ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
60
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Risk Analysis & Economics - Markets Infrastructure Investors X Trading X ITMG X Securities Financing Transactions X Board of Supervisors X Trade Repositories X Technical Standards X Vacancy X Report X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/02/2019 ESMA50-165-750 ESMA Risk Dashboard 1 2019 Report PDF
531.93 KB
14/06/2017 ESMA50-165-331 ESMA Risk Dashboard 1Q2107 Report PDF
744.43 KB
05/12/2017 ESMA50-165-498 ESMA Risk Dashboard No 4 2017 Report PDF
976.96 KB
03/06/2021 ESMA50-165-1761 ESMA Risk Dashboard No. 1 2021 , Report PDF
819.04 KB
06/06/2018 ESMA50-165-584 ESMA Risk Dashboard No. 2 2018 Report PDF
933.6 KB
15/05/2019 ESMA50-165-822 ESMA Risk Dashboard No. 2 2019 Report PDF
907.13 KB
06/09/2018 ESMA 50-165-633 ESMA Risk Dashboard No. 3 2018 Report PDF
931.94 KB
29/11/2018 ESMA 50-165-688 ESMA Risk Dashboard No. 4 2018 Report PDF
1.05 MB
12/09/2017 ESMA50-165-413 ESMA Risk Dashboard No.3 2017 Report PDF
868.91 KB
02/04/2020 ESMA50-165-1107 ESMA Risk Dashboard Risk up-date , Report PDF
221.33 KB
09/06/2022 ESMA 50-165-2153 ESMA Trends, Risks and Vulnerabilities report- Risk update Report PDF
340.8 KB
09/09/2020 ESMA WP-2020-2 ESMA working paper on Closet indexing indicators and investor outcomes Report PDF
3.56 MB
29/09/2020 ESMA WP-2020-3 ESMA working paper on DVC mechanism and impact on EU equity markets , Report PDF
535.76 KB
20/11/2020 ESMA WP-2020-04 ESMA working paper on HFT and ghost liquidity Report PDF
631.76 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
07/01/2020 ESMA WP-2020-1 ESMA working paper on market impacts of circuit breakers – Evidence from EU trading venues Report PDF
1.63 MB
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
08/04/2021 ESMA50-165-1734 EU Alternative Investment Funds- 2021 Statistical Report , , Report PDF
1.77 MB