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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Report PDF
1.22 MB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
10/06/2013 2013/619 Annex II Comparative table of responses from EEA States Report PDF
2.15 MB
20/12/2017 ESMA33-5-209 CRA Market Share Calculation 2017 Report PDF
1012.23 KB
10/01/2020 ESMA33-9-340 CRA Market Share Calculation 2019 Report PDF
446.77 KB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
31/10/2019 ESMA31-62-1360 EEA prospectus activity in 2018 Report PDF
394.26 KB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs , Report PDF
1.4 MB
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.

30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Report PDF
430.48 KB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
10/06/2013 2013/619 Annex III Individual responses from EEA States Report PDF
2.63 MB
12/12/2019 ESMA70-156-2005 MAR Article 33 Report on Sanctions Report PDF
352.9 KB
24/09/2020 ESMA32-384-4852 Prospectus Activity Report 2019 Report PDF
406.85 KB
01/04/2016 2016/419 Q&A Market Abuse Directive Q&A PDF
175.08 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
17/02/2020 ESMA33-5-87 Q&A on the Implementation of the Regulation (EU) No 462 2013 On CRA Q&A PDF
401.67 KB
29/03/2019 ESMA70-145-111 Q&A on the Market Abuse Regulation , Q&A PDF
400.21 KB

The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework

The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.

18/02/2020 ESMA31-62-1258 Q&As on the Prospectus Regulation Q&A PDF
535.12 KB