ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
49
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Audit X Trade Repositories X CCP Directorate X Joint Committee X Trading X Benchmarks X Speech X Q&A X Report X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
14/09/2015 2015/1380 Statement by Steven Maijoor Chair ESAs Joint Committee- ECON Hearing 14 September 2015 , Speech PDF
100.82 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.

07/04/2016 JC/2016/17 JC Risks and Vulnerabilities Report- Spring 2016 Report PDF
568.47 KB
19/12/2016 2016/JCESA QA Questions and Answers on Big Data Q&A PDF
333.65 KB
23/01/2017 ESMA71-844457584-329 ESMA Chair keynote address at PRIME Finance Conference , , Speech PDF
281.45 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
08/02/2017 ESMA71-844457584-346 Review of the European Supervisory Authorities: Opportunities to ensure a safe and sound financial system , Speech PDF
187.98 KB
29/03/2017 ESMA70-145-48 Draft technical standards under the Benchmarks Regulation Report PDF
1.75 MB
02/06/2017 ESMA70-143-5 Methodological framework for mandatory benchmarks contributions Report PDF
282.75 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
31/05/2018 ESMA71-99-996 Towards benchmark stability and integrity Speech PDF
164.02 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
02/04/2019 JC 2019 05 Joint ESA report on risks and vulnerabilities in the EU financial system , Report PDF
1.21 MB
16/05/2019 ESMA34-45-712 Verena Ross- ICMA 2019 conference speech , , , Speech PDF
134.24 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
25/09/2019 ESMA71-319-141 Introductory remarks- Second roundtable on euro risk-free rates Speech PDF
108.47 KB
29/10/2019 ESMA71-319-150 Conference on the adaptation of interest rate benchmarks to the new European regulation on benchmarks- Steven Maijoor ESMA Chair at CNMV Conference , Speech PDF
109.75 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
14/02/2020 ESMA70-156-1778 ESMA’s response to the Commission’s consultation on the BMR review Report PDF
314.12 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