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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/10/2020 ESM22-103-1158 ESM22-103-1158 Keynote Speech- Verena Ross- AFME Compliance and Legal Conference COVID-19, Market Abuse, Market Integrity, MiFID - Secondary Markets, Speeches Speech PDF
133.94 KB
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
606.45 KB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs Market Abuse, Market Integrity Report PDF
1.4 MB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Market Integrity Report PDF
611.48 KB
19/06/2019 ESMA74-362-39 Keynote by ESMA Chair at ISLA Annual Securities Finances and Collateral Management Conference Market Integrity Speech PDF
239.83 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices Market Abuse, Market Integrity Report PDF
1.68 MB
27/09/2018 ESMA71-319-83 Financing Growth in the EU- speech by Verena Ross at the EBS Corporate Finance, Speeches Speech PDF
181.48 KB
27/06/2018 ESMA70-145-924 Speech by ESMA Executive Director Verena Ross on LEI Market Integrity, MiFID - Secondary Markets Speech PDF
255.18 KB
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
1.14 MB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 Corporate Finance, Prospectus Report PDF
475.66 KB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems Corporate Finance, Corporate Governance Report PDF
1.09 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 Credit Rating Agencies, Trade Repositories Report PDF
2.49 MB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines Market Abuse, Market Integrity Report PDF
852.59 KB
22/06/2016 2016/989 Speech ISLA's 25th Anniversary Conference- Steven Maijoor, 22 June 2016, Vienna Securities Financing Transactions, Speeches Speech PDF
242.25 KB
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.