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|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
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||Joint Committee||Report||PDF
|06/06/2016||2016/743||Multi-venue trading increases liquidity in EU equity markets despite duplicate orders||Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|21/12/2016||2016/1668||2016-1668 ESMA feedback statement on ESEF||Corporate Disclosure, European Single Electronic Format, Transparency||Report||PDF
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|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
|07/01/2019||JC 2018 74||Joint ESA report on Regulatory sandboxes and innovation hubs||Innovation and Products, Joint Committee||Report||PDF
|02/04/2019||JC 2019 05||Joint ESA report on risks and vulnerabilities in the EU financial system||Joint Committee, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|12/09/2019||JC 2019 54||Joint ESA report on risks and vulnerabilities in the EU financial system No2 2019||Joint Committee, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|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
|04/05/2020||ESAs 2020 09||EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework||COVID-19, Joint Committee, Post Trading||Report||PDF
|21/07/2020||JC 2020 66 draft||Draft Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID (NOT APPROVED)||Fund Management, Joint Committee||Report||PDF
|22/09/2020||JC 2020 67||Joint ESA report on risks and vulnerabilities in the EU financial system 2020||Joint Committee, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|04/02/2021||JC 2021 03||Joint ESAs Final Report on RTS under SFDR||Joint Committee, Sustainable finance||Report||PDF
|31/03/2021||JC 2021 24||Joint report on the assessment of the application of the Guidelines on complaints-handling||Joint Committee||Report||PDF
|31/03/2021||JC 2021 27||JOINT ESA REPORT ON RISKS AND VULNERABILITIES IN THE EU FINANCIAL SYSTEM No 1 2021||Joint Committee, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|17/05/2021||JC 2021 31||JC Report on the implementation and functioning of the Securitisation Regulation||Joint Committee, Securitisation||Report||PDF