ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
05/11/2020 ESMA74-362-893 QAs on SFTR data reporting Post Trading, Securities Financing Transactions, Trade Repositories Q&A PDF
256.31 KB
02/10/2020 ESMA20-95-1273 2021 Annual Work Programme Board of Supervisors, Corporate Information, Management Board, Planning reporting budget Report PDF
608.58 KB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Credit Rating Agencies Report PDF
430.48 KB
17/02/2020 ESMA33-5-87 Q&A on the Implementation of the Regulation (EU) No 462 2013 On CRA Credit Rating Agencies Q&A PDF
401.67 KB
10/01/2020 ESMA33-9-340 CRA Market Share Calculation 2019 Credit Rating Agencies Report PDF
446.77 KB
09/01/2020 ESMA22-106-1942 Strategic Orientation 2020-22 Board of Supervisors, Corporate Information Report PDF
325.47 KB
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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
11/04/2019 ESMA31-67-127 Question and answers on Transparency Directive (TD) Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency Q&A PDF
352.79 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence Q&A PDF
957.9 KB
04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme Board of Supervisors, Planning reporting budget, Supervisory convergence Report PDF
308.68 KB
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 Corporate Disclosure, IAS Regulation Report PDF
625.18 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
20/12/2017 ESMA33-5-209 CRA Market Share Calculation 2017 Credit Rating Agencies Report PDF
1012.23 KB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 Corporate Finance, Prospectus Report PDF
475.66 KB
06/04/2017 ESMA31-68-147 ESMA response to Capital Markets Union Mid-Term Review Board of Supervisors Report PDF
643.2 KB
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
687.07 KB
  1. ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches and practices among nationally appointed Sectoral Competent Authorities (‘SCAs’).
  1. The purpose of this supervisory briefing is to provide guidance to SCAs in relation to the application of Articles 8c and 8d of the CRA Regulation and promote a common supervisory approach and enforcement of these Articles. In this regard, the Supervisory Briefing includes the following:
  1. A Common Supervisory Approach as to which issuers and related third parties are covered by Article 8c and 8d; and,
  1. A Standard Form for documentation in accordance with article 8d.
  1. The common supervisory approach will assist SCAs as well as issuers and related third parties by clearly establishing who should be prioritised for supervision and enforcement under these Articles.
  1. The Standard Form will assist SCAs by guaranteeing standardised and consistent data across different issuers and related third parties. It will also assist issuers and related third parties by providing clarity as to how they may meet their regulatory obligations under these Articles and simplify their internal processes by removing the need to develop in-house templates for documenting compliance under Article 8d.
  1. The Supervisory Briefing will be published on ESMA’s website and on the websites of the nationally appointed SCAs.
 
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems Corporate Finance, Corporate Governance Report PDF
1.09 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 Credit Rating Agencies, Trade Repositories Report PDF
2.49 MB
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Credit Rating Agencies Report PDF
1.22 MB
12/05/2016 ESA/2016/41 Opinion of the ESAs- ECAI credit assessments Credit Rating Agencies, Joint Committee Opinion PDF
379.79 KB

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