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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
1.09 MB
30/03/2021 ESMA32-67-716 Report on IFRS 10-11-12 , , Report PDF
480.12 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices , Report PDF
1.68 MB
28/05/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
349.73 KB
06/08/2021 ESMA70-145-111 Q&A on the Market Abuse Regulation , Q&A PDF
475.69 KB

The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework

The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.

11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
28/05/2021 ESMA70-1861941480-52 Q&A on EMIR implementation , Q&A PDF
1.39 MB
01/04/2016 2016/419 Q&A Market Abuse Directive Q&A PDF
175.08 KB
12/04/2011 2011/116 Annex 2 Progress report on equivalence of Indian Accounting Standards with IFRS Report PDF
399.46 KB
12/12/2019 ESMA70-156-2005 MAR Article 33 Report on Sanctions Report PDF
352.9 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 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.

17/07/2018 ESMA32-51-522 ESMA response to the European Commission consultation on the Fitness Check on the EU Framework for public reporting by companies , Report PDF
625.18 KB
22/12/2020 ESMA70-156-3782 ESMA report on application of AMP 2020 Report PDF
1.38 MB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs , Report PDF
1.4 MB
21/12/2020 ESMA70-156-3537 Annual Report on MAR administrative and criminal sanctions 2020 Report PDF
291.51 KB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB