ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
103
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Trade Repositories X Securitisation X Corporate Finance X Securities Financing Transactions X Credit Rating Agencies X Short Selling X Risk Analysis & Economics - Markets Infrastructure Investors X Audit X Report X Annual Report X Letter X
Reset all filters

Pages

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 , 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 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 , Report PDF
2.49 MB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
09/02/2018 ESMA20-95-839 Risk Assessment Work Programme 2018 Report PDF
452.74 KB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
1.09 MB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Report PDF
508.75 KB
22/12/2021 ESMA80-416-197 Report on CRA Market Share Calculation 2021 Report PDF
494.35 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs , Report PDF
1.26 MB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options , Report PDF
776.15 KB
20/03/2018 ESMA71-99-957 Press release: High risks persist for European securities markets and investors, ESMA says Report PDF
166.64 KB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 KB
14/03/2013 ESA/2013/007 Possible Framework for the Regulation of the Production and Use of Indices Serving as Benchmarks in Financial and other Contracts , Letter PDF
91.91 KB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
05/09/2018 ESMA70-151-1719 Letter to VP Dombrovskis on opinion on SFTR Letter PDF
213.13 KB
07/04/2014 2014/363 Letter to the IAASB on its Proposed Strategy and Work Program for 2015-2019 Letter PDF
207.37 KB

The European Securities and Markets Authority (ESMA) considered the Consultation Paper on the IAASB’s Proposed Strategy for 2015-2019 and the Proposed Work Program for 2015-2016 (CP) and thanks you for the opportunity to contribute to the IAASB’s due process. The views expressed in this letter are made from the point of view of securities regulators with the aim to enhance investor protection and improve listed entities’ auditors’ reports.

24/04/2018 ESMA33-128-485 Letter to OG- Delivery of ESMA’s technical standards on disclosure under the Securitisation Regulation Letter PDF
250.7 KB
27/05/2019 ESMA32-62-126 letter to IAASB- proposed strategy for 2020-2023 and work plan for 2020-2021 Letter PDF
178.15 KB
20/12/2012 2012/849 Letter to IAASB on Improving the Auditor's Report Letter PDF
263.73 KB
30/01/2017 ESMA70-708036281-19 Letter to European Commission- EMIR Review and Sanctioning Powers , Letter PDF
265.24 KB

Pages