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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/06/2012 2012/415 Call for Evidence on Empty Voting Transparency, Corporate Disclosure CESR Document PDF
275.66 KB		 ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present.
01/10/2012 2012/641 ESMA approves Axesor S.A. as a credit rating agency Credit Rating Agencies, Press Releases Statement PDF
83.07 KB
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Prospectus, Corporate Disclosure, Transparency CESR Document PDF
265.19 KB
20/03/2013 2013/336 ESMA certifies Kroll Bond Rating Agency to operate in the EU Credit Rating Agencies Statement PDF
76.36 KB
24/04/2014 2013/922 Compliance table- suitability guidelines MiFID - Investor Protection, Guidelines and Technical standards Compliance table PDF
74.33 KB
24/04/2014 2013/923 Compliance table- compliance guidelines Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
100.87 KB
07/11/2014 2014/1345 ESMA certifies HR Ratings de México to operate in the EU Credit Rating Agencies Statement PDF
87.87 KB		 The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of HR Ratings de México, S.A. de C.V. (HR Ratings), a Mexican credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 7 November 2014.
24/11/2014 2014/1399 Public Statement- ESMA approves Moody’s Investors Service EMEA Limited as a credit rating agency Credit Rating Agencies Statement PDF
134.62 KB		 The European Securities and Markets Authority (ESMA) has approved the registration of Moody’s Investors Service EMEA Limited, based in the UK, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 24th November 2014. Moody’s Investors Service EMEA Limited’s registration as a CRA means that its credit ratings can be used for regulatory purposes under EU legislation. This is the seventh entity in the Moody’s Investors Service group to be registered as an EU Registered Credit Rating Agency.
12/12/2014 2014/1486 Public Statement- ESMA certifies Egan-Jones Ratings Co. to operate in the EU Credit Rating Agencies Statement PDF
88.76 KB		 The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of Egan-Jones Ratings Co. (EJR), an U.S. American credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 12 December 2014.EJR is headquartered in Haverford (Pennsylvania, USA) and is subject to registration, supervision and enforcement by the U.S. Securities and Exchange Commission as a “Nationally Recognized Statistical Rating Organization”.
07/05/2014 2014/477 ESMA approves EuroRating as a credit rating agency Credit Rating Agencies Statement PDF
75.01 KB		 The European Securities and Markets Authority (ESMA) has approved the registration of EuroRating Sp. z o.o., based in Poland, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 7 May 2014.
31/07/2014 2014/944 Potential Risks Associated with Investing in Contingent Convertible Instruments Warnings and publications for investors, Innovation and Products Statement PDF
106.1 KB		 The European Securities and Markets Authority (ESMA) is issuing this statement to clarify to institutional investors risks from a newly emerging asset class referred to by most market participants as contingent convertibles instruments (CoCos). If they work as intended in a crisis CoCos will play an important role to inhibit risk transfer from debt holders to taxpayers. They along with standards to improve the quality and quantity of bank capital reflect a considerate response to the former regulatory capital framework. However, it is unclear as to whether investors fully consider the risks of CoCos and correctly factor those risks into their valuation. ESMA believes there are specific risks to CoCos and that investors should take those risks into consideration prior to investing in these instruments.
27/10/2015 2015/1605 Public Statement- INC Rating registration FINAL Credit Rating Agencies Statement PDF
136.3 KB
01/12/2015 2015/1778 Public Statement- Expert RA registration Credit Rating Agencies Statement PDF
123.49 KB
13/07/2016 2016/1122 Feedback Statement on the Discussion Paper on the validation and review of CRAs’ methodologies Credit Rating Agencies Statement PDF
477.03 KB
21/07/2016 2016/1159 Public notice- Infrigement by Fitch Credit Rating Agencies, Press Releases Statement PDF
324.96 KB
30/11/2021 2016/572 Compliance table- Guidelines on key concepts of the AIFMD Fund Management, Guidelines and Technical standards Compliance table PDF
153.05 KB
12/04/2016 2016/602 Compliance table- Guidelines on ETFs and other UCITS issues Fund Management, Guidelines and Technical standards Compliance table PDF
131.17 KB
04/05/2016 2016/675 Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) Fund Management, Guidelines and Technical standards Compliance table PDF
143.93 KB
27/10/2020 ESMA 33-5-857 ESMA Public Statement on CRA Endorsement Oct 2020 Credit Rating Agencies Statement PDF
117.99 KB
15/09/2020 ESMA22-106-2858 SMSG advice on ESG disclosure Securities and Markets Stakeholder Group, Sustainable finance SMSG Advice PDF
251.29 KB

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