ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Report PDF
1.22 MB
20/12/2017 ESMA33-5-209 CRA Market Share Calculation 2017 Report PDF
1012.23 KB
10/01/2020 ESMA33-9-340 CRA Market Share Calculation 2019 Report PDF
446.77 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
13/04/2021 ESMA80-195-858 ESMA response to ESRB letter on procyclicality of credit ratings Letter PDF
180.39 KB
26/04/2016 2016/648 ESMA response to the Commission Green Paper on retail financial services Letter PDF
197.44 KB
13/04/2018 ESMA40-133-624 ESMA's response to WP29 Consultation on Guidelines on Derogations , Letter PDF
428.49 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 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.

30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Report PDF
430.48 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
24/07/2018 ESMA42-111-4653 Follow-up Report to the Peer Review on MiFID Suitability Requirements Report PDF
435.05 KB
01/10/2018 ESMA35-36-1442 IPISC UK withdrawal from the EU Letter Letter PDF
234.85 KB
05/09/2018 ESMA70-151-1651 Annex 1 Letter from European Commission on SFTR draft RTS Letter PDF
159.5 KB
17/11/2015 2015/1513 Letter SM to EC- implementation timeline MiFID MiFIR Letter PDF
85.8 KB
24/06/2014 2014/686 Letter to Commissioner Barnier re draft Regulatory Technical Standards under the CRA3 Regulation Letter PDF
25.37 KB
09/07/2021 ESMA35-42-1186 Letter to Commissioner McGuinness- European Crowdfunding Service Providers for Business Letter PDF
253.15 KB
30/01/2017 ESMA70-708036281-19 Letter to European Commission- EMIR Review and Sanctioning Powers , Letter PDF
265.24 KB
28/01/2014 2013/1941 Letter to Jonathan Faull (EC) regarding draft technical standards , Letter PDF
44.25 KB
01/10/2018 ESMA70-156-236 Letter to the Commission on MiFID II third country regime Letter PDF
152.92 KB