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|02/02/2021||ESMA70-156-2401||Annual Report 2020- Equity Waivers and Deferrals||MiFID - Secondary Markets||Report||PDF
|13/12/2019||ESMA70-156-1823||ESMA 2019 report on the application of AMPs||Market Abuse, Market Integrity||Report||PDF
|11/01/2017||ESMA42-1643088512-2962||ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution||MiFID - Investor Protection, MiFID - Secondary Markets, Supervisory convergence||Report||PDF
|05/02/2016||2016/234||ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan.||Credit Rating Agencies, Trade Repositories||Report||PDF
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.
|28/02/2017||ESMA70-872942901-21||Final report on draft RTS on package orders for which there is a liquid market||MiFID - Secondary Markets||Report||PDF
|29/09/2017||ESMA70-156-227||Final report on draft RTS on the trading obligation for derivatives under MiFIR||MiFID - Secondary Markets||Report||PDF
|31/03/2017||ESMA/2017/70-8792942901-40||Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments||MiFID - Secondary Markets||Report||PDF
|13/07/2016||2016/1130||Final Report on the Market Abuse Regulation Guidelines||Market Abuse, Market Integrity||Report||PDF
|20/12/2019||ESMA80-196-3218||Follow-up Report on fees charged by CRAs and TRs||Credit Rating Agencies, Supervisory convergence, Trade Repositories||Report||PDF
|05/12/2019||ESMA70-156-1606||MiFID II/MiFIR Review Report No. 1||MiFID - Secondary Markets||Report||PDF
|02/07/2019||ESMA70-154-1193||Preliminary findings on multiple withholding tax reclaim schemes||Market Integrity||Report||PDF
|18/11/2021||ESMA70-445-7||Preliminary Report on Emission Allowances||MiFID - Secondary Markets, Sustainable finance||Report||PDF
|16/01/2019||ESMA70-145-1184||Report Application Accepted Market Practices||Market Abuse, Market Integrity||Report||PDF
|18/01/2022||ESMA70-156-4859||Report on the application of accepted market practices_2021||Market Integrity||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|03/06/2019||ESMA70-156-835||Supervisory Briefing PreTradeTransparency Non-Equity Instruments||MiFID - Secondary Markets, Supervisory convergence||Report||PDF
|11/01/2018||ESMA80-196-954||Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories||Credit Rating Agencies, Trade Repositories||Report||PDF