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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
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18/02/2016 | 2015/SMSG/036 | SMSG Advice on ESEF | European Single Electronic Format, Securities and Markets Stakeholder Group | SMSG Advice | PDF 109.63 KB |
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16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 MB |
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21/12/2016 | 2016/1668 | 2016-1668 ESMA feedback statement on ESEF | Corporate Disclosure, European Single Electronic Format, Transparency | Report | PDF 6.98 MB |
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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 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. |
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07/02/2022 | ESA 2022 01 | Joint ESA response to the EU Commission on Digital Finance | Innovation and Products, Joint Committee | Report | PDF 2.57 MB |
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30/09/2020 | ESMA 33-9-371 | Final Report Guidelines Internal Control for CRAs | Credit Rating Agencies | Report | PDF 430.48 KB |
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06/04/2020 | ESMA 50-165-1098 | ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 | Fund Management, Innovation and Products, MiFID - Investor Protection | Report | PDF 4.08 MB |
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14/04/2021 | ESMA 50-165-1710 | ESMA annual statistical report on performance and costs of retail investment products in the EU- 2021 | Fund Management, Innovation and Products, Market data | Report | PDF 2.54 MB |
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29/09/2020 | ESMA WP-2020-3 | ESMA working paper on DVC mechanism and impact on EU equity markets | Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors | Report | PDF 535.76 KB |
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18/02/2021 | ESMA WP-2021-03 | ESMA working paper on MiFID II research unbundling | Innovation and Products | Report | PDF 1.18 MB |
Presentation given during the Webinar organised on 25 February 2021 ESMA50-165-1308_RESEARCH_UNBUNDLING_PRESENTATION.PDF (europa.eu) |
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20/12/2017 | ESMA33-5-209 | CRA Market Share Calculation 2017 | Credit Rating Agencies | Report | PDF 1012.23 KB |
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06/04/2017 | ESMA33-9-158 | Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs | Credit Rating Agencies | Report | PDF 687.07 KB |
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10/01/2020 | ESMA33-9-340 | CRA Market Share Calculation 2019 | Credit Rating Agencies | Report | PDF 446.77 KB |
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09/01/2019 | ESMA50-157-1391 | Advice on Initial Coin Offerings and Crypto-Assets | Innovation and Products | Report | PDF 882.48 KB |
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07/06/2017 | ESMA50-158-457 | ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector | Innovation and Products | Report | PDF 712.26 KB |
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12/07/2019 | ESMA50-164-2430 | Report on the Licensing of FinTech business models | Innovation and Products | Report | PDF 585.36 KB |
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29/06/2020 | ESMA50-164-3463 | ESMA’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe | Innovation and Products | Report | PDF 380.54 KB |
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28/01/2022 | ESMA50-164-5210 | Compliance table on Guidelines on outsourcing to cloud service providers | Guidelines and Technical standards, Innovation and Products | Compliance table | PDF 172.7 KB |
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07/02/2022 | ESMA50-164-5410 | Report on Call for evidence on Digital Finance | Innovation and Products | Report | PDF 281.83 KB |