ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 14/04/2011 | 2011/114 | Consultation paper- ESMA´s Technical Advice to the Commission on Fees for CRA Supervision | Credit Rating Agencies | Consultation Paper | PDF 95.52 KB |
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| 26/05/2011 | 2011/155 | Call for evidence- assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC) | Credit Rating Agencies | Consultation Paper | PDF 69.4 KB |
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| 26/05/2011 | 2011/156 | Call for evidence- ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 88.95 KB |
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| 19/09/2011 | 2011/302 | Consultation paper- Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance | Credit Rating Agencies | Consultation Paper | PDF 276.02 KB |
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| 19/09/2011 | 2011/303 | Consultation paper- Regulatory technical standards on the assessment of compliance of credit rating method-ologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 374.84 KB |
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| 19/09/2011 | 2011/304 | Consultation paper- ESMA’s draft 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 1060/2 | Credit Rating Agencies | Consultation Paper | PDF 182.29 KB |
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| 19/09/2011 | 2011/305 | Consultation paper- ESMA’s Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies | Credit Rating Agencies | Consultation Paper | PDF 264 KB |
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| 14/01/2011 | 2011/5 | Call for evidence- criteria for endorsement (Article 21 (2)(a) of the draft amended CRA Regulation) | Credit Rating Agencies | Consultation Paper | PDF 218.02 KB |
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| 18/03/2011 | 2011/97 | Consultation paper- ESMA Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 273.66 KB |
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| 20/12/2012 | 2012/841 | Guidelines and recommendations on the scope of the CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 255.36 KB |
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| 10/07/2013 | 2013/891 | Discussion Paper on CRA3 Implementation | Credit Rating Agencies | Consultation Paper | PDF 639.76 KB |
The Discussion Paper deals with the implementation of the CRA3 Regulation, which entered into force on 20 June 2013.The Regulation, which complements the existing regulatory framework for credit rating agencies (CRAs), requires ESMA to draft Regulatory Technical Standards (RTS) on:• disclosure requirements on structured finance instruments (SFIs);• the European Rating Platform (ERP); and• the periodic reporting on fees charged by CRAs.ESMA is seeking views from all interested parties by 10 October 2013 in order to assist in its preparation of the draft RTS to be published for consultation in early 2014. ESMA must submit the draft RTS to the European Commission by 21 June 2014. | |||
| 11/02/2014 | 2014/150 | Consultation Paper on CRA3 Implementation | Credit Rating Agencies | Consultation Paper | PDF 1.92 MB |
The consultation paper seeks stakeholders’ views on the draft RTS ESMA is required to adopt under the CRA3 Regulation. The input from stakeholders will help ESMA in drafting the final report. Respondents to this consultation are encouraged to provide the relevant data to support their arguments or proposals. Responding to this paper ESMA invites comments on all matters in this paper. Comments are most helpful if they: contain a clear rationale; include quantitative elements to support any concern; and describe any alternatives ESMA should consider, including alternative drafts. ESMA will consider all comments received by 11 April 2014.All contributions should be submitted online on the Consultation Page. Hearing ESMA is seeking input from users, producers of credit ratings, those involved in the issuance of structured finance instruments (issuers, originators and sponsors), anyone interested in the up-to-date individual rating data or in competition in the credit market.The hearing will be held on Friday, 14 March 2014, from 10.00 to 13.00 CET and is open to all. Please register on the Hearing page. | |||
| 16/07/2014 | 2014/845 | Consultation Paper on periodic information to be submitted to ESMA by Credit Rating Agencies | Credit Rating Agencies | Consultation Paper | PDF 367.99 KB |
Summary The European Securities and Markets Authority (ESMA) is consulting on new supervisory guidelines regarding the information that is periodically submitted to ESMA by credit rating agencies. Good quality, relevant and timely data is key to the efficient and effective supervision of the CRA sector and the aim of this consultation paper is to ensure that the information that CRAs are requested to submit supports ESMA's supervisory work in identifying the key risks in the CRA sector. In addition to the periodic reporting to CEREP and SOCRAT, registered CRAs must notify ESMA of changes to their initial conditions for registration and submit periodically to ESMA information in accordance with ESMA’s Guidance on the enforcement practices and activities. CRAs must also submit annually to ESMA information regarding their revenues for the calculation of the supervisory fees and market share. Finally, CRAs submit to ESMA periodically other information that is used for on-going supervisory purposes. The guidelines are proposed under Article 16 of EU No 1095/2010 of the European Parliament and of the Council of 24 November 2010, which enables ESMA to publish guidelines addressed to financial market participants with a view to establishing consistent, efficient and effective supervisory practices. These proposed guidelines will replace CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation (ESMA/2010/944) of 30 August 2010. The consultation paper should be by read by credit rating agencies (as defined in Article 3(1)(b) of the CRA Regulation), companies which have applied for registration or are considering applying for registration, competent authorities, and consumer groups. An open hearing on the issues contained in this paper will be held on 15 October 2014. The closing date for comments is 31 October 2014. | |||
| 17/11/2015 | 2015/1735 | Discussion Paper on the validation and review of Credit Rating Agencies’ methodologies | Credit Rating Agencies | Consultation Paper | PDF 421.25 KB |
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| 03/02/2015 | 2015/233 | Call for Evidence Competition, Choice and Conflicts of Interests in the CRA Industry | Credit Rating Agencies | Consultation Paper | PDF 402.12 KB |
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| 20/03/2015 | 2015/558 | Call for evidence on private and bilateral SFIs | Credit Rating Agencies | Consultation Paper | PDF 118.4 KB |
This call for evidence should be read by all those involved in the EU securitisation markets. It is particularly targeted at the following market participants and the groups and trade associations who represent them: • Issuers, originators and sponsors of Structured Finance Instruments (SFIs);• Investors acting in the securitisation markets;• Market intermediaries other than the issuers, originators and sponsors of SFIs.Responses are most helpful to ESMA when they clearly indicate which question is being answered and provide evidence in support of the response, such as concrete examples of practices experienced, data or costs estimates. Should respondents feel that the distinction provided for by the two proposed categories (issuers vs. investors) is not suitable to their particular situation, ESMA welcomes these contributions in alternative format. ESMA will consider all responses that have been received by 20 May 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. | |||
| 13/07/2016 | 2016/1121 | Consultation Paper on the Guidelines on the validation and review of Credit Rating Agencies’ methodologies | Credit Rating Agencies | Consultation Paper | PDF 536.1 KB |
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| 30/09/2016 | 2016/1409 | Draft RTS and ITS under SFTR and amendments to related EMIR RTS | Post Trading, Securities Financing Transactions | Consultation Paper | PDF 5.63 MB |
The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations Contents Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions. Next Steps ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017. |
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| 25/01/2016 | 2016/96 | Slides from ESMA’s Open Hearing on validation and review of CRAs’ methodologies | Credit Rating Agencies | Consultation Paper | PDF 253.19 KB |
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| 19/12/2016 | 2016/JCESA QA | Questions and Answers on Big Data | Joint Committee | Q&A | PDF 333.65 KB |