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|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.
|11/01/2017||ESMA42-1643088512-2962||ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution||MiFID - Investor Protection, MiFID - Secondary Markets, Supervisory convergence||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|05/10/2017||ESMA20-95-619||2018 Work Programme||Corporate Information, Planning reporting budget||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
|01/06/2018||ESMA50-162-214||Product Intervention Analysis Binary Options||MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|01/06/2018||ESMA50-162-215||Product Intervention Analysis CFDs||MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|24/07/2018||ESMA42-111-4653||Follow-up Report to the Peer Review on MiFID Suitability Requirements||MiFID - Investor Protection||Report||PDF
|04/02/2019||ESMA20-95-1105||2019 Regulatory Work Programme||Board of Supervisors, Planning reporting budget, Supervisory convergence||Report||PDF
|06/05/2019||ESMA02-91-1958||Report on budgetary and financial management 2017||Corporate Information, Planning reporting budget||Report||PDF
|06/05/2019||ESMA02-1733218672-745||Report on budgetary and financial management 2016||Corporate Information, Planning reporting budget||Report||PDF
|06/05/2019||ESMA/2016/990||Report on budgetary and financial management 2015||Corporate Information, Planning reporting budget||Report||PDF
|17/07/2019||ESMA35-36-1711||Report on sanctions and measures imposed under MiFID II in 2018||MiFID - Investor Protection||Report||PDF
|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
|09/01/2020||ESMA22-106-1942||Strategic Orientation 2020-22||Board of Supervisors, Corporate Information||Report||PDF
|06/04/2020||ESMA 50-165-1098||ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020||Fund Management, MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF