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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Report PDF
543.98 KB
19/12/2016 2016/1673 2016-1673 Q&A on MiFID II commodity derivatives topics Q&A PDF
338.93 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
25/07/2016 2016/1166 Warning about CFDs, binary options and other speculative products , Investor Warning PDF
149.13 KB
29/04/2016 2016/665 Q&A on ESMA’s EU-wide stress tests for CCPs Q&A PDF
269.98 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.

01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Report PDF
1.39 MB
01/02/2016 2016/174 Final Report on CSDR RTS on settlement discipline Report PDF
1.59 MB
07/02/2014 2014/154 SV Risker med att investera i komplexa produkter , Investor Warning PDF
468.78 KB
07/02/2014 2014/154 ES Riesgos de las inversiones en productos complejos , Investor Warning PDF
331.22 KB
07/02/2014 2014/154 SL Tveganja, ki jih prinašajo naložbe v kompleksne produkte , Investor Warning PDF
564.53 KB
07/02/2014 2014/154 SK Riziká investovania do komplexných produktov , Investor Warning PDF
521.64 KB
07/02/2014 2014/154 RO Riscurile investirii în produse complexe , Investor Warning PDF
396.83 KB
07/02/2014 2014/154 PT Os riscos de investir em produtos complexos , Investor Warning PDF
373 KB
07/02/2014 2014/154 PL Zagrożenia związane z inwestowaniem w produkty złożone , Investor Warning PDF
359.91 KB
07/02/2014 2014/154 MT Ir-riskji li tinvesti fi prodotti kumplessi , Investor Warning PDF
554.57 KB
07/02/2014 2014/154 LT Investavimo į sudėtingus produktus rizika , Investor Warning PDF
590.31 KB
07/02/2014 2014/154 LV Ar ieguldījumiem sarežģītos produktos saistītie riski , Investor Warning PDF
435.59 KB
07/02/2014 2014/154 IT Rischi dell’investimento in prodotti complessi , Investor Warning PDF
335.03 KB
07/02/2014 2014/154 HU Az összetett termékekbe történő befektetések kockázatai , Investor Warning PDF
384.08 KB