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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/09/2015 2015/1463 ESMA Consultation Paper on ESEF , , Consultation Paper PDF
2.34 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.

21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
03/02/2020 ESMA70-156-1757 Consultation Paper- MiFIR report on SI Consultation Paper PDF
825.33 KB
04/02/2020 ESMA70-156-2188 Consultation paper on Review Report Transparency Equity DVC TOS Consultation Paper PDF
4.75 MB
10/03/2020 ESMA70-156-2189 Consultation paper on Review Report on Transparency for Non-equity TOD Consultation Paper PDF
7.93 MB
27/03/2020 ESMA74-362-47 CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT , , Consultation Paper PDF
2.66 MB
09/07/2020 ESMA74-362-608 Guidelines on calculation of positions in SFTs by Trade Repositories , Consultation Paper PDF
799.81 KB
25/09/2020 ESMA70-156-2013 Consultation Paper on the functioning of Organised Trading Facilities , Consultation Paper PDF
673.72 KB
20/11/2020 ESMA74-362-932 CP on DRSP criteria for derogation , , Consultation Paper PDF
384.54 KB
20/11/2020 ESMA74-362-837 CP on DRSP fees , , Consultation Paper PDF
526.22 KB
18/12/2020 ESMA-70-156-2368 MiFID II Consultation Paper on Algorithmic Trading , Consultation Paper PDF
1.64 MB