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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
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
  1. ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches and practices among nationally appointed Sectoral Competent Authorities (‘SCAs’).
  1. The purpose of this supervisory briefing is to provide guidance to SCAs in relation to the application of Articles 8c and 8d of the CRA Regulation and promote a common supervisory approach and enforcement of these Articles. In this regard, the Supervisory Briefing includes the following:
  1. A Common Supervisory Approach as to which issuers and related third parties are covered by Article 8c and 8d; and,
  1. A Standard Form for documentation in accordance with article 8d.
  1. The common supervisory approach will assist SCAs as well as issuers and related third parties by clearly establishing who should be prioritised for supervision and enforcement under these Articles.
  1. The Standard Form will assist SCAs by guaranteeing standardised and consistent data across different issuers and related third parties. It will also assist issuers and related third parties by providing clarity as to how they may meet their regulatory obligations under these Articles and simplify their internal processes by removing the need to develop in-house templates for documenting compliance under Article 8d.
  1. The Supervisory Briefing will be published on ESMA’s website and on the websites of the nationally appointed SCAs.
 
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 Credit Rating Agencies, Trade Repositories Report PDF
2.49 MB
18/01/2022 ESMA70-156-4859 Report on the application of accepted market practices_2021 Market Integrity Report PDF
1.63 MB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 Corporate Disclosure, Prospectus Report PDF
674.63 KB
22/12/2021 ESMA80-416-197 Report on CRA Market Share Calculation 2021 Credit Rating Agencies Report PDF
494.35 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices Market Abuse, Market Integrity Report PDF
1.68 MB
24/09/2020 ESMA32-384-4852 Prospectus Activity Report 2019 Prospectus Report PDF
406.85 KB
20/07/2021 ESMA32-382-1153 Prospectus activity and sanctions report 2020 Prospectus Report PDF
458.21 KB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Market Integrity Report PDF
611.48 KB
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence Report PDF
285.02 KB
17/05/2021 JC 2021 31 JC Report on the implementation and functioning of the Securitisation Regulation Joint Committee, Securitisation Report PDF
1.03 MB
10/06/2013 2013/619 Annex III Individual responses from EEA States Prospectus Report PDF
2.63 MB
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
05/10/2020 ESMA33-128-1001_ Final Report_Guidelines on Portability of Information between Securitisation Repositories Securitisation Report PDF
279.02 KB
16/07/2018 ESMA33-128-473 Final Report- Draft RTS on authorisation of firms providing STS verification services Securitisation Report PDF
593.91 KB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines Market Abuse, Market Integrity Report PDF
852.59 KB
16/07/2018 ESMA33-128-477 Final Report on STS notification Securitisation Report PDF
1.5 MB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Credit Rating Agencies Report PDF
430.48 KB
23/03/2011 2011/67 Feedback statement- Consultation Paper on proposed amendments to CESR Prospectus, Corporate Disclosure CESR Document PDF
384.63 KB

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