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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/09/2018 ESMA50-165-651 ESMA working paper on liquidity in EU fixed income markets – Risk indicators and EU evidence Report PDF
1.06 MB
07/01/2020 ESMA WP-2020-1 ESMA working paper on market impacts of circuit breakers – Evidence from EU trading venues Report PDF
1.63 MB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 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.

07/03/2019 ESMA50-165-748 EU Alternative Investment Funds- 2019 statistical report Report PDF
2.17 MB
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
30/09/2020 ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Report PDF
430.48 KB
28/02/2017 ESMA70-872942901-21 Final report on draft RTS on package orders for which there is a liquid market Report PDF
712.46 KB
29/09/2017 ESMA70-156-227 Final report on draft RTS on the trading obligation for derivatives under MiFIR Report PDF
609.23 KB
31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments Report PDF
644.29 KB
16/07/2018 ESMA33-128-477 Final Report on STS notification Report PDF
1.5 MB
16/07/2018 ESMA33-128-473 Final Report- Draft RTS on authorisation of firms providing STS verification services Report PDF
593.91 KB
05/10/2020 ESMA33-128-1001_ Final Report_Guidelines on Portability of Information between Securitisation Repositories Report PDF
279.02 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
02/04/2019 JC 2019 05 Joint ESA report on risks and vulnerabilities in the EU financial system , Report PDF
1.21 MB
22/09/2020 JC 2020 67 Joint ESA report on risks and vulnerabilities in the EU financial system 2020 , Report PDF
570.67 KB
12/09/2019 JC 2019 54 Joint ESA report on risks and vulnerabilities in the EU financial system No2 2019 , Report PDF
1.13 MB
05/12/2019 ESMA70-156-1606 MiFID II/MiFIR Review Report No. 1 Report PDF
1004.81 KB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
20/03/2018 ESMA71-99-957 Press release: High risks persist for European securities markets and investors, ESMA says Report PDF
166.64 KB