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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||Post Trading, Supervisory convergence||Report||PDF
|17/10/2019||ESMA42-111-4895||EMIR data quality peer review||Post Trading, Supervisory convergence||Report||PDF
|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||Post Trading||Statement||PDF
|13/06/2018||ESMA70-151-1400||Report on supervisory measures and penalties under EMIR||Post Trading||Report||PDF
|31/03/2017||ESMA70-708036281-82||Final Report on Technical standards under SFTR and certain amendments to EMIR||Post Trading||Report||PDF
|23/02/2017||ESMA70-708036281-185||ESAs communication on variation margin exchange under the EMIR RTS on OTC derivatives||Post Trading||Statement||PDF
|18/01/2017||ESAS-2017-82||Report on the functionning of the CRR with the related obligations under EMIR||Post Trading||Report||PDF
|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.
|19/11/2015||2015/1750||EMIR statement re bank guarantees energy market||Post Trading||Statement||PDF