ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
08/10/2015 2015/MB/49 Summary of Conclusion 23 June 2015 meeting of the Management Board Summary of Conclusions PDF
153.07 KB
30/11/2015 2015/MB/60rev SoC Management Board 23 September 2015 Summary of Conclusions PDF
64.17 KB
16/12/2015 2015/MB/69 SoC 4 November meeting of the Management Board Summary of Conclusions PDF
63.93 KB
29/01/2016 2016/MB/3rev1 SoC Management Board December 2015 Summary of Conclusions PDF
159.29 KB
01/02/2016 2016/174 Final Report on CSDR RTS on settlement discipline Report PDF
1.59 MB
01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Report PDF
1.39 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.

16/02/2016 2016/273 Comply or explain table for G&R on CCP college , Compliance table PDF
129.84 KB
16/02/2016 2016/274 Comply or explain table for G&R on IO arrangements , Compliance table PDF
121.43 KB
16/02/2016 2016/275 Comply or explain table for G&R on PFMIs , Compliance table PDF
121.97 KB
05/04/2016 2016/MB/18rev1 Summary of conclusions MB meeting 26/01/2016 Summary of Conclusions PDF
207.02 KB
26/05/2016 2016/MB/35rev1 Summary of conclusions MB meeting 22/03/2016 Summary of Conclusions PDF
147.69 KB
01/10/2016 MB/2016/56rev1 Summary of Conclusions Management Board Meeting 24/05/2016 Summary of Conclusions PDF
230.75 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
10/11/2016 2016/MB/80rev1 Summary of Conclusions Management Board meeting 27/09/2016 Summary of Conclusions PDF
328.13 KB
16/12/2016 2016/MB/90rev1 Summary of Conclusions Management Board meeting 08/11/2016 Summary of Conclusions PDF
229.26 KB
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Report PDF
1.22 MB
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Report PDF
543.98 KB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Report PDF
602.75 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB

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