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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
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   Post Trading, Supervisory convergence Report PDF
819.71 KB
07/02/2018 ESMA42-114-540 Supervisory Convergence Work Programme 2018 Supervisory convergence Report PDF
611.01 KB
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.
 
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments MiFID - Secondary Markets, Supervisory convergence Report PDF
148.65 KB
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs Fund Management, Supervisory convergence Report PDF
162.41 KB
28/05/2021 ESMA81-393-98 Supervisory Briefing on Benchmark administrators’ presence in their Member States of location and outsourcing Benchmarks, Supervisory convergence Report PDF
200.21 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 Credit Rating Agencies, Trade Repositories Report PDF
2.49 MB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds Fund Management, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
868.55 KB
09/02/2018 ESMA20-95-839 Risk Assessment Work Programme 2018 Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
452.74 KB
20/12/2019 ESMA32-334-150 Report On the use of Alternative Performance Measures and on the compliance with ESMA’s APM Guidelines Corporate Disclosure, Supervisory convergence Report PDF
800.36 KB
18/10/2021 ESMA42-110-3265 Report on the independence of National Competent Authorities Supervisory convergence Report PDF
458.92 KB
10/11/2020 ESMA70-156-3351 Report on PTRR services with regards to the clearing obligation Post Trading, Supervisory convergence Report PDF
2.03 MB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
508.75 KB
22/12/2021 ESMA80-416-197 Report on CRA Market Share Calculation 2021 Credit Rating Agencies Report PDF
494.35 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
1.26 MB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
776.15 KB
20/03/2018 ESMA71-99-957 Press release: High risks persist for European securities markets and investors, ESMA says Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
166.64 KB
10/03/2022 ESMA42-111-5534 Peer review report on cross border activities investment firms Supervisory convergence Report PDF
802.07 KB
05/01/2016 2015/1791 Peer Review Report Compliance with SSR as regards Market Making activities Supervisory convergence Report PDF
615.09 KB

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