ESMA LIBRARY
REFINE YOUR SEARCH
Sections
- (-) Remove Trade Repositories filter Trade Repositories
- (-) Remove Securities and Markets Stakeholder Group filter Securities and Markets Stakeholder Group
- (-) Remove Audit filter Audit
- Speeches (146) Apply Speeches filter
- Post Trading (59) Apply Post Trading filter
- MiFID - Secondary Markets (49) Apply MiFID - Secondary Markets filter
- Corporate Disclosure (46) Apply Corporate Disclosure filter
- Fund Management (46) Apply Fund Management filter
- Risk Analysis & Economics - Markets Infrastructure Investors (40) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- CESR Archive (39) Apply CESR Archive filter
- MiFID - Investor Protection (39) Apply MiFID - Investor Protection filter
- Corporate Information (37) Apply Corporate Information filter
- Supervisory convergence (36) Apply Supervisory convergence filter
- Brexit (35) Apply Brexit filter
- IFRS Supervisory Convergence (35) Apply IFRS Supervisory Convergence filter
- Innovation and Products (31) Apply Innovation and Products filter
- Credit Rating Agencies (28) Apply Credit Rating Agencies filter
- Board of Supervisors (24) Apply Board of Supervisors filter
- COVID-19 (23) Apply COVID-19 filter
- Joint Committee (21) Apply Joint Committee filter
- Market Integrity (19) Apply Market Integrity filter
- Press Releases (19) Apply Press Releases filter
- Benchmarks (17) Apply Benchmarks filter
- Market Abuse (11) Apply Market Abuse filter
- Prospectus (11) Apply Prospectus filter
- Sustainable finance (9) Apply Sustainable finance filter
- MiFID II: Transparency Calculations and DVC (8) Apply MiFID II: Transparency Calculations and DVC filter
- Corporate Finance (7) Apply Corporate Finance filter
- Planning reporting budget (7) Apply Planning reporting budget filter
- Securitisation (7) Apply Securitisation filter
- Short Selling (7) Apply Short Selling filter
- Corporate Governance (6) Apply Corporate Governance filter
- Securities Financing Transactions (6) Apply Securities Financing Transactions filter
- IAS Regulation (5) Apply IAS Regulation filter
- Warnings and publications for investors (5) Apply Warnings and publications for investors filter
- Guidelines and Technical standards (4) Apply Guidelines and Technical standards filter
- Transparency (4) Apply Transparency filter
- CCP Directorate (3) Apply CCP Directorate filter
- International cooperation (3) Apply International cooperation filter
- Management Board (3) Apply Management Board filter
- Trading (3) Apply Trading filter
- European Single Electronic Format (2) Apply European Single Electronic Format filter
- Crowdfunding (1) Apply Crowdfunding filter
Type of document
- (-) Remove Report filter Report
- (-) Remove Statement filter Statement
- (-) Remove Q&A filter Q&A
- SMSG Advice (77) Apply SMSG Advice filter
- Reference (55) Apply Reference filter
- Summary of Conclusions (36) Apply Summary of Conclusions filter
- Letter (26) Apply Letter filter
- Press Release (20) Apply Press Release filter
- Decision (4) Apply Decision filter
- Consultation Paper (2) Apply Consultation Paper filter
- Final Report (2) Apply Final Report filter
- Opinion (2) Apply Opinion filter
- Annual Report (1) Apply Annual Report filter
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. | Credit Rating Agencies, Trade Repositories | 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. |
|||
01/07/2016 | 2016/SMSG/009 | SMSG End of Term Report 2016 | Securities and Markets Stakeholder Group | Report | PDF 1.55 MB |
||||
10/11/2016 | 2016-1563 | Issues for consideration in implementing IFRS 9: Financial Instruments | Audit, Corporate Disclosure, IFRS Supervisory Convergence | Statement | PDF 256.22 KB |
||||
03/02/2017 | ESMA80-1467488426-27 | Supervision Annual Report 2016 and Work Programme 2017 | Credit Rating Agencies, Trade Repositories | Report | PDF 2.49 MB |
||||
07/03/2017 | ESMA22-106-141 | Joint Statement of the SMSG and the BSG on the Draft Guidelines on the Assessment of the Suitability | Joint Committee, Securities and Markets Stakeholder Group | Statement | PDF 91.5 KB |
Joint Statement of the SMSG and the BSG on the Draft Guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders |
|||
31/05/2017 | ESMA71-99-470 | ESMA registers Bloomberg Trade Repository Limited as a trade repository | Press Releases, Trade Repositories | Statement | PDF 141.48 KB |
The European Securities and Markets Authority (ESMA), the EU supervisor of trade repositories (TRs), has registered Bloomberg Trade Repository Limited as a TR under the European Market Infrastructure Regulation (EMIR), with effect from 7 June 2017. Bloomberg Trade Repository Limited is based in the United Kingdom and covers the following derivative asset classes: commodities, credit, foreign exchange, equities and interest rates. |
|||
04/12/2017 | ESMA22-106-535 | SMSG Report on Access to public capital markets for SMEs | Securities and Markets Stakeholder Group | Report | PDF 1.11 MB |
||||
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 1.14 MB |
||||
09/11/2018 | ESMA80-187-149 | Public statement- Contingency plans of Credit Rating Agencies and Trade Repositories in the context of the United Kingdom withdrawing from the European Union | Brexit, Credit Rating Agencies, Trade Repositories | Statement | PDF 137.78 KB |
||||
03/01/2019 | ESMA22-16-1603 | SMSG End of Term Report 2018 | Securities and Markets Stakeholder Group | Report | PDF 649.37 KB |
||||
25/03/2019 | ESMA22-106-1684 | SMSG advice on draft RTS amending the PRIIPs Delegated Regulation | Securities and Markets Stakeholder Group | Report | PDF 96.91 KB |
||||
26/03/2019 | ESMA22-106-1683 | SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD | Securities and Markets Stakeholder Group | Report | PDF 142.78 KB |
||||
28/03/2019 | ESMA90-1-83 | Brexit Update March 2019 | Brexit, Credit Rating Agencies, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Post Trading, Trade Repositories | Statement | PDF 121.13 KB |
||||
01/04/2019 | esma22-106-1710 | smsg_advice_on_stor_peer_review | Securities and Markets Stakeholder Group | Report | PDF 189.48 KB |
||||
01/04/2019 | ESMA22-106-1731 | SMSG Credit Ratings Disclosures advice | Securities and Markets Stakeholder Group | Report | PDF 209.66 KB |
||||
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 606.45 KB |
||||
06/05/2020 | ESMA71-99-1321 | ESMA registers SFTR TRs | Press Releases, Securities Financing Transactions, Trade Repositories | Statement | PDF 95.4 KB |
||||
17/07/2020 | ESMA22-105-2740 | SMSG- End of Term Report 2020 | Securities and Markets Stakeholder Group | Report | PDF 723.28 KB |
||||
17/07/2020 | ESMA22-106-2738 | Own Initiative SMSG Report II on Covid-19 related Issues | Securities and Markets Stakeholder Group | Report | PDF 183.42 KB |
||||
05/11/2020 | ESMA74-362-893 | QAs on SFTR data reporting | Post Trading, Securities Financing Transactions, Trade Repositories | Q&A | PDF 256.31 KB |