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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
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.
|09/02/2016||2016/235||Comment letter on Taxonomy due process||Corporate Disclosure, European Single Electronic Format, Transparency||Letter||PDF
|21/12/2016||2016/1668||2016-1668 ESMA feedback statement on ESEF||Corporate Disclosure, European Single Electronic Format, Transparency||Report||PDF
|05/01/2017||2016/1621||2016-1621 ESMA letter to EC on postponement of ESEF RTS||Corporate Disclosure, European Single Electronic Format, Transparency||Letter||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|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
|05/09/2018||ESMA70-151-1651 Annex 1||Letter from European Commission on SFTR draft RTS||Securities Financing Transactions||Letter||PDF
|05/09/2018||ESMA70-151-1719||Letter to VP Dombrovskis on opinion on SFTR||Securities Financing Transactions||Letter||PDF
|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
|02/04/2020||ESMA50-165-1107||ESMA Risk Dashboard Risk up-date||COVID-19, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|04/05/2020||ESAs 2020 09||EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework||COVID-19, Joint Committee, Post Trading||Report||PDF
|11/05/2020||ESMA32-61-402||Letter to IASB Exposure Draft COVID-19 Related Rent Concessions||Corporate Disclosure, COVID-19||Letter||PDF
|11/05/2020||ESMA32-61-403||Letter to EFRAG on IASB Exposure Draft COVID-19 Related Rent Concessions||Corporate Disclosure, COVID-19||Letter||PDF