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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|28/07/2016||2016/1170||Report on EEA prospectus activity in 2015||Corporate Disclosure, Prospectus||Report||PDF
|01/07/2016||2016/SMSG/009||SMSG End of Term Report 2016||Securities and Markets Stakeholder Group||Report||PDF
|06/06/2016||2016/743||Multi-venue trading increases liquidity in EU equity markets despite duplicate orders||Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|06/06/2016||2016/907||Economic Report on order duplication and liquidity measurement in EU equity markets||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|31/03/2016||2016/411||Guidelines on sound remuneration policies under the UCITS Directive and AIFMD||Fund Management||Report||PDF
Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration principles set out under Article 14b of the UCITS Directive (“UCITS Remuneration Guidelines”). This final report sets out the final text of the guidelines on remuneration policies required by the UCITS V Directive and also provides for a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were originally published on 3 July 2013.
|16/02/2016||2016/297||Follow-up MMF||Fund Management, Supervisory convergence||Report||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.
|10/06/2013||2013/619 Annex II||Comparative table of responses from EEA States||Prospectus||Report||PDF
|10/06/2013||2013/619 Annex III||Individual responses from EEA States||Prospectus||Report||PDF