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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
06/04/2017 ESMA31-68-147 ESMA response to Capital Markets Union Mid-Term Review Board of Supervisors Report PDF
643.2 KB
06/04/2017 ESMA33-9-158 Supervisory Briefing: A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs Credit Rating Agencies 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.
 
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems Corporate Finance, Corporate Governance Report PDF
1.09 MB
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 MiFID - Secondary Markets Report PDF
644.29 KB
31/03/2017 ESMA70-708036281-82 Final Report on Technical standards under SFTR and certain amendments to EMIR Post Trading Report PDF
3.61 MB
29/03/2017 ESMA70-145-48 Draft technical standards under the Benchmarks Regulation Benchmarks Report PDF
1.75 MB
23/03/2017 ESMA70-708036281-7 Final Report on CSDR Guidelines on Access by a CSD to the Transaction Feeds of a CCP or of a Trading Venue under CSDR Post Trading Report PDF
344.18 KB
23/03/2017 ESMA70-708036281-8 Final Report on guidelines on participant default rules and procedures under CSDR Post Trading Report PDF
608.18 KB
28/02/2017 ESMA70-872942901-21 Final report on draft RTS on package orders for which there is a liquid market MiFID - Secondary Markets Report PDF
712.46 KB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
508.75 KB
03/02/2017 ESMA80-1467488426-27 Supervision Annual Report 2016 and Work Programme 2017 Credit Rating Agencies, Trade Repositories Report PDF
2.49 MB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Post Trading Report PDF
602.75 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution MiFID - Investor Protection, MiFID - Secondary Markets, Supervisory convergence Report PDF
774.17 KB
05/01/2017 ESMA32-63-200 20th Extract from the EECS’s Database of Enforcement IFRS Supervisory Convergence Report PDF
498.99 KB
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Post Trading Report PDF
543.98 KB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF Corporate Disclosure, European Single Electronic Format, Transparency Report PDF
6.98 MB
16/12/2016 2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Credit Rating Agencies Report PDF
1.22 MB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
1.94 MB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 Corporate Disclosure, Prospectus Report PDF
674.63 KB
28/07/2016 2016/1208 19th Extract from the EECS’s Database of Enforcement IFRS Supervisory Convergence Report PDF
488.18 KB

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