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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 , Report PDF
2.49 MB
24/06/2014 2014/686 Letter to Commissioner Barnier re draft Regulatory Technical Standards under the CRA3 Regulation Letter PDF
25.37 KB
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Q&A PDF
157.73 KB
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Report PDF
1.22 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.

16/12/2020 ESA 2020 28 ESAs Letter to IFRS Foundation consultation sustainability reporting Letter PDF
155.56 KB
09/02/2021 ESAs 2021 07 ESAs letter on DORA , Letter PDF
142.91 KB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Report PDF
430.48 KB
10/04/2019 ESMA 50-164-2193 Letter to EC- FinTech action plan- ICT cybersecurity and outsourcing Letter PDF
58.38 KB
06/04/2020 ESMA 50-165-1098 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 , , Report PDF
4.08 MB
14/04/2021 ESMA 50-165-1710 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2021 , , Report PDF
2.54 MB
29/09/2020 ESMA WP-2020-3 ESMA working paper on DVC mechanism and impact on EU equity markets , Report PDF
535.76 KB
18/02/2021 ESMA WP-2021-03 ESMA working paper on MiFID II research unbundling Report PDF
1.18 MB

Presentation given during the Webinar organised on 25 February 2021

ESMA50-165-1308_RESEARCH_UNBUNDLING_PRESENTATION.PDF (europa.eu)

05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
1.09 MB
31/01/2020 ESMA31-59-1451 Letter to EC concerning ESMA's techical advice on general equivalence criteria for prospectuses Letter PDF
117.07 KB
13/07/2018 ESMA31-59-995 ESMA letter to EC on PR Level 1 Letter PDF
213.67 KB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
352.79 KB
16/02/2021 ESMA32-339-151 Letter IFRS IC TLTRO III Letter PDF
436.9 KB