ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/12/2013 2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR SMSG Advice PDF
27.43 KB
20/12/2013 2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR SMSG Advice PDF
46.94 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.

18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Report PDF
602.75 KB
31/03/2017 ESMA70-708036281-82 Final Report on Technical standards under SFTR and certain amendments to EMIR Report PDF
3.61 MB
13/06/2018 ESMA70-151-1400 Report on supervisory measures and penalties under EMIR Report PDF
605.66 KB
02/10/2019 ESMA70-1861941480-52 Q&A on EMIR implementation Q&A PDF
1.46 MB
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB