ESMA LIBRARY

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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
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
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
23/03/2011 2011/67 Feedback statement- Consultation Paper on proposed amendments to CESR Prospectus, Corporate Disclosure CESR Document PDF
384.63 KB
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Prospectus, Corporate Disclosure, Transparency CESR Document PDF
265.19 KB
03/11/2020 ESMA42-111-5349 Fast Track Peer Review Report- Wirecard Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence Report PDF
1.33 MB
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.

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