ESMA LIBRARY
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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 23/01/2013 | 2013/87 | 2013 CRA supervision and policy work plan | Credit Rating Agencies | Reference | PDF 114.95 KB |
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| 01/12/2015 | JC/2015/079 | 2015 list of identified Financial Conglomerates | Joint Committee, MiFID - Investor Protection | Reference | PDF 146.29 KB |
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| 16/12/2016 | 2016/1662 | 2016-1662 Competition & Choice in the Credit Rating Industry | Credit Rating Agencies | Report | PDF 1.22 MB |
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| 09/04/2020 | ESMA80-187-546 | Actions to mitigate the impact of COVID-19 on the EU financial markets regarding the timeliness of fulfilling external audit requirements for interest rate benchmarks under the Benchmarks Regulation | Benchmarks, COVID-19 | Statement | PDF 89.31 KB |
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| 26/03/2018 | ESMA35-43-1000 | Additional information on the agreed product intervention measures relating to contracts for differences and binary options | MiFID - Investor Protection | Reference | PDF 202.01 KB |
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| 01/10/2013 | 2013/606 DA | Aflønningspolitik og-praksis (MiFID) | Guidelines and Technical standards, MiFID - Investor Protection | Guidelines & Recommendations | PDF 357.25 KB |
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| 15/07/2019 | esma41-139-1231 | Amended decision Handelsbanken | Credit Rating Agencies | Decision | PDF 244.4 KB |
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| 15/07/2019 | esma41-139-1224 | Amended_decision_nordea | Credit Rating Agencies | Decision | PDF 236.05 KB |
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| 15/07/2019 | esma41-139-1229 | Amended_decision_seb | Credit Rating Agencies | Decision | PDF 239.8 KB |
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| 15/07/2019 | esma41-139-1230 | Amended_decision_swedbank | Credit Rating Agencies | Decision | PDF 243.03 KB |
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| 02/10/2017 | ESMA71-99-608 | Annex (Template for the Assessment of Collective Suitability) | Guidelines and Technical standards, MiFID - Investor Protection | Reference | XLSX 72.7 KB |
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| 02/07/2021 | ESMA35-36-2319 | Annex I Joint ESMA and EBA GL on the assessment of suitability of members of the management body | MiFID - Investor Protection | Reference | XLSX 70.83 KB |
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| 31/10/2016 | 2016/1529 ANNEX | Annex I- Template for the assessment of collective suitability | Guidelines and Technical standards, MiFID - Investor Protection | Reference | XLSX 54.43 KB |
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| 22/06/2018 | ESMA 70-145-466 EC | Annex to ESMA response to the EC consultation on supervisory reporting fitness check | Market Integrity | Statement | PDF 386.78 KB |
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| 19/12/2014 | 2014/1569 Annex | Annex to Technical Advice on MiFID II and MiFIR- investor protection topics | MiFID - Investor Protection | Reference | PDF 962.39 KB |
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| 14/10/2021 | ESMA24-436-15 | Annex to the Opening Statement ECON Hearing 14 October 2021 | Board of Supervisors, Brexit, CCP Directorate, Corporate Information, Credit Rating Agencies, Innovation and Products, Joint Committee, Speeches, Supervisory convergence, Sustainable finance | Speech | PDF 415.73 KB |
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| 15/02/2022 | ESMA32-384-5357 | Annex- Response to EC targeted consultation on the Listing Act | Market Abuse, MiFID - Investor Protection, Prospectus | Reference | PDF 836.77 KB |
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| 15/11/2018 | ESMA70-145-1081 | Annual report on administrative and criminal sanctions and other administrative measures under MAR | Market Abuse, Market Integrity | Annual Report | PDF 158.47 KB |
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| 12/01/2012 | 2012/3 | Annual report on the application of the Regulation on credit rating agencies as provided by Article 21(5) and Article 39a of the Regulation (EU) No 1060/2009 as amended by Regulation No 1095/2010 | Credit Rating Agencies | Final Report | PDF 141.98 KB |
This is the first report under the new CRA regulation, however, please note that CESR published a report about the application of the Regulation in the EU and, in particular, on the implementation of the requirements established in Annex I of the Regulation on 6 December 2010 (CESR/10-1424), according to Article 21(4) of the Regulation which was subsequently amended by Regulation No (EC) 513/2011. At the time of publication, 16 CRA's have been registered. | |||
| 18/03/2013 | 2013/308 | Annual report on the application of the Regulation on credit rating agencies- 2012 | Credit Rating Agencies | Final Report | PDF 601.08 KB |
This is the second annual report on the application of the Credit Rating Agencies Regulation. |