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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/11/2015 2015/1639 Steven Maijoor at Economic and Monetary Affairs Committee, European Parliament, Scrutiny Hearing on MiFID II , Speech PDF
158.43 KB
12/07/2019 ESMA35-36-1743 Statement Product Intervention Statement PDF
104.99 KB
15/12/2017 ESMA71-99-910 Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients , Statement PDF
209.47 KB
30/05/2018 ESMA71-99-991 Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive , Statement PDF
926.71 KB
20/06/2016 2016/940 Statement by Steven Maijoor at ECON MiFID II/MiFIR Scrutiny Session, 21 June 2016 , Statement PDF
235.65 KB
13/06/2016 2016/945 Speech for the DSGV Kapitalmarktsymposium- Verena Ross, 10 June 2016, Berlin Speech PDF
275.69 KB
26/05/2016 2016/739 Speech Financial News 20th Anniversary Awards for Excellence- Steven Maijoor, 26 May 2016, London , Speech PDF
168.88 KB
02/12/2016 2016/1640 Speech by Verena Ross, ESMA Executive Director at the 2016 Global Capital Markets Conference , Speech PDF
281.71 KB
05/10/2017 ESMA35-42-597 Speech by Steven Maijoor on financial education and investor protection in Europe- IOSCO World Investor Week , Speech PDF
222.15 KB
27/06/2018 ESMA70-145-924 Speech by ESMA Executive Director Verena Ross on LEI , Speech PDF
255.18 KB
02/12/2013 2013/1775 Sovereign ratings investigation- ESMA’s assessment of governance, conflicts of interest, resourcing adequacy and confidentiality controls Final Report PDF
302.99 KB
This report summarises the findings of the European Securities and Markets Authority’s (ESMA) general investigation into sovereign credit ratings issued by Fitch Ratings, Moody’s Investors Service and Standard & Poor’s which took place between February and October 2013, as indicated in its Credit Rating Agencies (CRAs) 2013 Supervision and Policy Work Plan. In this report ESMA describes the observed deficiencies and main concerns while also identifying a number of good practices in the following areas: • the role of senior management and other non-rating functions in the rating process and the actual or potential conflicts of interest which could arise; • the actual or potential conflicts of interests generated by the involvement of sovereign analysts in research and publication activities; • confidentiality of sovereign rating information and controls in place prior to publication of ratings (including IT and access controls to confidential information); • timing of publication of sovereign ratings, including timely disclosure of rating changes; • monitoring of the adequacy and expertise of resources dedicated to sovereign ratings; • preparation of rating committees; and • definitions of roles and responsibilities among different analytical functions. ESMA’s investigation revealed shortcomings in the sovereign ratings process which could pose risks to the quality, independence and integrity of the ratings and of the rating process. As of the date of this document, ESMA has not determined whether any of the observations made in this report constitute serious indications of the possible existence of facts liable to constitute one or more infringements of the CRA Regulation.
18/05/2018 ESMA70-154-555 SMSC Terms of Reference Reference PDF
209.92 KB
23/06/2015 2015/609 HR Smjernice o periodičnim informacijama koje agencije za kreditni rejting trebaju dostaviti ESMA-i , Guidelines & Recommendations PDF
335.4 KB
HR - Za prijevod se pobrinuo Prevoditeljski centar za tijela Europske unije.
06/02/2014 2012/387 HR Smjernice o određenim aspektima MiFID-ovih zahtjeva vezanih uz primjerenost Guidelines & Recommendations PDF
259.07 KB
06/02/2014 2012/388 HR Smjernice o određenim aspektima MiFID-ovih zahtjeva vezanih uz funkciju praćenja usklađenosti Guidelines & Recommendations PDF
269.15 KB
21/08/2012 2012/387 SL Smernice o nekaterih vidikih zahtev glede primernosti iz direktive MiFID , Guidelines & Recommendations PDF
342.3 KB
28/09/2012 2012/388 SL Smernice o določenih vidikih zahtev funkcije skladnosti iz direktive MiFID , Guidelines & Recommendations PDF
365.04 KB
25/01/2016 2016/96 Slides from ESMA’s Open Hearing on validation and review of CRAs’ methodologies Consultation Paper PDF
253.19 KB
11/07/2019 ESMA41-137-1146 SEB- PUBLIC NOTICE Reference PDF
99.83 KB
17/11/2016 2016/1584 Safeguarding investors is key to ensuring the capital markets Union’s success , Speech PDF
323.38 KB