ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
26
REFINE YOUR SEARCH
Sections
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- MiFID - Secondary Markets (96) Apply MiFID - Secondary Markets filter
- MiFID - Investor Protection (67) Apply MiFID - Investor Protection filter
- Short Selling (42) Apply Short Selling filter
- Market Integrity (41) Apply Market Integrity filter
- Post Trading (24) Apply Post Trading filter
- Board of Appeal (19) Apply Board of Appeal filter
- Board of Supervisors (18) Apply Board of Supervisors filter
- COVID-19 (17) Apply COVID-19 filter
- Fund Management (16) Apply Fund Management filter
- Joint Committee (15) Apply Joint Committee filter
- Supervisory convergence (13) Apply Supervisory convergence filter
- Management Board (12) Apply Management Board filter
- Corporate Information (11) Apply Corporate Information filter
- Market Abuse (10) Apply Market Abuse filter
- Corporate Disclosure (8) Apply Corporate Disclosure filter
- CESR Archive (7) Apply CESR Archive filter
- Brexit (6) Apply Brexit filter
- Trade Repositories (6) Apply Trade Repositories filter
- Prospectus (5) Apply Prospectus filter
- Securities and Markets Stakeholder Group (5) Apply Securities and Markets Stakeholder Group filter
- Securitisation (5) Apply Securitisation filter
- Innovation and Products (4) Apply Innovation and Products filter
- Sustainable finance (4) Apply Sustainable finance filter
- Benchmarks (3) Apply Benchmarks filter
- Trading (3) Apply Trading filter
- Careers (2) Apply Careers filter
- Corporate Finance (2) Apply Corporate Finance filter
- Corporate Governance (1) Apply Corporate Governance filter
- Crowdfunding (1) Apply Crowdfunding filter
- Guidelines and Technical standards (1) Apply Guidelines and Technical standards filter
- IFRS Supervisory Convergence (1) Apply IFRS Supervisory Convergence filter
- Press Releases (1) Apply Press Releases filter
- Procurement (1) Apply Procurement filter
- Securities Financing Transactions (1) Apply Securities Financing Transactions filter
- Transparency (1) Apply Transparency filter
- Warnings and publications for investors (1) Apply Warnings and publications for investors filter
Type of document
- (-) Remove Decision filter Decision
- (-) Remove Opinion filter Opinion
- (-) Remove Q&A filter Q&A
- Press Release (56) Apply Press Release filter
- Guidelines & Recommendations (41) Apply Guidelines & Recommendations filter
- Reference (38) Apply Reference filter
- Consultation Paper (30) Apply Consultation Paper filter
- Statement (23) Apply Statement filter
- Final Report (21) Apply Final Report filter
- Report (10) Apply Report filter
- Technical Advice (10) Apply Technical Advice filter
- Speech (8) Apply Speech filter
- Annual Report (6) Apply Annual Report filter
- Technical Standards (5) Apply Technical Standards filter
- Letter (3) Apply Letter filter
Your filters Reset all filters
| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 15/07/2019 | esma41-139-1231 | Amended decision Handelsbanken | Credit Rating Agencies | Decision | PDF 244.4 KB |
||||
| 15/07/2019 | esma41-139-1224 | Amended_decision_nordea | Credit Rating Agencies | Decision | PDF 236.05 KB |
||||
| 15/07/2019 | esma41-139-1229 | Amended_decision_seb | Credit Rating Agencies | Decision | PDF 239.8 KB |
||||
| 15/07/2019 | esma41-139-1230 | Amended_decision_swedbank | Credit Rating Agencies | Decision | PDF 243.03 KB |
||||
| 21/07/2016 | 2016/1131 | BoS Decision on Fitch Ratings Limited 21 July 2016 | Credit Rating Agencies, Press Releases | Decision | PDF 108.21 KB |
||||
| 23/07/2018 | ESMA41-137-1153 | BoS decision- CRA 2-2017- SEB | Credit Rating Agencies | Decision | PDF 706.81 KB |
||||
