ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   , Report PDF
819.71 KB
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB
01/02/2019 ESMA70-151-1997 ESMA statement on issues affecting reporting, recordkeeping, reconciliation, data access, portability and aggregation of derivatives under Article 9 EMIR in the case of UK withdrawal from the EU without a transitional agreement Statement PDF
145.21 KB
13/06/2018 ESMA70-151-1400 Report on supervisory measures and penalties under EMIR Report PDF
605.66 KB
31/03/2017 ESMA70-708036281-82 Final Report on Technical standards under SFTR and certain amendments to EMIR Report PDF
3.61 MB
23/02/2017 ESMA70-708036281-185 ESAs communication on variation margin exchange under the EMIR RTS on OTC derivatives Statement PDF
223.39 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
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.

19/11/2015 2015/1750 EMIR statement re bank guarantees energy market Statement PDF
111.67 KB