ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
19
REFINE YOUR SEARCH
Sections
- (-) Remove Market Abuse filter Market Abuse
- (-) Remove Trade Repositories filter Trade Repositories
- (-) Remove Short Selling filter Short Selling
- CESR Archive (126) Apply CESR Archive filter
- Board of Supervisors (99) Apply Board of Supervisors filter
- Corporate Information (87) Apply Corporate Information filter
- Management Board (54) Apply Management Board filter
- Securities and Markets Stakeholder Group (52) Apply Securities and Markets Stakeholder Group filter
- Risk Analysis & Economics - Markets Infrastructure Investors (50) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Guidelines and Technical standards (47) Apply Guidelines and Technical standards filter
- Fund Management (36) Apply Fund Management filter
- Post Trading (35) Apply Post Trading filter
- Joint Committee (34) Apply Joint Committee filter
- MiFID - Investor Protection (24) Apply MiFID - Investor Protection filter
- IFRS Supervisory Convergence (23) Apply IFRS Supervisory Convergence filter
- Supervisory convergence (22) Apply Supervisory convergence filter
- Corporate Disclosure (20) Apply Corporate Disclosure filter
- MiFID - Secondary Markets (20) Apply MiFID - Secondary Markets filter
- Planning reporting budget (17) Apply Planning reporting budget filter
- Credit Rating Agencies (16) Apply Credit Rating Agencies filter
- Innovation and Products (14) Apply Innovation and Products filter
- Prospectus (11) Apply Prospectus filter
- Benchmarks (8) Apply Benchmarks filter
- Market Integrity (8) Apply Market Integrity filter
- Market data (7) Apply Market data filter
- Sustainable finance (7) Apply Sustainable finance filter
- CCP Directorate (6) Apply CCP Directorate filter
- Securitisation (5) Apply Securitisation filter
- Transparency (4) Apply Transparency filter
- Corporate Finance (3) Apply Corporate Finance filter
- IAS Regulation (3) Apply IAS Regulation filter
- Press Releases (3) Apply Press Releases filter
- COVID-19 (2) Apply COVID-19 filter
- Vacancies (2) Apply Vacancies filter
- Corporate Governance (1) Apply Corporate Governance filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- Securities Financing Transactions (1) Apply Securities Financing Transactions filter
Type of document
- (-) Remove Report filter Report
- (-) Remove Compliance table filter Compliance table
- (-) Remove Annual Report filter Annual Report
- (-) Remove CESR Document filter CESR Document
- Reference (43) Apply Reference filter
- Opinion (41) Apply Opinion filter
- Guidelines & Recommendations (30) Apply Guidelines & Recommendations filter
- Press Release (26) Apply Press Release filter
- Final Report (24) Apply Final Report filter
- Consultation Paper (22) Apply Consultation Paper filter
- Decision (11) Apply Decision filter
- Statement (11) Apply Statement filter
- Q&A (6) Apply Q&A filter
- Speech (6) Apply Speech filter
- Letter (4) Apply Letter filter
- Technical Advice (3) Apply Technical Advice filter
- Technical Standards (2) Apply Technical Standards filter
- SMSG Advice (1) Apply SMSG Advice filter
Your filters
Vacancy X Summary of Conclusions X Annual Report X Compliance table X CESR Document X Report X Trade Repositories X Market Abuse X Short Selling X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 09/03/2020 | ESMA80-199-332 | ESMA Supervision- Annual Report 2019 and Work Programme 2020 | Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories | Annual Report | PDF 825.72 KB |
||||
| 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 1.14 MB |
||||
| 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 606.45 KB |
||||
| 04/12/2019 | ESMA70-21038340-46 | Compliance table for the Guidelines on market making activities under the Short Selling Regulation | Guidelines and Technical standards, Market Integrity, Short Selling | Compliance table | PDF 267.48 KB |
||||
| 23/11/2021 | ESMA70-156-4673 | Annual Report on MAR administrative and criminal sanctions 2021 | Market Abuse | Annual Report | PDF 338.34 KB |
||||
| 22/12/2020 | ESMA70-156-3782 | ESMA report on application of AMP 2020 | Market Abuse | Report | PDF 1.38 MB |
||||
| 21/12/2020 | ESMA70-156-3537 | Annual Report on MAR administrative and criminal sanctions 2020 | Market Abuse | Report | PDF 291.51 KB |
||||
| 12/12/2019 | ESMA70-156-2005 | MAR Article 33 Report on Sanctions | Market Abuse | Report | PDF 352.9 KB |
||||
| 13/12/2019 | ESMA70-156-1823 | ESMA 2019 report on the application of AMPs | Market Abuse, Market Integrity | Report | PDF 1.4 MB |
||||
| 08/03/2021 | ESMA70-151-2536 | compliance table Guidelines APC Measures | Guidelines and Technical standards, Trade Repositories | Compliance table | PDF 141.15 KB |
||||
| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 177.87 KB |
||||
| 13/02/2020 | ESMA70-145-66 | Compliance table regarding MAR guidelines for persons receiving market soundings | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 138.03 KB |
||||
| 04/02/2019 | ESMA70-145-153 | Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | Guidelines and Technical standards, Market Abuse, Market Integrity | Compliance table | PDF 179.29 KB |
||||
| 16/01/2019 | ESMA70-145-1184 | Report Application Accepted Market Practices | Market Abuse, Market Integrity | Report | PDF 1.68 MB |
||||
| 15/11/2018 | ESMA70-145-1081 | Annual report on administrative and criminal sanctions and other administrative measures under MAR | Market Abuse, Market Integrity | Annual Report | PDF 158.47 KB |
||||
| 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. |
|||
| 13/07/2016 | 2016/1130 | Final Report on the Market Abuse Regulation Guidelines | Market Abuse, Market Integrity | Report | PDF 852.59 KB |
||||
| 15/05/2009 | 09-220 | Feedback statement- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | Market Abuse | CESR Document | PDF 238.16 KB |
||||
| 03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |