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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/02/2021 ESMA WP-2021-03 ESMA working paper on MiFID II research unbundling Report PDF
1.18 MB

Presentation given during the Webinar organised on 25 February 2021

ESMA50-165-1308_RESEARCH_UNBUNDLING_PRESENTATION.PDF (europa.eu)

29/06/2020 ESMA50-164-3463 ESMA’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe Report PDF
380.54 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.

13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
07/02/2022 ESA 2022 01 Joint ESA response to the EU Commission on Digital Finance , Report PDF
2.57 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
18/07/2017 ESMA42-111-4138 Peer Review on Guidelines on Enforcement of Financial Information , Report PDF
1.86 MB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Report PDF
611.48 KB
30/03/2021 ESMA41-356-168 Public Notices Moodys UK DE ES FR IT , Decision PDF
277.29 KB
31/10/2017 ESMA32-63-334 Report 21st Extract from the EECS's Database of Enforcement Report PDF
522.76 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices , Report PDF
1.68 MB
06/05/2019 ESMA/2016/990 Report on budgetary and financial management 2015 , Report PDF
544.34 KB
06/05/2019 ESMA02-1733218672-745 Report on budgetary and financial management 2016 , Report PDF
548.5 KB
06/05/2019 ESMA02-91-1958 Report on budgetary and financial management 2017 , Report PDF
546.02 KB
25/09/2020 ESMA02-91-2964 Report on Budgetary and Financial Management Financial Year 2019 , Report PDF
385.36 KB
07/02/2022 ESMA50-164-5410 Report on Call for evidence on Digital Finance Report PDF
281.83 KB
30/03/2021 ESMA32-67-716 Report on IFRS 10-11-12 , , Report PDF
480.12 KB
18/01/2022 ESMA70-156-4859 Report on the application of accepted market practices_2021 Report PDF
1.63 MB