ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
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| 08/10/2015 | 2015/MB/49 | Summary of Conclusion 23 June 2015 meeting of the Management Board | Management Board | Summary of Conclusions | PDF 153.07 KB |
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| 30/11/2015 | 2015/MB/60rev | SoC Management Board 23 September 2015 | Management Board | Summary of Conclusions | PDF 64.17 KB |
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| 16/12/2015 | 2015/MB/69 | SoC 4 November meeting of the Management Board | Management Board | Summary of Conclusions | PDF 63.93 KB |
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| 13/07/2016 | 2016/1130 | Final Report on the Market Abuse Regulation Guidelines | Market Abuse, Market Integrity | Report | PDF 852.59 KB |
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| 16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 MB |
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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 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. |
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| 05/04/2016 | 2016/MB/18rev1 | Summary of conclusions MB meeting 26/01/2016 | Management Board | Summary of Conclusions | PDF 207.02 KB |
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| 26/05/2016 | 2016/MB/35rev1 | Summary of conclusions MB meeting 22/03/2016 | Management Board | Summary of Conclusions | PDF 147.69 KB |
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| 29/01/2016 | 2016/MB/3rev1 | SoC Management Board December 2015 | Management Board | Summary of Conclusions | PDF 159.29 KB |
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| 10/11/2016 | 2016/MB/80rev1 | Summary of Conclusions Management Board meeting 27/09/2016 | Management Board | Summary of Conclusions | PDF 328.13 KB |
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| 16/12/2016 | 2016/MB/90rev1 | Summary of Conclusions Management Board meeting 08/11/2016 | Management Board | Summary of Conclusions | PDF 229.26 KB |
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| 30/09/2020 | ESMA 33-9-371 | Final Report Guidelines Internal Control for CRAs | Credit Rating Agencies | Report | PDF 430.48 KB |
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| 02/10/2020 | ESMA20-95-1273 | 2021 Annual Work Programme | Board of Supervisors, Corporate Information, Management Board, Planning reporting budget | Report | PDF 608.58 KB |
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| 16/07/2018 | ESMA22-106-1021 | Summary of Conclusions Management Board meeting 23 May 2018 | Management Board | Summary of Conclusions | PDF 179.28 KB |
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| 27/09/2018 | ESMA22-106-1079 | Summary of Conclusions Management Board meeting 10 July 2018 | Management Board | Summary of Conclusions | PDF 246.68 KB |
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| 07/11/2018 | ESMA22-106-1339 | Summary of Conclusions Management Board meeting 25 September 2018 | Management Board | Summary of Conclusions | PDF 235.38 KB |
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| 06/12/2018 | ESMA22-106-1391 | Summary of Conclusions Management Board meeting 6 November 2018 | Management Board | Summary of Conclusions | PDF 149.09 KB |
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| 22/01/2019 | ESMA22-106-1604 | Summary of Conclusions Management Board meeting 17 December 2018 | Management Board | Summary of Conclusions | PDF 139.16 KB |
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| 13/03/2019 | ESMA22-106-1675 | SoC ESMA Management Board January 2019 | Management Board | Summary of Conclusions | PDF 167.33 KB |