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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
06/04/2017 ESMA33-9-158 Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs Report PDF
687.07 KB
  1. ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches and practices among nationally appointed Sectoral Competent Authorities (‘SCAs’).
  1. The purpose of this supervisory briefing is to provide guidance to SCAs in relation to the application of Articles 8c and 8d of the CRA Regulation and promote a common supervisory approach and enforcement of these Articles. In this regard, the Supervisory Briefing includes the following:
  1. A Common Supervisory Approach as to which issuers and related third parties are covered by Article 8c and 8d; and,
  1. A Standard Form for documentation in accordance with article 8d.
  1. The common supervisory approach will assist SCAs as well as issuers and related third parties by clearly establishing who should be prioritised for supervision and enforcement under these Articles.
  1. The Standard Form will assist SCAs by guaranteeing standardised and consistent data across different issuers and related third parties. It will also assist issuers and related third parties by providing clarity as to how they may meet their regulatory obligations under these Articles and simplify their internal processes by removing the need to develop in-house templates for documenting compliance under Article 8d.
  1. The Supervisory Briefing will be published on ESMA’s website and on the websites of the nationally appointed SCAs.
 
10/01/2020 ESMA33-9-340 CRA Market Share Calculation 2019 Report PDF
446.77 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 KB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Report PDF
508.75 KB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options , Report PDF
776.15 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs , Report PDF
1.26 MB
05/09/2019 ESMA50-164-2458 Stress simulation for investment funds , Report PDF
868.55 KB
10/01/2020 ESMA50-165-1032 EU Alternative Investment Funds- 2020 Statistical Report , Report PDF
1.94 MB
02/04/2020 ESMA50-165-1107 ESMA Risk Dashboard Risk up-date , Report PDF
221.33 KB
14/06/2017 ESMA50-165-331 ESMA Risk Dashboard 1Q2107 Report PDF
744.43 KB
12/09/2017 ESMA50-165-413 ESMA Risk Dashboard No.3 2017 Report PDF
868.91 KB
05/12/2017 ESMA50-165-498 ESMA Risk Dashboard No 4 2017 Report PDF
976.96 KB
20/03/2018 ESMA50-165-539 ESMA risk dasbhboard 1, 2018 Report PDF
903.76 KB
06/06/2018 ESMA50-165-584 ESMA Risk Dashboard No. 2 2018 Report PDF
933.6 KB
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
07/03/2019 ESMA50-165-748 EU Alternative Investment Funds- 2019 statistical report Report PDF
2.17 MB
28/02/2019 ESMA50-165-750 ESMA Risk Dashboard 1 2019 Report PDF
531.93 KB
15/05/2019 ESMA50-165-822 ESMA Risk Dashboard No. 2 2019 Report PDF
907.13 KB
05/12/2019 ESMA70-156-1606 MiFID II/MiFIR Review Report No. 1 Report PDF
1004.81 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