ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
02/10/2020 ESMA20-95-1273 2021 Annual Work Programme Board of Supervisors, Corporate Information, Management Board, Planning reporting budget Report PDF
608.58 KB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Credit Rating Agencies Report PDF
430.48 KB
25/09/2020 ESMA02-91-2964 Report on Budgetary and Financial Management Financial Year 2019 Corporate Information, Planning reporting budget Report PDF
385.36 KB
10/01/2020 ESMA33-9-340 CRA Market Share Calculation 2019 Credit Rating Agencies Report PDF
446.77 KB
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
05/12/2019 ESMA70-156-1606 MiFID II/MiFIR Review Report No. 1 MiFID - Secondary Markets Report PDF
1004.81 KB
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments MiFID - Secondary Markets, Supervisory convergence Report PDF
148.65 KB
06/05/2019 ESMA/2016/990 Report on budgetary and financial management 2015 Corporate Information, Planning reporting budget Report PDF
544.34 KB
06/05/2019 ESMA02-1733218672-745 Report on budgetary and financial management 2016 Corporate Information, Planning reporting budget Report PDF
548.5 KB
06/05/2019 ESMA02-91-1958 Report on budgetary and financial management 2017 Corporate Information, Planning reporting budget Report PDF
546.02 KB
04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme Board of Supervisors, Planning reporting budget, Supervisory convergence Report PDF
308.68 KB
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
20/12/2017 ESMA33-5-209 CRA Market Share Calculation 2017 Credit Rating Agencies Report PDF
1012.23 KB
05/10/2017 ESMA20-95-619 2018 Work Programme Corporate Information, Planning reporting budget Report PDF
533.61 KB
29/09/2017 ESMA70-156-227 Final report on draft RTS on the trading obligation for derivatives under MiFIR MiFID - Secondary Markets Report PDF
609.23 KB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 Corporate Finance, Prospectus Report PDF
475.66 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.
 
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems Corporate Finance, Corporate Governance Report PDF
1.09 MB
31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments MiFID - Secondary Markets Report PDF
644.29 KB
28/02/2017 ESMA70-872942901-21 Final report on draft RTS on package orders for which there is a liquid market MiFID - Secondary Markets Report PDF
712.46 KB

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