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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
21/02/2012 2012/113 Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 Fund Management Q&A PDF
83.79 KB		 The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.
03/06/2014 2014/544 Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies Credit Rating Agencies Decision PDF
49.36 KB		 Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies The Board of Supervisors (“Board”), Having regard to the Treaty on the Functioning of the European Union (“Treaty”) Having regard to Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (“ESMA Regulation”), and in particular Article 43(2) and Article 44(1) thereof Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (“CRA Regulation”), in particular Articles 6(2), 23e, 24, 25 thereof Having regard to Commission Delegated Regulation (EU) No 946/2012 of 12 July 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions (“Procedural Regulation”), in particular Article 3(4) thereof Whereas: (1) On the basis of the file containing the investigating officer’s findings and after examination of the submissions of Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited the Board finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of the CRA Regulation. (2) The Board considers that the evidence before it does not allow it to establish that Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited acted intentionally or negligently as required by Article 36a(1) of the CRA Regulation in order for the Board to impose a fine. (3) The Board thus decides to adopt a supervisory measure taking the form of a public notice in accordance with Article 24 of the CRA Regulation. Has adopted this decision: Article 1 The Board of Supervisors finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. Article 2 The Board of Supervisors takes the decision to adopt a supervisory measure taking the form of the following public notice, in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies.
29/06/2015 2015/1048 Public Notice- ESMA fines DBRS Ratings Limited Credit Rating Agencies Decision PDF
186.47 KB
31/05/2016 2016/774 Q&A on the Application of the EuSEF and EuVECA Regulations Fund Management Q&A PDF
212.93 KB
21/07/2016 2016/1131 BoS Decision on Fitch Ratings Limited 21 July 2016 Credit Rating Agencies, Press Releases Decision PDF
108.21 KB
21/11/2016 2016/1586 Questions and Answers on UCITS Directive Fund Management Q&A PDF
454.07 KB
16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Fund Management Q&A PDF
436.68 KB
01/06/2017 ESMA41-137-1005 Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited Board of Supervisors, Credit Rating Agencies Decision PDF
207.16 KB
20/07/2017 BoA 2017 01 FinancialCraft Analytics Sp. z o.o. vs ESMA BoA Decision Board of Appeal, Credit Rating Agencies Decision PDF
693 KB
23/07/2018 ESMA41-137-1153 BoS decision- CRA 2-2017- SEB Credit Rating Agencies Decision PDF
706.81 KB
23/07/2018 ESMA41-137-1152 BoS decision-CRA 2-2017- Swedbank Credit Rating Agencies Decision PDF
715.12 KB
23/07/2018 ESMA41-137-1150 BoS decision-CRA 2-2017- Nordea Credit Rating Agencies Decision PDF
714.78 KB
23/07/2018 ESMA41-137-1147 BoS decision-CRA 2-2017- Svenska Handelsbanken AB Credit Rating Agencies Decision PDF
690.73 KB
23/07/2018 ESMA41-137-1145 BoS decision-CRA 2-2017- Danske Credit Rating Agencies Decision PDF
635.85 KB
28/03/2019 ESMA41-356-22 Public notice Fitch Group Credit Rating Agencies Decision PDF
227.33 KB
28/03/2019 ESMA-41-356-11 Decision Fitch UK Credit Rating Agencies Decision PDF
697.42 KB
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
15/07/2019 esma41-139-1231 Amended decision Handelsbanken Credit Rating Agencies Decision PDF
244.4 KB
15/07/2019 esma41-139-1229 Amended_decision_seb Credit Rating Agencies Decision PDF
239.8 KB
15/07/2019 esma41-139-1230 Amended_decision_swedbank Credit Rating Agencies Decision PDF
243.03 KB

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