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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/03/2013 EPV 21/03/13 Profile of Steven Maijoor in the European Voice Reference PDF
646.82 KB
This copyright of this profile, published in this week's European Voice, belongs to the European Voice publication, and has been reproduced with their kind permission.  The article can be accessed on their website: http://www.europeanvoice.com/article/imported/security-guard/76719.aspx
05/07/2013 2013/ITMG/14 Terms of Reference IT Management and Governance Group Reference PDF
46.39 KB
25/09/2015 2015/1463 reply form ESEF CBA Form to reply ESEF CBA , , Reference DOCX
872.33 KB
28/09/2015 2015/1468 Trading venue briefing , Reference PDF
304.63 KB
28/09/2015 2015/1469 2015-1469- Investment Firms briefing , Reference PDF
314.38 KB
28/09/2015 2015/1470 2015-1470- Non-financials briefing , Reference PDF
307.12 KB
17/12/2015 2015/1885 ESMA Briefing Note on ESEF CP , Reference PDF
138.49 KB
05/02/2016 2016/234 ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan. , 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.

04/04/2016 2016/226 ToR ITMG Reference PDF
116.21 KB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
30/09/2016 2016/1409 SFTR Tables , Reference XLSX
45.84 KB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
11/05/2017 ESMA32-60-172 Invitation to the ESMA European Single Electronic Format Meet-the-Market Workshop , , Reference PDF
270.83 KB
28/06/2017 ESMA32-60-196 Call for volunteers- Field test European Single Electronic format (ESEF) , Reference PDF
251.41 KB
19/10/2017 ESMA50-165-421 EU derivatives markets ─ a first-time overview , , , Reference PDF
477.35 KB
18/12/2017 ESMA 71-99-671 Briefing note- Preparing for 2020: ESEF field tests and reporting manual Reference PDF
339.06 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
11/01/2018 ESMA71-99-923 Factsheet on Trade Repositories Fees Reference PDF
129.16 KB
27/03/2018 ESMA33-128-109 reply form Reply form- Consultation Paper Securitisation Repositories Application Reference DOCX
767.02 KB