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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/01/2011 2011/26 Summary Report on the mapping of contingency measures Supervisory convergence Final Report PDF
93.63 KB
07/07/2011 2011/194 Report- Mapping of the Transparency Directive Supervisory convergence Final Report PDF
1.15 MB		 Report - Mapping of the Transparency Directive 
12/01/2012 2012/3 Annual report on the application of the Regulation on credit rating agencies as provided by Article 21(5) and Article 39a of the Regulation (EU) No 1060/2009 as amended by Regulation No 1095/2010 Credit Rating Agencies Final Report PDF
141.98 KB		 This is the first report under the new CRA regulation, however, please note that CESR published a report about the application of the Regulation in the EU and, in particular, on the implementation of the requirements established in Annex I of the Regulation on 6 December 2010 (CESR/10-1424), according to Article 21(4) of the Regulation which was subsequently amended by Regulation No (EC) 513/2011. At the time of publication, 16 CRA's have been registered.
22/03/2012 2012/207 ESMA’s Report on the Supervision of Credit Rating Agencies Credit Rating Agencies Final Report PDF
323.81 KB		 This report provides an overview of ESMA’s supervisory activity on Credit Rating Agencies (CRAs) registered in the European Union and summarises the results of ESMA’s first examination of the three groups of registered CRAs (Fitch Ratings, Moody's Investors Services, and Standard & Poor's Rating Services). The examination referred to in this document is the first step in an ongoing supervisory process conducted by ESMA and therefore does not represent a full scope investigation. The observations set forth in this Report refer to common issues affecting CRAs activities. As of the date of this document, ESMA has not determined whether any observation highlighted below constitutes a breach of the provisions of the Regulation. ESMA is still progressing in its assessment of the areas discussed in this Report. This Report is not based on a decision by ESMA’s Board of Supervisors; therefore it is published without prejudice to the possibility of further investigations which could lead to enforcement or supervisory actions.
26/04/2012 2012/270 Actual use of sanctioning powers under MAD Supervisory convergence Final Report PDF
1.55 MB		 The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
24/05/2012 2012/300 Prospectus Directive – Good Practices in the approval process Supervisory convergence Final Report PDF
467.38 KB		 The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“,  a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA)  when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses.  The prospectuses provide investors with easy to understand and relevant information on investment products.  Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.
06/07/2012 2012/387 Final report Guidelines on certain aspects of the MiFID suitability requirements Guidelines and Technical standards, MiFID - Investor Protection Final Report PDF
444.15 KB
11/01/2013 EBA/BS/2013/002 Report on the administration and management of Euribor Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
832.36 KB
14/02/2013 2013/212 Trends, Risks and Vulnerabilities report Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
2.03 MB
14/02/2013 2013/213 ESMA Risk Dashboard No.1, 2013 Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
717.92 KB
18/03/2013 2013/308 Annual report on the application of the Regulation on credit rating agencies- 2012 Credit Rating Agencies Final Report PDF
601.08 KB		 This is the second annual report on the application of the Credit Rating Agencies Regulation. 
15/04/2013 ESMA/2013/476 Peer Review–Money Market Fund Guidelines Supervisory convergence Final Report PDF
763.46 KB
06/06/2013 2013/658 Final Report- ESMA-EBA Principles for Benchmark-Setting Processes in the EU Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
620.19 KB
10/06/2013 2013/712 ESMA Risk Dashboard No.2, 2013 Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
806.84 KB
01/07/2013 2013/805 Supervisory Practices under MAD- Peer review report and Good Practices Market Abuse, Supervisory convergence Final Report PDF
1.17 MB		 ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD).  The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse.
01/07/2013 2013/806 Supervisory Practices under MAD- Mapping Report Market Abuse, Supervisory convergence Final Report PDF
315.44 KB		 ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive.
03/07/2013 2013/326 Retailisation in the EU Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
976.31 KB
20/09/2013 2013/1139 ESMA Risk Dashboard No.3, 2013 Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
891.55 KB
20/09/2013 2013/1138 Trends, Risks, Vulnerabilities No. 2, 2013 Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
2.92 MB
15/11/2013 2013/1454 ESMA Risk Dashboard No.4, 2013 Risk Analysis & Economics - Markets Infrastructure Investors Final Report PDF
1.12 MB		 The European Securities and Markets Authority (ESMA) is publishing its Risk Dashboard No.4 for 2013. The Risk Dashboard provides a snapshot of risk issues in the third quarter of 2013 and covers the following areas: Economic environment and securities markets conditions; Liquidity Risk; Market Risk; Contagion Risk; and Credit Risk.

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