ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/12/2011 2011/461 Final report- 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 1060/2009 Technical Standards PDF
555.25 KB
22/12/2011 2011/462 Final Report- Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation Technical Standards PDF
445.83 KB
22/12/2011 2011/463 Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies Technical Standards PDF
444.79 KB
22/12/2011 2011/464 Final report- Draft RTS on the content and format of ratings data periodic reporting to be requested from credit ratings agencies for the purpose of on-going supervision by ESMA Technical Standards PDF
485.78 KB
24/10/2012 JC/CP/2012/01 Feedback statement ESA feedback statement on the Joint CP on Financial Conglomerates CESR Document PDF
82.95 KB
29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
18/12/2013 ESA/2013/035 Joint Opinion-Review on the functioning of the European Systemic Risk Board (ESRB) Opinion PDF
142.63 KB
Joint Opinion-Review on the functioning of the European Systemic Risk Board (ESRB)
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 KB
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
100.87 KB
24/06/2014 2014/685 Draft Regulatory Technical Standards under the CRA3 Regulation Technical Standards PDF
2.39 MB
The European Securities and Markets Authority (ESMA) has published its Final Report on draft Regulatory Technical Standards (RTS) required under the Credit Rating Agencies (CRA3) Regulation regarding information on transparency of structured finance instruments, the European Rating Platform and periodic reporting of fees charged by credit rating agencies. The draft RTS, which complement the existing regulatory framework for credit rating agencies (CRAs), cover: • disclosure requirements on structured finance instruments (SFIs); • the European Rating Platform (ERP); and • the periodic reporting on fees charged by CRAs.
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
187.15 KB

The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.

16/02/2016 ESMA70-151-3417 Comply or explain table for G&R on CCP college , Compliance table PDF
141.53 KB
16/02/2016 ESMA70-151-3418 Comply or explain table for G&R on IO arrangements , Compliance table PDF
141.37 KB
16/02/2016 ESMA70-151-3419 Comply or explain table for G&R on PFMIs , Compliance table PDF
141.61 KB
04/05/2016 2016/675 Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) , Compliance table PDF
143.93 KB
12/05/2016 ESA/2016/41 Opinion of the ESAs- ECAI credit assessments , Opinion PDF
379.79 KB
19/12/2016 2016/JCESA QA Questions and Answers on Big Data Q&A PDF
333.65 KB
31/05/2017 ESMA42-110-433 General Principles to support supervisory convergence in the context of the UK withdrawing from the EU , Opinion PDF
182.68 KB

The European Securities and Markets Authority’s (ESMA) competence to deliver an opin-ion is based on Article 29(1)(a) of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (ESMA Regulation).  In accordance with Article 44(1) of the ESMA Regulation, the Board of Supervisors has adopted this opinion.

13/07/2017 ESMA35-45-344 Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
246.6 KB

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