ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 10/06/2013 | 2013/619 Annex II | Comparative table of responses from EEA States | Prospectus | Report | PDF 2.15 MB |
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| 10/06/2013 | 2013/619 Annex III | Individual responses from EEA States | Prospectus | Report | PDF 2.63 MB |
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| 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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| 28/07/2016 | 2016/1170 | Report on EEA prospectus activity in 2015 | Corporate Disclosure, Prospectus | Report | PDF 674.63 KB |
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| 03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
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| 29/03/2017 | ESMA70-145-48 | Draft technical standards under the Benchmarks Regulation | Benchmarks | Report | PDF 1.75 MB |
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| 05/04/2017 | ESMA31-54-435 | Report on shareholder identification and communication systems | Corporate Finance, Corporate Governance | Report | PDF 1.09 MB |
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| 02/06/2017 | ESMA70-143-5 | Methodological framework for mandatory benchmarks contributions | Benchmarks | Report | PDF 282.75 KB |
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| 03/07/2017 | ESMA31-62-746 | EEA prospectus activity in 2016 | Corporate Finance, Prospectus | Report | PDF 475.66 KB |
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| 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 |
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| 16/07/2018 | ESMA33-128-473 | Final Report- Draft RTS on authorisation of firms providing STS verification services | Securitisation | Report | PDF 593.91 KB |
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| 16/07/2018 | ESMA33-128-477 | Final Report on STS notification | Securitisation | Report | PDF 1.5 MB |
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| 11/04/2019 | ESMA31-62-780 | Q&A on Prospectus Related Topics | Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence | Q&A | PDF 957.9 KB |
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| 31/10/2019 | ESMA31-62-1360 | EEA prospectus activity in 2018 | Prospectus | Report | PDF 394.26 KB |
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| 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 |
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| 14/02/2020 | ESMA70-156-1778 | ESMA’s response to the Commission’s consultation on the BMR review | Benchmarks | Report | PDF 314.12 KB |
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| 24/09/2020 | ESMA32-384-4852 | Prospectus Activity Report 2019 | Prospectus | Report | PDF 406.85 KB |
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| 29/09/2020 | ESMA80-187-608 | Final report_Benchmarks_RTS | Benchmarks | Report | PDF 714.41 KB |
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| 05/10/2020 | ESMA33-128-1001_ | Final Report_Guidelines on Portability of Information between Securitisation Repositories | Securitisation | Report | PDF 279.02 KB |
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| 09/11/2020 | ESMA31-67-127 | Question and answers on Transparency Directive (TD) | Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency | Q&A | PDF 352.79 KB |