ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/06/2005 05-365 MAD AMPs- Frequently Asked Questions Q&A PDF
55.99 KB
29/05/2007 07-320 Q&A on Best Execution Q&A PDF
578.51 KB
03/11/2009 09-559 Questions and Answers- MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements Q&A PDF
405.18 KB
08/03/2010 10-222 FAQ regarding the EU Regulation Credit Rating Agencies: Common positions agreed by CESR Members Q&A PDF
327.78 KB
19/04/2010 10-293 Question and Answers- Understanding the definition of advice under MiFID Q&A PDF
335.78 KB
06/05/2010 10-591 Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee Q&A PDF
130.84 KB
04/06/2010 10-521 FAQ regarding the EU regulation on Credit Rating Agencies: Common positions agreed by CESR Members Q&A PDF
206.24 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.

03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
18/12/2019 ESMA30-22-762 Report on undue short-term pressure on corporations from the financial sector Report PDF
2.11 MB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
06/02/2020 ESMA22-105-1052 Strategy on Sustainable Finance Report PDF
161.97 KB
04/02/2021 JC 2021 03 Joint ESAs Final Report on RTS under SFDR , Report PDF
2.58 MB
26/07/2021 SFDR EC Q&A EC Q&A on sustainability-related disclosures , Q&A PDF
601.99 KB
30/09/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
356.79 KB
22/10/2021 SGH/1 Consumer testing SGH report Report PDF
2.08 MB
22/10/2021 AFM/1 Consumer testing AFM report Report PDF
2.75 MB
18/11/2021 ESMA70-445-7 Preliminary Report on Emission Allowances , Report PDF
1005.62 KB
30/11/2021 SFDR EC Q&A CORRECTION EC Q&A on sustainability-related disclosures- correction , Q&A PDF
87.19 KB