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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|12/12/2019||ESMA33-9-340||CRA Market Share Calculation 2019||Credit Rating Agencies||Report||PDF
|22/11/2019||ESMA/2019/VAC19/AD15||Vacancy notice- Independent member of the CCP Supervisory Committee- AD15||Vacancies||Vacancy||PDF
|22/11/2019||ESMA/2019/VAC18/AD16||Vacancy notice- Chair of the CCP Supervisory Committee AD16||Vacancies||Vacancy||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
|20/12/2017||ESMA33-5-209||CRA Market Share Calculation 2017||Credit Rating Agencies||Report||PDF
|06/04/2017||ESMA33-9-158||Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs||Credit Rating Agencies||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|16/12/2016||2016/1662||2016-1662 Competition & Choice in the Credit Rating Industry||Credit Rating Agencies||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.
|24/06/2014||2014/685||Draft Regulatory Technical Standards under the CRA3 Regulation||Credit Rating Agencies||Technical Standards||PDF
|The European Securities and Markets Authority (ESMA) has published its Final Report on draft Regulatory Technical Standards (RTS) required under the Credit Rating Agencies (CRA3) Regulation regarding information on transparency of structured finance instruments, the European Rating Platform and periodic reporting of fees charged by credit rating agencies. The draft RTS, which complement the existing regulatory framework for credit rating agencies (CRAs), cover: • disclosure requirements on structured finance instruments (SFIs); • the European Rating Platform (ERP); and • the periodic reporting on fees charged by CRAs.|
|22/12/2011||2011/464||Final report- Draft RTS on the content and format of ratings data periodic reporting to be requested from credit ratings agencies for the purpose of on-going supervision by ESMA||Credit Rating Agencies||Technical Standards||PDF
|22/12/2011||2011/463||Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies||Credit Rating Agencies||Technical Standards||PDF
|22/12/2011||2011/462||Final Report- Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation||Credit Rating Agencies||Technical Standards||PDF
|22/12/2011||2011/461||Final report- Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009||Credit Rating Agencies||Technical Standards||PDF