| 23/07/2018 | ESMA41-137-1145 | BoS decision-CRA 2-2017- Danske | Credit Rating Agencies | Decision | PDF 635.85 KB |
||||
| 23/07/2018 | ESMA41-137-1150 | BoS decision-CRA 2-2017- Nordea | Credit Rating Agencies | Decision | PDF 714.78 KB |
||||
| 23/07/2018 | ESMA41-137-1147 | BoS decision-CRA 2-2017- Svenska Handelsbanken AB | Credit Rating Agencies | Decision | PDF 690.73 KB |
||||
| 23/07/2018 | ESMA41-137-1152 | BoS decision-CRA 2-2017- Swedbank | Credit Rating Agencies | Decision | PDF 715.12 KB |
||||
| 30/03/2021 | ESMA41-356-114 | Decision 1-2021 Moody's UK | Board of Supervisors, Credit Rating Agencies | Decision | PDF 728.73 KB |
||||
| 30/03/2021 | ESMA41-356-129 | Decision 2-2021 Moody's France | Board of Supervisors, Credit Rating Agencies | Decision | PDF 352.97 KB |
||||
| 30/03/2021 | ESMA41-356-130 | Decision 3-2021 Moody's Germany | Board of Supervisors, Credit Rating Agencies | Decision | PDF 333.78 KB |
||||
| 30/03/2021 | ESMA41-356-131 | Decision 4-2021 Moody's Italy | Board of Supervisors, Credit Rating Agencies | Decision | PDF 350.91 KB |
||||
| 30/03/2021 | ESMA41-356-132 | Decision 5-2021 Moody's Spain | Board of Supervisors, Credit Rating Agencies | Decision | PDF 332.83 KB |
||||
| 28/03/2019 | ESMA-41-356-11 | Decision Fitch UK | Credit Rating Agencies | Decision | PDF 697.42 KB |
||||
| 01/06/2017 | ESMA41-137-1005 | Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited | Board of Supervisors, Credit Rating Agencies | Decision | PDF 207.16 KB |
||||
| 03/06/2014 | 2014/544 | Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies | Credit Rating Agencies | Decision | PDF 49.36 KB |
Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies The Board of Supervisors (“Board”), Having regard to the Treaty on the Functioning of the European Union (“Treaty”) Having regard to Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (“ESMA Regulation”), and in particular Article 43(2) and Article 44(1) thereof Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (“CRA Regulation”), in particular Articles 6(2), 23e, 24, 25 thereof Having regard to Commission Delegated Regulation (EU) No 946/2012 of 12 July 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions (“Procedural Regulation”), in particular Article 3(4) thereof Whereas: (1) On the basis of the file containing the investigating officer’s findings and after examination of the submissions of Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited the Board finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of the CRA Regulation. (2) The Board considers that the evidence before it does not allow it to establish that Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited acted intentionally or negligently as required by Article 36a(1) of the CRA Regulation in order for the Board to impose a fine. (3) The Board thus decides to adopt a supervisory measure taking the form of a public notice in accordance with Article 24 of the CRA Regulation. Has adopted this decision: Article 1 The Board of Supervisors finds that the registered credit rating agencies Standard & Poor’s Credit Market Services France SAS and Standard & Poor’s Credit Market Services Europe Limited have committed the infringements listed in paragraphs 12 and 18 of Annex III.I of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. Article 2 The Board of Supervisors takes the decision to adopt a supervisory measure taking the form of the following public notice, in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies. | |||
| 04/06/2020 | ESMA41-356-77 | Decision- Scope Ratings GmbH | Credit Rating Agencies | Decision | PDF 1022.35 KB |
||||
| 20/07/2017 | BoA 2017 01 | FinancialCraft Analytics Sp. z o.o. vs ESMA BoA Decision | Board of Appeal, Credit Rating Agencies | Decision | PDF 693 KB |