ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
22
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
International cooperation X Corporate Finance X Securities Financing Transactions X Joint Committee X Prospectus X Transparency X Planning reporting budget X Trade Repositories X Report X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/06/2013 2013/619 Annex II Comparative table of responses from EEA States Report PDF
2.15 MB
10/06/2013 2013/619 Annex III Individual responses from EEA States Report PDF
2.63 MB
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.

07/04/2016 JC/2016/17 JC Risks and Vulnerabilities Report- Spring 2016 Report PDF
568.47 KB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 , Report PDF
674.63 KB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 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
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
05/10/2017 ESMA20-95-619 2018 Work Programme , Report PDF
533.61 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme , , Report PDF
308.68 KB
02/04/2019 JC 2019 05 Joint ESA report on risks and vulnerabilities in the EU financial system , Report PDF
1.21 MB
06/05/2019 ESMA02-91-1958 Report on budgetary and financial management 2017 , Report PDF
546.02 KB
06/05/2019 ESMA02-1733218672-745 Report on budgetary and financial management 2016 , Report PDF
548.5 KB
06/05/2019 ESMA/2016/990 Report on budgetary and financial management 2015 , Report PDF
544.34 KB
12/09/2019 JC 2019 54 Joint ESA report on risks and vulnerabilities in the EU financial system No2 2019 , Report PDF
1.13 MB
31/10/2019 ESMA31-62-1360 EEA prospectus activity in 2018 Report PDF
394.26 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB