ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 19/07/2012 | 2011/454 | MOU on the supervision of CRAs- ESMA and ASIC | Credit Rating Agencies, International cooperation | Reference | PDF 4 MB |
This document contains two copies of the MOU, signed by ESMA and by the ASIC. | |||
| 19/07/2012 | 2012/124 | MOU on the supervision of CRAs- ESMA and MAS | Credit Rating Agencies, International cooperation | Reference | PDF 574.14 KB |
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| 16/12/2013 | 2013/1933 | CRAs’ Market share calculation according to Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 181.17 KB |
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| 23/01/2013 | 2013/87 | 2013 CRA supervision and policy work plan | Credit Rating Agencies | Reference | PDF 114.95 KB |
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| 29/11/2013 | 2013/998 DA | Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder | Fund Management, Guidelines and Technical standards | Reference | PDF 241.03 KB |
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| 29/11/2013 | 2013/998 SL | Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS | Fund Management, Guidelines and Technical standards | Reference | PDF 246.77 KB |
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| 18/06/2014 | 2014 | Joint ESA Consumer Protection Day- Programme | Warnings and publications for investors, Joint Committee | Reference | PDF 229.12 KB |
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| 22/12/2014 | 2014/1583 | Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 330 KB |
One of the objectives of the CRA Regulation is to increase competition in the markets for credit ratings by encouraging issuers to use smaller credit rating agencies. To this end, Article 8d(1) of the CRA Regulation states that where issuers or related third parties intend to appoint at least two CRAs to rate an issuance or entity, they shall consider appointing at least one CRA with no more than 10% of the total market share. They will consider this where the issuer or related third party finds that such a CRA is capable of rating the relevant issuance or entity and there is such a CRA available to rate the issuance or entity in question. Where it is not possible to appoint at least one CRA with no more than 10% of the total market share, the issuer or related third party shall document this. The obligations in Article 8d are supervised and enforced at national level by sectoral competent authorities. To help issuers and related third parties carry out this evaluation, Article 8d(2) of the CRA Regulation requires ESMA to publish a list of CRAs registered in the European Union (EU) on its website every year, indicating their total market share and the types of credit ratings issued. | |||
| 08/08/2014 | 2014/869 ES | Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA | Guidelines and Technical standards | Reference | PDF 727.22 KB |
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| 08/08/2014 | 2014/869 nl | Richtsnoeren voor rapportageverplichtingen uit hoofde van artikel 3, lid 3, onder d), en artikel 24, leden 1, 2 en 4, van de AIFMD | Guidelines and Technical standards | Reference | PDF 740.75 KB |
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| 10/07/2015 | 2015/1174 | Public statement- ESMA registers modeFinance as credit rating agency | Credit Rating Agencies | Reference | PDF 107.03 KB |
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| 14/09/2015 | 2015/1380 | Statement by Steven Maijoor Chair ESAs Joint Committee- ECON Hearing 14 September 2015 | Speeches, Joint Committee | Speech | PDF 100.82 KB |
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| 14/09/2015 | 2015/1381 | Annex to the Statement by Steven Maijoor ESAs Joint Committee- ECON Hearing 14 September 2015 | Speeches, Joint Committee | Reference | PDF 253.1 KB |
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| 17/11/2015 | 2015/1736 | form_to_reply_vr_cra | Credit Rating Agencies | Reference | DOCX 783.87 KB |
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| 11/12/2015 | 2015/1870 | Registration form Open Hearing on Discussion Paper | Credit Rating Agencies | Reference | DOCX 334.56 KB |
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| 13/07/2016 | 2016/1121 REPLY FORM | Reply form for the Consultation Paper on the Guidelines on the validation and review of CRAs’ methodologies | Credit Rating Agencies | Reference | DOCX 770.06 KB |
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| 30/09/2016 | 2016/1409 | SFTR Tables | Post Trading, Securities Financing Transactions | Reference | XLSX 45.84 KB |
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| 31/10/2016 | 2016/1529 ANNEX | Annex I- Template for the assessment of collective suitability | Guidelines and Technical standards, MiFID - Investor Protection | Reference | XLSX 54.43 KB |
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| 11/02/2016 | 2016/214 | ToR OWG Prospectus | Prospectus | Reference | PDF 87.64 KB |
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| 04/04/2016 | 2016/219 | ToR CRA TC | Credit Rating Agencies | Reference | PDF 204.41 KB |