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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
03/05/2019 ESMA35-43-1737 Final report on integrating sustainability risks and factors in the MIFID II , , Final Report PDF
371.73 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
06/01/2020 ESMA70-151-2703 Final Report- Guidelines on Reporting Under SFTR Final Report PDF
1.38 MB
30/03/2020 ESMA70-151-2919 Final Report EMIR RTS on Colleges for CCPs , , Final Report PDF
273.08 KB
31/03/2020 ESMA43-370-103 Final report on TA on EMIR 2.2 CCP fines , , , Final Report PDF
478.11 KB
02/04/2020 ESMA50-165-1107 ESMA Risk Dashboard Risk up-date , Report PDF
221.33 KB
04/05/2020 ESAs 2020 09 EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework , , Report PDF
338.72 KB
13/05/2020 ESMA80-189-6982 EU CLO credit ratings – an overview of Credit Rating Agencies practices and challenges , Final Report PDF
436.43 KB
13/07/2020 ESMA70-151-3186 3rd EU-wide CCP Stress Test Report , Report PDF
5.94 MB
21/01/2021 ESMA70-151-2924 Guidelines on written agreements between members of CCP colleges Final Report PDF
347.58 KB
24/02/2021 ESMA70-151-3370 Final report on GL on Review_Evaluation EU CCP NCAs EMIR Art 21 Final Report PDF
428.18 KB
29/03/2021 ESMA70-151-2838 Guidelines on Reporting Under SFTR Final Report PDF
3.21 MB
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06/04/2021 ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories , , Final Report PDF
221.11 KB
08/04/2021 ESMA70-151-3373 Final Report RTS Article 15 and 49 EMIR Final Report PDF
464.15 KB
08/04/2021 ESMA93-373-39 Annual peer review of EU CCP supervision Report PDF
449.37 KB
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 , , , Final Report PDF
791.94 KB
25/05/2021 ESMA74-362-1986 Final report AND Guidelines on calculation of positions in SFTs by Trade Repositories , , Final Report PDF
629.81 KB