ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
17/07/2020 ESMA22-106-2738 Own Initiative SMSG Report II on Covid-19 related Issues Report PDF
183.42 KB
17/07/2020 ESMA22-105-2740 SMSG- End of Term Report 2020 Report PDF
723.28 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
01/04/2019 ESMA22-106-1731 SMSG Credit Ratings Disclosures advice Report PDF
209.66 KB
01/04/2019 esma22-106-1710 smsg_advice_on_stor_peer_review Report PDF
189.48 KB
26/03/2019 ESMA22-106-1683 SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD Report PDF
142.78 KB
25/03/2019 ESMA22-106-1684 SMSG advice on draft RTS amending the PRIIPs Delegated Regulation Report PDF
96.91 KB
03/01/2019 ESMA22-16-1603 SMSG End of Term Report 2018 Report PDF
649.37 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
1.11 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
01/07/2016 2016/SMSG/009 SMSG End of Term Report 2016 Report PDF
1.55 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 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.

03/06/2013 2013-614 ESMA’s technical advice on short selling regulation Technical Advice PDF
2.3 MB
Final Report 2013/614 ESMA‘s technical advice on the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
20/04/2012 2012/236 ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS , Technical Advice PDF
509.39 KB