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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/04/2021 ESMA74-362-1934 Updated LEI statement SFTR , , Statement PDF
128.32 KB
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
30/08/2012 2012/537 STATEMENT- Short Selling Regulation Update: Market Maker & Primary Dealer Exemption Notification Procedure , , Statement PDF
77.92 KB
The European Securities and Markets Authority (ESMA) is publishing this notice to alert financial market participants to its upcoming consultation on the market making and authorised primary dealer exemption under the EU’s Short Selling Regulation (SSR) and the procedure to be followed by firms and regulators in dealing with notifications of intention to use the exemption.
11/01/2019 ESMA33-128-577 Statement on Securitisation implementation Statement PDF
324.46 KB
26/01/2022 ESMA70-447-1885 Statement on new NSP notification threshold , Statement PDF
90.32 KB
09/11/2020 ESMA74-362-881 Statement Brexit EMIR and SFTR data , , Statement PDF
257.04 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
18/12/2020 ESMA80-192-10053 Public Statement_Registration_DTCC Data Repository (Ireland) PLC under EMIR and SFTR , Statement PDF
76.58 KB
27/10/2015 2015/1605 Public Statement- INC Rating registration FINAL Statement PDF
136.3 KB
11/08/2011 2011/266 Public statement- harmonised regulatory action on short-selling in the EU , Statement PDF
97.39 KB
01/12/2015 2015/1778 Public Statement- Expert RA registration Statement PDF
123.49 KB
12/12/2014 2014/1486 Public Statement- ESMA certifies Egan-Jones Ratings Co. to operate in the EU Statement PDF
88.76 KB
The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of Egan-Jones Ratings Co. (EJR), an U.S. American credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 12 December 2014.EJR is headquartered in Haverford (Pennsylvania, USA) and is subject to registration, supervision and enforcement by the U.S. Securities and Exchange Commission as a “Nationally Recognized Statistical Rating Organization”.
24/11/2014 2014/1399 Public Statement- ESMA approves Moody’s Investors Service EMEA Limited as a credit rating agency Statement PDF
134.62 KB
The European Securities and Markets Authority (ESMA) has approved the registration of Moody’s Investors Service EMEA Limited, based in the UK, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 24th November 2014. Moody’s Investors Service EMEA Limited’s registration as a CRA means that its credit ratings can be used for regulatory purposes under EU legislation. This is the seventh entity in the Moody’s Investors Service group to be registered as an EU Registered Credit Rating Agency.
09/11/2018 ESMA80-187-149 Public statement- Contingency plans of Credit Rating Agencies and Trade Repositories in the context of the United Kingdom withdrawing from the European Union , , Statement PDF
137.78 KB

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