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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
02/02/2012 2012/64 ESMA makes available data on credit ratings’ past performances- central repository launched Press Release PDF
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ESMA launches today a Central Rating Repository (CEREP) providing information on credit ratings issued by those 15 Credit Rating Agencies (CRAs) which are either registered or certified in the European Union.   The CEREP database will allow investors to assess for the first time on a single platform the performance and reliability of credit ratings on different types of ratings, asset classes and geo-graphical regions over the time period of choice.  To access the database, please click here.
01/10/2012 2012/641 ESMA approves Axesor S.A. as a credit rating agency , Statement PDF
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20/12/2012 2012/841 Guidelines and recommendations on the scope of the CRA Regulation Consultation Paper PDF
255.36 KB
20/12/2012 2012/860 ESMA proposes guidelines on the scope of the CRA Regulation , Press Release PDF
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ESMA proposes guidelines on the scope of the CRA Regulation The European Securities and Markets Authority (ESMA) has launched a Consultation Paper on Guidelines and Recommendations on the scope of the CRA Regulation.  The draft Guidelines aim to provide clarification on certain aspects of the scope of the Credit Rating Agencies (CRA) Regulation to registered CRAs, other market participants operating on the perimeter of this sector and to national securities markets regulators.The draft Guidelines focus on a number of areas under the CRA Regulation, which ESMA believes require clarification following its experience of the registration process and the enforcement of the perimeter of the CRA Regulation under the new EU supervisory regime.  The Guidelines will contribute to a consistent approach to the application of the CRA Regulation and ensure a level-playing field for all market participants in this industry.ESMA would like to remind market participants that issuing credit ratings in the EU is a regulated activity.  Market participants conducting rating activities within the scope of the CRA Regulation must apply for registration with ESMA, and that carrying on these activities without registration constitutes an infringement of the CRA Regulation and is subject to administrative sanctions, including fines.The draft Guidelines address the following issues:•    Obligation to register;•    Credit rating activities and exemptions from registration;•    Private Ratings;•    Establishment of branches outside the EU by registered CRAs;•    Specific disclosure best practices – credit scoring firms and export credit agencies; and•    Enforcement of the scope of the CRA RegulationThe closing date for responses is 20 February 2013 and an open hearing on the consultation will take place in Paris on 22 January 2013.
24/01/2012 2012/SMSG/1 SMSG work programme for 2012 Reference PDF
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This document sets out the work programme for 2012 which has been adopted by the Securities and Markets Stakeholder Group. It also sets out a preliminary work programme for 2013 which falls within the current Group’s mandate.
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements SMSG Advice PDF
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28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements SMSG Advice PDF
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04/05/2012 2012/SMSG/20 SMSG meeting on 15-16 February 2012 Reference PDF
131.17 KB
03/05/2012 2012/SMSG/25 Advice on the discussion paper on Proxy Advisors Letter PDF
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24/05/2012 2012/SMSG/27b SMSG advice to ESMA on short selling Letter PDF
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This document is an advice from the SMSG to ESMA's draft technical advice on possible Delegated Acts concerning the regulation on short selling and certain aspects of credit default swaps ((EC) No XX/2012))
04/06/2012 2012/SMSG/29 SMSG Advice on ESMA’s public consultation on Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories Letter PDF
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24/05/2012 2012/SMSG/30 ESMA’s Discussion paper on Key concepts of the AIFMD and types of AIFM – Opinion of the SMSG Letter PDF
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This document is an advice from the SMSG to ESMA's discussion paper on Key concepts ofthe AIFMD and types of AIFM
20/08/2012 2012/SMSG/31 Summary of conclusions 26/04/12 Reference PDF
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13/11/2012 2012/SMSG/44 Summary of conclusions SMSG meeting 28/06/12 Reference PDF
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20/12/2012 2012/SMSG/53 SMSG Annual Activity Report 2011-2012 Reference PDF
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20/12/2012 2012/SMSG/54 SMSG 2013 Work Programme Reference PDF
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06/09/2012 2012/SMSG/58 SMSG Advice on EMIR Draft (Regulatory) Technical Standards Letter PDF
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12/10/2012 2012/SMSG/59 Securities and Markets Stakeholder Group – Report on Helping Small and Medium Sized Companies Access Funding SMSG Advice PDF
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02/02/2012 2012/SMSG/6 Letter regarding deadlines for the submission of ESMA’s technical standards SMSG Advice PDF
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A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.
27/09/2012 2012/SMSG/60 SMSG advice on Guidelines on sound remuneration policies under the AIFMD SMSG Advice PDF
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