ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/07/2020 ESMA70-151-3186 3rd EU-wide CCP Stress Test Report , Report PDF
5.94 MB
08/04/2021 ESMA93-373-39 Annual peer review of EU CCP supervision Report PDF
449.37 KB
15/11/2018 ESMA70-145-1081 Annual report on administrative and criminal sanctions and other administrative measures under MAR , Annual Report PDF
158.47 KB
17/12/2021 ESMA91-372-1945 Assessment Report under Article 25(2c) of EMIR (Part 1 of 2) , , Report PDF
13.38 MB
17/12/2021 ESMA91-372-1945 Assessment Report under Article 25(2c) of EMIR (Part 2 of 2) , , Report PDF
13.18 MB
14/05/2019 FISMA.C.3/IK/TL/Ares(2019)2120576 EC Art 38 MAR mandate , Letter PDF
187.62 KB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs , Report PDF
1.4 MB
22/11/2011 2011/219 ESMA comment letter on the EU Commission Green Paper- The EU Corporate Governance Framework , Letter PDF
496.17 KB
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 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.

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
05/04/2022 ESMA91-372-2125 Letter Chair ESMA response to EC consultation on targeted EMIR Review , Letter PDF
309.82 KB
30/06/2022 ESMA22-106-4013 Letter from ESMA Chair to EC- Prioritisation of 2022 ESMA deliverables , , , , , Letter PDF
136.79 KB
09/07/2020 ESMA70-151-3192 Letter to EC re EMIR 2.2 Delegated Acts on tiering criteria, comparable compliance and fees for third-country CCPs , Letter PDF
94.41 KB
26/07/2016 2016/1164 Letter to the Commissioner Dombrovskis on MAR ITS , Letter PDF
205.33 KB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Report PDF
611.48 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices , Report PDF
1.68 MB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
1.09 MB
18/01/2022 ESMA70-156-4859 Report on the application of accepted market practices_2021 Report PDF
1.63 MB