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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
21/12/2020 ESMA70-156-3537 Annual Report on MAR administrative and criminal sanctions 2020 Report PDF
291.51 KB
28/02/2008 08-099 CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive Final Report PDF
874.1 KB
28/09/2015 2015/1455 CBA Cost analysis for Final Report on MAR technical standards Final Report PDF
2.59 MB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs , Report PDF
1.4 MB
22/12/2020 ESMA70-156-3782 ESMA report on application of AMP 2020 Report PDF
1.38 MB
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.

11/05/2005 05-274 Feedback Statement- Market Abuse Directive, Level 3 – first set of guidance and information on the common operation of the Directive Final Report PDF
79.76 KB
http://www.cesr-eu.org/data/document/05_274.pdf
26/07/2016 2016/1171 Final Report Draft Implementing Technical Standards on sanctions and measures under MAR , Final Report PDF
929.78 KB
23/09/2020 ESMA70-155-10272 Final Report on Cum Ex and other multiple withholding tax reclaim schemes , , Final Report PDF
906.57 KB
08/10/2019 ESMA70-145-457 Final report on Draft Regulatory Technical Standards on cooperation arrangements under Regulation (EU) No 596/2014 on market abuse Final Report PDF
409.3 KB
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
30/09/2016 2016/1412 Final Report on MAR Guidelines on commodity derivatives , , Final Report PDF
566.52 KB

Article 7(5) of MAR provides that the European Securities and Markets Authority (ESMA) shall issue guidelines to establish a non-exhaustive indicative list of information which is reasonably expected or is required to be disclosed in accordance with legal or regulatory provisions in Union or national law, market rules, contract, practice or custom, on the relevant commodity derivatives markets or spot markets as referred to in Article 7(1)(b) of MAR. This final report follows the Consultation Paper (CP) issued on March 2016.

Contents

Section 2 contains information on the background and mandate, while Section 3 sets out ESMA’s feedback to the CP responses in relation to the scope of the guidelines, the financial instruments and products covered by the examples of information relating directly and indirectly to commodity derivatives and information directly relating to a spot market contract. It also indicates whether and where ESMA has changed the guidelines following the consultation.

Annex I lists questions raised in the CP. Annex 2 provides the legislative mandate on the basis of which ESMA is issuing these guidelines. Annex 3 sets out ESMA’s view on the costs and benefits associated with these guidelines. Annex 4 contains the text of the guidelines.

Next steps

The guidelines in Annex 4 will be translated into the official languages of the European Union and published on the ESMA’s website. Within 2 months of the issuance of the translations, each national competent authority will have to confirm whether it complies or intends to comply with those guidelines. In the event that a national competent authority does not comply or does not intend to comply, it will have to inform ESMA, stating its reasons. ESMA will publish the fact that a national competent authority does not comply or does not intend to comply with those guidelines.

 

 

01/06/2017 ESMA7--145-100 Final report on MAR ITS on cooperation between competent authorities , Final Report PDF
926.19 KB
29/10/2020 ESMA70-156-3581 Final Report on SME GMs RTS-ITS under MAR , Final Report PDF
691.32 KB
31/03/2020 ESMA43-370-103 Final report on TA on EMIR 2.2 CCP fines , , , Final Report PDF
478.11 KB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB
06/01/2020 ESMA70-151-2703 Final Report- Guidelines on Reporting Under SFTR Final Report PDF
1.38 MB