ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
21/07/2020 JC 2020 66 draft Draft Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID (NOT APPROVED) , Report PDF
2.77 MB
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
04/05/2020 ESAs 2020 09 EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework , , Report PDF
338.72 KB
24/10/2012 JC/CP/2012/01 Feedback statement ESA feedback statement on the Joint CP on Financial Conglomerates CESR Document PDF
82.95 KB
26/03/2021 JC 2021 16 ESAs’ Opinion to the European Commission on the Jurisdictional Scope of Application of the SECR , Opinion PDF
339.91 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.

29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
17/05/2021 JC 2021 31 JC Report on the implementation and functioning of the Securitisation Regulation , Report PDF
1.03 MB
07/04/2016 JC/2016/17 JC Risks and Vulnerabilities Report- Spring 2016 Report PDF
568.47 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
02/04/2019 JC 2019 05 Joint ESA report on risks and vulnerabilities in the EU financial system , Report PDF
1.21 MB
22/09/2020 JC 2020 67 Joint ESA report on risks and vulnerabilities in the EU financial system 2020 , Report PDF
570.67 KB
31/03/2021 JC 2021 27 JOINT ESA REPORT ON RISKS AND VULNERABILITIES IN THE EU FINANCIAL SYSTEM No 1 2021 , Report PDF
641.71 KB
08/09/2021 JC 2021 45 Joint ESA report on Risks and Vulnerabilities in the EU financial system No 2 2021 , Report PDF
642.21 KB
12/09/2019 JC 2019 54 Joint ESA report on risks and vulnerabilities in the EU financial system No2 2019 , Report PDF
1.13 MB
04/02/2021 JC 2021 03 Joint ESAs Final Report on RTS under SFDR , Report PDF
2.58 MB
18/12/2013 ESA/2013/035 Joint Opinion-Review on the functioning of the European Systemic Risk Board (ESRB) Opinion PDF
142.63 KB
Joint Opinion-Review on the functioning of the European Systemic Risk Board (ESRB)
31/03/2021 JC 2021 24 Joint report on the assessment of the application of the Guidelines on complaints-handling Report PDF
725.04 KB
12/05/2016 ESA/2016/41 Opinion of the ESAs- ECAI credit assessments , Opinion PDF
379.79 KB