ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
127
REFINE YOUR SEARCH
Sections
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove Securities Financing Transactions filter Securities Financing Transactions
- (-) Remove Brexit filter Brexit
- Guidelines and Technical standards (563) Apply Guidelines and Technical standards filter
- CESR Archive (190) Apply CESR Archive filter
- Fund Management (152) Apply Fund Management filter
- MiFID - Investor Protection (113) Apply MiFID - Investor Protection filter
- Joint Committee (107) Apply Joint Committee filter
- Post Trading (77) Apply Post Trading filter
- Short Selling (31) Apply Short Selling filter
- CCP Directorate (24) Apply CCP Directorate filter
- Corporate Disclosure (23) Apply Corporate Disclosure filter
- Market Abuse (20) Apply Market Abuse filter
- Prospectus (18) Apply Prospectus filter
- Supervisory convergence (16) Apply Supervisory convergence filter
- Benchmarks (13) Apply Benchmarks filter
- Market Integrity (12) Apply Market Integrity filter
- Securitisation (11) Apply Securitisation filter
- Trading (9) Apply Trading filter
- Innovation and Products (7) Apply Innovation and Products filter
- Trade Repositories (7) Apply Trade Repositories filter
- Market data (6) Apply Market data filter
- Sustainable finance (6) Apply Sustainable finance filter
- Transparency (6) Apply Transparency filter
- Corporate Finance (4) Apply Corporate Finance filter
- Corporate Governance (4) Apply Corporate Governance filter
- IFRS Supervisory Convergence (4) Apply IFRS Supervisory Convergence filter
- Corporate Information (2) Apply Corporate Information filter
- Crowdfunding (2) Apply Crowdfunding filter
- Risk Analysis & Economics - Markets Infrastructure Investors (2) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- COVID-19 (1) Apply COVID-19 filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- International cooperation (1) Apply International cooperation filter
- MiFID II: Transparency Calculations and DVC (1) Apply MiFID II: Transparency Calculations and DVC filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Guidelines & Recommendations filter Guidelines & Recommendations
- (-) Remove Q&A filter Q&A
- Reference (138) Apply Reference filter
- Press Release (95) Apply Press Release filter
- Opinion (92) Apply Opinion filter
- Statement (62) Apply Statement filter
- Final Report (47) Apply Final Report filter
- Letter (40) Apply Letter filter
- Speech (29) Apply Speech filter
- Decision (26) Apply Decision filter
- Report (18) Apply Report filter
- Technical Advice (12) Apply Technical Advice filter
- Technical Standards (12) Apply Technical Standards filter
- Annual Report (10) Apply Annual Report filter
- Compliance table (6) Apply Compliance table filter
- Vacancy (2) Apply Vacancy filter
Your filters
Q&A X Consultation Paper X Guidelines & Recommendations X Audit X Securities Financing Transactions X Brexit X MiFID - Secondary Markets X Credit Rating Agencies X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 14/01/2011 | 2011/5 | Call for evidence- criteria for endorsement (Article 21 (2)(a) of the draft amended CRA Regulation) | Credit Rating Agencies | Consultation Paper | PDF 218.02 KB |
||||
| 18/03/2011 | 2011/97 | Consultation paper- ESMA Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 273.66 KB |
||||
| 14/04/2011 | 2011/114 | Consultation paper- ESMA´s Technical Advice to the Commission on Fees for CRA Supervision | Credit Rating Agencies | Consultation Paper | PDF 95.52 KB |
||||
| 18/05/2011 | 2011/139 | Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 653.98 KB |
||||
| 26/05/2011 | 2011/155 | Call for evidence- assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC) | Credit Rating Agencies | Consultation Paper | PDF 69.4 KB |
||||
| 26/05/2011 | 2011/156 | Call for evidence- ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 88.95 KB |
||||
| 20/07/2011 | 2011/224 | Consultation paper- Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities | MiFID - Secondary Markets | Consultation Paper | PDF 623.6 KB |
||||
| 19/09/2011 | 2011/302 | Consultation paper- Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance | Credit Rating Agencies | Consultation Paper | PDF 276.02 KB |
||||
| 19/09/2011 | 2011/303 | Consultation paper- Regulatory technical standards on the assessment of compliance of credit rating method-ologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 374.84 KB |
||||
| 19/09/2011 | 2011/304 | Consultation paper- ESMA’s draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2 | Credit Rating Agencies | Consultation Paper | PDF 182.29 KB |
||||
| 19/09/2011 | 2011/305 | Consultation paper- ESMA’s Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies | Credit Rating Agencies | Consultation Paper | PDF 264 KB |
||||
| 22/12/2011 | 2011/456 | Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities | MiFID - Secondary Markets | Guidelines & Recommendations | PDF 407 KB |
This is the final report. The guidelines along with the translations are published separately. |
|||
| 24/02/2012 | 2012/122 | Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities | Guidelines and Technical standards, MiFID - Secondary Markets | Guidelines & Recommendations | PDF 1006.44 KB |
ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts. |
enbgcsdadeelesetfifrgahrhuitltlvmtnlplptroskslsv | ||
| 17/12/2012 | 2011/188 | Cooperation including delegation between ESMA, the competent authorities and the sectoral competent authorities under Regulation (EU) No 513/2011 on credit rating agencies | Credit Rating Agencies | Guidelines & Recommendations | PDF 190.32 KB |
||||
| 20/12/2012 | 2012/841 | Guidelines and recommendations on the scope of the CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 255.36 KB |
||||
| 17/06/2013 | 2013/720 EN | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 221.56 KB |
Croatian translation is also available. | |||
| 17/06/2013 | 2013/720 | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies | Guidelines & Recommendations | PDF 317.88 KB |
Croatian translation is also available. |
|||
| 10/07/2013 | 2013/891 | Discussion Paper on CRA3 Implementation | Credit Rating Agencies | Consultation Paper | PDF 639.76 KB |
The Discussion Paper deals with the implementation of the CRA3 Regulation, which entered into force on 20 June 2013.The Regulation, which complements the existing regulatory framework for credit rating agencies (CRAs), requires ESMA to draft Regulatory Technical Standards (RTS) on:• disclosure requirements on structured finance instruments (SFIs);• the European Rating Platform (ERP); and• the periodic reporting on fees charged by CRAs.ESMA is seeking views from all interested parties by 10 October 2013 in order to assist in its preparation of the draft RTS to be published for consultation in early 2014. ESMA must submit the draft RTS to the European Commission by 21 June 2014. | |||
| 30/07/2013 | 2013/720 BG | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 159.45 KB |
Насоки и препоръки Насоки и препоръки относно приложното поле на Регламента за АКР | |||
| 30/07/2013 | 2013/720 ES | Guidelines and Recommendations on the Scope of the CRA Regulation | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 103.74 KB |
Directrices y recomendaciones Directrices y recomendaciones sobre el ámbito de aplicación del Reglamento relativo a las agencias de calificación crediticia |