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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/12/2019 ESMA32-60-534 ESMA XBRL Taxonomy Documentation 2019 Reference PDF
301.09 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
08/08/2018 ESMA70-151-1462 ESMA70-151-1462 Communication on clearing and trading obligation for PF Reference PDF
123.91 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.

19/10/2017 ESMA50-165-421 EU derivatives markets ─ a first-time overview , , , Reference PDF
477.35 KB
11/03/2019 ESMA LEI 06/03/2019 EU rules on LEI- presentation Reference PDF
796.16 KB
11/01/2018 ESMA71-99-923 Factsheet on Trade Repositories Fees Reference PDF
129.16 KB
22/12/2017 ESMA50-164-677 FAQs on MiFID II- Transitional Transparency Calculations , Reference PDF
303.58 KB
28/02/2017 ESMA70-872942901-21 Final report on draft RTS on package orders for which there is a liquid market Report PDF
712.46 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
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 Report PDF
644.29 KB
20/12/2017 ESMA65-8-5240 FIRDS Instructions on download and use of full and delta transparency results files Reference PDF
466.79 KB
07/11/2018 ESMA65-11-1194 FIRDS Reference Data XML Schema 1.1.0 Reference ZIP
44.43 KB
04/04/2017 ESMA658-3153 FIRDS Transparency Non-Equity conditional completeness table Reference XLSX
44.35 KB
29/07/2020 ESMA65-8-5240 FIRDS- Instructions on access and download of full and delta reference data files , , , Reference PDF
349.16 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
25/09/2015 2015/1463 reply form ESEF CBA Form to reply ESEF CBA , , Reference DOCX
872.33 KB
23/12/2015 2015/1909R form_to_reply_cp_tr_ork_cs Reference DOCX
784.54 KB
11/04/2019 ESMA80-196-2575 Guidance on EMIR and SFT TR registration Reference PDF
143.78 KB
20/12/2017 ESMA65-8-5257 Instructions on download and use of double volume cap results files Reference PDF
238.39 KB