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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Corporate Finance Final Report PDF
385.45 KB
09/03/2016 ESAs/2016/22 Annexes to RTS on Risk Mitigation LegisWrite Joint Committee Final Report PDF
297.23 KB
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. 
21/02/2014 2014/151 Credit Rating Agencies Annual Report 2013 Credit Rating Agencies Final Report PDF
507.61 KB		 The European Securities and Markets Authority (ESMA) has published its Annual Report 2013 (Report) on credit rating agencies (CRAs) in the European Union (EU). The Report also outlines ESMA’s supervisory work plan for this year. ESMA has found that CRAs continue to progress in how they comply with the CRA Regulation, including improved internal transparency and disclosure to the market on credit rating activities as well as empowerment of the compliance function. However, ESMA considers that improvements are still necessary, notably in the following areas: • validation of rating methodologies, to ensure that a credit rating assessment is a comprehensive risk assessment leading to high quality ratings; • internal governance, ensuring the full independence of the internal review function and thereby reducing the risk of potential conflict of interest; and • robust IT systems to support the rating process, including information security controls and protection of confidential rating information. These issues form the basis for much of ESMA’s supervision activities as outlined in its 2014 work plan. This includes the completion of the two on-going supervisory reviews into CRAs’ monitoring of structured finance ratings and into small and medium-sized CRAs. A new thematic investigation on how CRAs review and validate their rating methodologies will also be launched, as well as dedicated work on CRAs’ IT systems and controls. Following the entry into force of the amended CRA Regulation in June 2013, ESMA will also complete a specific assessment on CRAs’ compliance with the new regulatory requirements.
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets Final Report PDF
740.71 KB
11/04/2012 JC/2011/97 EBA, ESMA and EIOPA’s Report on the legal and regulatory provisions and supervisory expectations across EU Member States of Simplified Due Diligence requirements where the customers are credit and financial institutions under the Third Money Laundering Di Joint Committee Final Report PDF
476.47 KB
11/04/2012 JC/2011/96 EBA, ESMA and EIOPA’s Report on the legal, regulatory and supervisory implementation across EU Member States in relation to the Beneficial Owners Customer Due Diligence requirements under the Third Money Laundering Directive [2005/60/EC] Joint Committee Final Report PDF
552.11 KB
26/07/2021 SFDR EC Q&A EC Q&A on sustainability-related disclosures Joint Committee, Sustainable finance Q&A PDF
601.99 KB
30/11/2021 SFDR EC Q&A CORRECTION EC Q&A on sustainability-related disclosures- correction Joint Committee, Sustainable finance Q&A PDF
87.19 KB
07/12/2012 JC/2012/86 ESA report on the application of AML/CTF obligations to, and the AML/CTF supervision of e-money issuers, agents and distributors in Europe. Joint Committee Final Report PDF
476.42 KB
25/08/2021 Joint Committee ESAs 2020 Final Report on EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework Joint Committee Final Report PDF
338.72 KB
18/12/2015 2015/1879 ESMA CRA Market Share Calculation Credit Rating Agencies Final Report PDF
586.38 KB
16/12/2014 2014/1524 ESMA’s investigation into structured finance ratings Credit Rating Agencies Final Report PDF
436.29 KB		 The European Securities and Markets Authorities (ESMA) has published this report to inform of the outcome and findings of its general investigation in the way credit rating agencies (CRAs) conduct surveillance of structured finance credit ratings, as indicated in ESMA’s Credit Rating Agencies Annual Report 2013. The investigation took place between October 2013 and September 2014 and involved the four largest CRAs providing credit ratings on structured finance instruments in the EU, namely DBRS Ratings (DBRS), Fitch Ratings (Fitch), Moody’s Investors Service (MIS) and Standard & Poor’s (S&P). 
22/03/2012 2012/207 ESMA’s Report on the Supervision of Credit Rating Agencies Credit Rating Agencies Final Report PDF
323.81 KB		 This report provides an overview of ESMA’s supervisory activity on Credit Rating Agencies (CRAs) registered in the European Union and summarises the results of ESMA’s first examination of the three groups of registered CRAs (Fitch Ratings, Moody's Investors Services, and Standard & Poor's Rating Services). The examination referred to in this document is the first step in an ongoing supervisory process conducted by ESMA and therefore does not represent a full scope investigation. The observations set forth in this Report refer to common issues affecting CRAs activities. As of the date of this document, ESMA has not determined whether any observation highlighted below constitutes a breach of the provisions of the Regulation. ESMA is still progressing in its assessment of the areas discussed in this Report. This Report is not based on a decision by ESMA’s Board of Supervisors; therefore it is published without prejudice to the possibility of further investigations which could lead to enforcement or supervisory actions.
13/05/2020 ESMA80-189-6982 EU CLO credit ratings – an overview of Credit Rating Agencies practices and challenges COVID-19, Credit Rating Agencies Final Report PDF
436.43 KB
08/10/2013 JC 2013/056 Explanation of Changes in Compilation of Data Joint Committee Final Report PDF
93.28 KB		 The Joint Committee publishes the 2013 List of Identified Financial Conglomerates. The latest version of the list shows 75 financial conglomerates with the head of group in an EU/EEA country, one with the head of group in Australia, two with the head of the group in Switzerland, and two with the head of group in the United States.
09/03/2016 ESAs/2016/24 FeedbackTable CP1 and CP2 RTS OTC 01022016 Joint Committee Final Report PDF
1.14 MB
18/01/2021 JC 2020 84 Final draft report on draft ITS on IGT and RC reporting templates for conglomerates Joint Committee Final Report PDF
1.82 MB
09/03/2016 ESAs/2016/23 Final Draft RTS on Risk Mitigation Techniques final Joint Committee Final Report PDF
705.82 KB

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