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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|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
|23/03/2017||ESMA70-708036281-8||Final Report on guidelines on participant default rules and procedures under CSDR||Post Trading||Report||PDF
|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
|03/02/2017||ESMA80-1467488426-27||Supervision Annual Report 2016 and Work Programme 2017||Credit Rating Agencies, Trade Repositories||Report||PDF
|18/01/2017||ESAS-2017-82||Report on the functionning of the CRR with the related obligations under EMIR||Post Trading||Report||PDF
|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
|22/12/2016||2016/1683||Peer Review on CCPs' Margin and Collateral requirements||Post Trading||Report||PDF
|19/12/2016||2016/1673||2016-1673 Q&A on MiFID II commodity derivatives topics||MiFID - Secondary Markets||Q&A||PDF
|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
|13/07/2016||2016/1130||Final Report on the Market Abuse Regulation Guidelines||Market Abuse, Market Integrity||Report||PDF
|29/04/2016||2016/665||Q&A on ESMA’s EU-wide stress tests for CCPs||Post Trading||Q&A||PDF
|01/04/2016||2016/419||Q&A Market Abuse Directive||Market Abuse||Q&A||PDF
|05/02/2016||2016/234||ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan.||Credit Rating Agencies, Trade Repositories||Report||PDF
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.
|01/02/2016||2016/174/Annex IV||Impact assessment on CSDR RTS on settlement discipline||Post Trading||Report||PDF
|01/02/2016||2016/174||Final Report on CSDR RTS on settlement discipline||Post Trading||Report||PDF
|22/06/2012||2012/382||MiFID Q&A in the area of investor protection and intermediaries||MiFID - Investor Protection||Q&A||PDF