ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
29
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Reference X Report X ITMG X Procurement X Trade Repositories X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
27/03/2020 ESMA74-362-546 Response form- CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT , , Reference DOCX
771.64 KB
27/03/2020 ESMA74-362-113 Response form-Table of fields- CP on the TS under EMIR REFIT , , Reference XLSX
67.82 KB
28/02/2020 EMIR 59.3 register List of registered trade repositories Reference XLSX
39.25 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
23/10/2019 ESMA63-313-463 Procurement plan overview Reference PDF
92.66 KB
15/07/2019 ESMA41-356-39 Public notice Regis-TR Reference PDF
142.96 KB
15/07/2019 esma41-356-34 Enforcement decision Regis-TR Reference PDF
377.19 KB
28/06/2019 ESMA63-313-523 Annual list of contractors- 2018 Reference PDF
181.22 KB
11/04/2019 ESMA80-196-2575 Guidance on EMIR and SFT TR registration Reference PDF
143.78 KB
28/06/2018 ESMA2017 PROC Annual list of contractors- 2017 Reference PDF
339.61 KB
11/01/2018 ESMA71-99-923 Factsheet on Trade Repositories Fees Reference PDF
129.16 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
19/10/2017 ESMA50-165-421 EU derivatives markets ─ a first-time overview , , , Reference PDF
477.35 KB
16/10/2017 ESMA65-8-5046 FIRDS- Instructions on access and download of full and delta reference data files , , , Reference PDF
291.36 KB
13/07/2017 ESMA2017-PROC Annual list of contractors- 2016 Reference PDF
303.84 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 , Report PDF
2.49 MB
29/06/2016 2016/1046 Annual list of contractors- 2015 Reference PDF
59.8 KB
04/04/2016 2016/226 ToR ITMG Reference PDF
116.21 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.