ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Final Report PDF
385.45 KB
22/10/2021 AFM/1 Consumer testing AFM report Report PDF
2.75 MB
22/10/2021 SGH/1 Consumer testing SGH report Report PDF
2.08 MB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 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.

06/04/2021 ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories , , Final Report PDF
221.11 KB
28/03/2022 ESMA70-445-38 Final Report on Emission allowances and associated derivatives , Final Report PDF
3.19 MB
03/05/2019 ESMA35-43-1737 Final report on integrating sustainability risks and factors in the MIFID II , , Final Report PDF
371.73 KB
03/05/2019 ESMA34-45-688 Final report on integrating sustainability risks and factors in the UCITS Directive and the AIFMD , Final Report PDF
483.4 KB
30/09/2022 JC 2022 42 Final Report on SFDR amendments for nuclear and gas activities , Final Report PDF
1.07 MB
18/11/2022 JC 2022 42 Final Report on SFDR amendments for nuclear and gas activities , Report DOCX
2.17 MB
31/03/2020 ESMA43-370-103 Final report on TA on EMIR 2.2 CCP fines , , , Final Report PDF
478.11 KB
22/10/2021 JC 2021 50 Final report on taxonomy-related product disclosure RTS , Final Report PDF
1.62 MB
12/07/2021 ESMA74-362-1978 Final report Technical Advice to EC on simplification and harmonisation of fees to TRs under EMIR and SFTR , , , Final Report PDF
278.42 KB
01/03/2021 ESMA30-379-471 Final Report- Advice on Article 8 of the Taxonomy Regulation Final Report PDF
2.89 MB
25/03/2022 ESMA74-362-2351 Final report- Guidelines on transfer of data between Trade Repositories under EMIR and SFTR , , Final Report PDF
714.09 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
18/12/2015 2015/1887 Follow-up report on the development of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis , Final Report PDF
645.64 KB
04/02/2021 JC 2021 03 Joint ESAs Final Report on RTS under SFDR , Report PDF
2.58 MB
28/07/2022 JC 2022 35 Joint ESAs Report on the extent of voluntary disclosures of PAI under SFDR Report PDF
429.58 KB