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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 31/01/2022 | ESMA80-416-20 | Final report on the Guidelines on Disclosure Requirements for Initial Reviews and Preliminary Ratings | Credit Rating Agencies | Final Report | PDF 282.39 KB |
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| 21/06/2021 | ESMA80-196-5170 | Final Report Technical Advice on Fees Charged to CRAs by ESMA | Credit Rating Agencies | Final Report | PDF 404.7 KB |
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| 13/05/2020 | ESMA80-189-6982 | EU CLO credit ratings – an overview of Credit Rating Agencies practices and challenges | COVID-19, Credit Rating Agencies | Final Report | PDF 436.43 KB |
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| 15/03/2018 | ESMA71-99-961 | ESMA registers SPMW Rating Sp. z o.o. as a CRA | Credit Rating Agencies, Press Releases | Press Release | PDF 163.69 KB |
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| 08/02/2018 | ESMA71-99-938 | ESMA publishes 2018 Work Programme for CRAs, trade repositories and third country CCPs | Credit Rating Agencies | Press Release | PDF 159.43 KB |
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| 17/11/2017 | ESMA71-99-642 | ESMA clarifies endorsement regime for third-country credit ratings | Credit Rating Agencies | Press Release | PDF 307.12 KB |
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| 13/07/2017 | ESMA71-99-526 | ESMA issues sector-specific principles on relocations from the UK to the EU27 | Brexit, Press Releases, Supervisory convergence | Press Release | PDF 157.73 KB |
The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom . The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating. They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks. |
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| 31/05/2017 | ESMA71-99-469 | ESMA issues principles on supervisory approach to relocations from the UK | Brexit, Press Releases, Supervisory convergence | Press Release | PDF 143.31 KB |
The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27). The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II. |
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| 01/06/2017 | ESMA71-99-466 | ESMA fines Moody’s €1.24 million for credit ratings breaches | Board of Supervisors, Credit Rating Agencies, Press Releases | Press Release | PDF 238.35 KB |
The European Securities and Markets Authority (ESMA) has fined Moody’s Deutschland GmbH (Moody’s Germany) €750,000 and Moody’s Investors Service Limited (Moody’s UK) €490,000, and issued a public notice, for two negligent breaches of the Credit Rating Agencies Regulation (CRAR). ESMA found that Moody’s Germany and Moody’s UK negligently committed two infringements of the CRAR regarding their public announcement of certain ratings and their public disclosure of methodologies used to determine those ratings. These failures concern nineteen ratings issued between June 2011 and December 2013 for nine supranational entities including the European Investment Bank, the European Investment Fund, the European Stability Mechanism, the European Financial Stability Facility and the European Union. |
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| 29/03/2017 | ESMA71-99-376 | Feri EuroRating Services AG CRA registration withdrawn following acquisition | Credit Rating Agencies, Press Releases | Press Release | PDF 129.1 KB |
The European Securities and Markets Authority (ESMA) has today withdrawn the credit rating agency (CRA) registration of Feri EuroRating Services AG (Feri EuroRating). |
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| 30/03/2021 | ESMA71-99-1622 | CRA Enforcement Case Moodys March 2021 | Board of Supervisors, Credit Rating Agencies, Press Releases | Press Release | PDF 134.39 KB |
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| 04/01/2021 | ESMA71-99-1498 | Brexit: ESMA withdraws the registrations of six UK-based credit rating agencies and four trade repositories | Brexit, Credit Rating Agencies, Press Releases, Trade Repositories | Press Release | PDF 94.63 KB |
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| 11/12/2020 | ESMA71-99-1483 | ESMA71-99-1483 Press Release_EUI Recognition as TC-CSD | Brexit, Post Trading | Press Release | PDF 88.94 KB |
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| 25/11/2020 | ESMA71-99-1443 | PR DTO Final Position | Brexit, MiFID - Secondary Markets, Press Releases | Press Release | PDF 82.15 KB |
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| 26/10/2020 | ESMA71-99-1413 | Press Release Brexit statement- Share Trading Obligation | Brexit, MiFID - Secondary Markets, Press Releases | Press Release | PDF 83.7 KB |
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| 16/07/2020 | ESMA71-99-1366 | ESMA publishes its first Review Reports on the MiFIR transparency regime | Press Releases, Trading | Press Release | PDF 171.59 KB |
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| 04/06/2020 | ESMA71-99-1338 | Scope Ratings Enforcement Action | Credit Rating Agencies, Press Releases | Press Release | PDF 127.88 KB |
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| 13/05/2020 | ESMA71-99-1327 | Press Release CLO Thematic Report | COVID-19, Credit Rating Agencies, Press Releases | Press Release | PDF 123.56 KB |
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| 09/03/2020 | ESMA71-99-1287 | ESMA Supervision WP 2020 | Benchmarks, Credit Rating Agencies, Press Releases, Securities Financing Transactions, Securitisation, Trade Repositories | Press Release | PDF 130.42 KB |
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| 04/02/2020 | ESMA71-99-1281 | Press_Release- Review Report on equity transparency regime | Trading | Press Release | PDF 97.68 KB |