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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|13/07/2016||2016/1130||Final Report on the Market Abuse Regulation Guidelines||Market Abuse, Market Integrity||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.
|22/06/2016||2016/989||Speech ISLA's 25th Anniversary Conference- Steven Maijoor, 22 June 2016, Vienna||Securities Financing Transactions, Speeches||Speech||PDF
|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
|05/04/2017||ESMA31-54-435||Report on shareholder identification and communication systems||Corporate Finance, Corporate Governance||Report||PDF
|03/07/2017||ESMA31-62-746||EEA prospectus activity in 2016||Corporate Finance, Prospectus||Report||PDF
|16/01/2019||ESMA70-145-1184||Report Application Accepted Market Practices||Market Abuse, Market Integrity||Report||PDF
|27/06/2018||ESMA70-145-924||Speech by ESMA Executive Director Verena Ross on LEI||Market Integrity, MiFID - Secondary Markets||Speech||PDF
|02/07/2019||ESMA70-154-1193||Preliminary findings on multiple withholding tax reclaim schemes||Market Integrity||Report||PDF
|25/02/2021||ESMA70-155-11890||Statement CumEx CumCum scandal- Fabrizio Planta||Market Abuse, Market Integrity, Speeches, Trading||Speech||PDF
|13/12/2019||ESMA70-156-1823||ESMA 2019 report on the application of AMPs||Market Abuse, Market Integrity||Report||PDF
|27/09/2018||ESMA71-319-83||Financing Growth in the EU- speech by Verena Ross at the EBS||Corporate Finance, Speeches||Speech||PDF
|19/06/2019||ESMA74-362-39||Keynote by ESMA Chair at ISLA Annual Securities Finances and Collateral Management Conference||Market Integrity||Speech||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
|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