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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|03/01/2013||2012/875||Report to the European Parliament, the Council and the Commission on the budgetary impli-cations of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps||Short Selling||Final Report||PDF
|01/02/2013||2013/158||Guidelines on the exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps||Short Selling||Final Report||PDF
|18/12/2015||2015/1887||Follow-up report on the development of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis||Corporate Finance, Corporate Governance||Final Report||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.
|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
|05/04/2017||ESMA31-54-435||Report on shareholder identification and communication systems||Corporate Finance, Corporate Governance||Report||PDF
|03/07/2017||ESMA31-62-746||EEA prospectus activity in 2016||Corporate Finance, Prospectus||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
|05/03/2018||ESMA70-145-386||Technical Advice on the evaluation of certain elements of the Short Selling Regulation||Short Selling||Final Report||PDF
|15/10/2018||ESMA31-62-1114||2017 Report on EEA prospectus activity||Corporate Finance||Final Report||PDF
|20/12/2019||ESMA80-196-3218||Follow-up Report on fees charged by CRAs and TRs||Credit Rating Agencies, Supervisory convergence, Trade Repositories||Report||PDF
|04/02/2020||ESMA32-67-613||Report on amendments to ESMA Guidelines on enforcement of financial information||Transparency||Final Report||PDF
|30/03/2020||ESMA70-151-2919||Final Report EMIR RTS on Colleges for CCPs||CCP Directorate, Post Trading, Supervisory convergence||Final Report||PDF
|31/03/2020||ESMA43-370-103||Final report on TA on EMIR 2.2 CCP fines||CCP Directorate, Credit Rating Agencies, Post Trading, Trade Repositories||Final Report||PDF
|13/07/2020||ESMA70-151-3186||3rd EU-wide CCP Stress Test Report||CCP Directorate, Post Trading||Report||PDF
|21/01/2021||ESMA70-151-2924||Guidelines on written agreements between members of CCP colleges||CCP Directorate||Final Report||PDF