REFINE YOUR SEARCH
Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|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
|09/12/2019||ESMA70-151-2820||Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR||Post Trading, Supervisory convergence||Report||PDF
|17/10/2019||ESMA42-111-4895||EMIR data quality peer review||Post Trading, Supervisory convergence||Report||PDF
|22/07/2019||ESMA70-151-1952||2018 CCP Peer Review Report||Post Trading||Report||PDF
|13/06/2018||ESMA70-151-1400||Report on supervisory measures and penalties under EMIR||Post Trading||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
|31/03/2017||ESMA70-708036281-82||Final Report on Technical standards under SFTR and certain amendments to EMIR||Post Trading||Report||PDF
|23/03/2017||ESMA70-708036281-7||Final Report on CSDR Guidelines on Access by a CSD to the Transaction Feeds of a CCP or of a Trading Venue under CSDR||Post Trading||Report||PDF
|23/03/2017||ESMA70-708036281-8||Final Report on guidelines on participant default rules and procedures under CSDR||Post Trading||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|18/01/2017||ESAS-2017-82||Report on the functionning of the CRR with the related obligations under EMIR||Post Trading||Report||PDF
|22/12/2016||2016/1683||Peer Review on CCPs' Margin and Collateral requirements||Post Trading||Report||PDF
|21/12/2016||2016/1668||2016-1668 ESMA feedback statement on ESEF||Corporate Disclosure, European Single Electronic Format, Transparency||Report||PDF
|04/10/2016||2016/1415||ESMA reporton on securities financing transactions and leverage in the EU||Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors||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.
|01/02/2016||2016/174/Annex IV||Impact assessment on CSDR RTS on settlement discipline||Post Trading||Report||PDF
|01/02/2016||2016/174||Final Report on CSDR RTS on settlement discipline||Post Trading||Report||PDF