report PDF
142.78 KB
01/04/2019 esma22-106-1710 smsg_advice_on_stor_peer_review Report PDF
189.48 KB
01/04/2019 ESMA22-106-1731 SMSG Credit Ratings Disclosures advice Report PDF
209.66 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
13/07/2020 ESMA70-151-3186 3rd EU-wide CCP Stress Test Report , Report PDF
5.94 MB
17/07/2020 ESMA22-105-2740 SMSG- End of Term Report 2020 Report PDF
723.28 KB
17/07/2020 ESMA22-106-2738 Own Initiative SMSG Report II on Covid-19 related Issues Report PDF
183.42 KB
08/04/2021 ESMA93-373-39 Annual peer review of EU CCP supervision Report PDF
449.37 KB
17/12/2021 ESMA91-372-1945 Assessment Report under Article 25(2c) of EMIR (Part 1 of 2) , , Report PDF
13.38 MB
17/12/2021 ESMA91-372-1945 Assessment Report under Article 25(2c) of EMIR (Part 2 of 2) , , Report PDF
13.18 MB