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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|11/01/2013||2013/12||Principles for Benchmarks-Setting Processes in the EU||Risk Analysis & Economics - Markets Infrastructure Investors||Consultation Paper||PDF
|25/09/2015||2015/1463||ESMA Consultation Paper on ESEF||Corporate Disclosure, European Single Electronic Format, Transparency||Consultation Paper||PDF
|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.
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.
Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.
Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|02/06/2016||2016/773||Discussion Paper on the Distributed Ledger Technology Applied to Securities Markets||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Consultation Paper||PDF
|06/06/2016||2016/907||Economic Report on order duplication and liquidity measurement in EU equity markets||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|06/06/2016||2016/743||Multi-venue trading increases liquidity in EU equity markets despite duplicate orders||Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|04/10/2016||2016/1415||ESMA reporton on securities financing transactions and leverage in the EU||Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|28/10/2016||2016/1529||Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders||Guidelines and Technical standards, MiFID - Investor Protection||Consultation Paper||PDF
|21/12/2016||2016/1668||2016-1668 ESMA feedback statement on ESEF||Corporate Disclosure, European Single Electronic Format, Transparency||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|07/02/2017||ESMA50-1121423017-285||Report on Distributed Ledger Technology Applied to Securities Markets||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|14/06/2017||ESMA50-165-331||ESMA Risk Dashboard 1Q2107||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|12/09/2017||ESMA50-165-413||ESMA Risk Dashboard No.3 2017||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|05/12/2017||ESMA50-165-498||ESMA Risk Dashboard No 4 2017||Risk Analysis & Economics - Markets Infrastructure Investors||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
|09/02/2018||ESMA20-95-839||Risk Assessment Work Programme 2018||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|20/03/2018||ESMA50-165-539||ESMA risk dasbhboard 1, 2018||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|20/03/2018||ESMA71-99-957||Press release: High risks persist for European securities markets and investors, ESMA says||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF