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Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation
04 April 2017
equivalence. This Methodological Framework is provided in Annex II of the 2011 Guidelines on Endorsement. By ...
Endorsement is one of two regimes provided in the CRA Regulation that allow credit ratings issued in a third country to be used for regulatory purposes in the EU – the other being equivalence/certification. Article 21(3) of the CRA Regulation requires ESMA to issue and update guidelines on the...
Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders
28 October 2016
Reference 2016/1529 Section Guidelines and Technical standards MiFID- Investor Protection Type ...
Guidelines on participant default rules and procedures under CSDR
31 May 2016
the proposed guidelines. Annex I sets out a summary of the questions contained in this paper and Annex II ...
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and...
Technical advice on CRA regulatory equivalence - US, Canada and Australia
18 April 2012
to the European Commission in respect of the equivalence between the US (Part I), Canada (Part II) and Australia ...
On 12 June 2009 the European Commission requested CESR, now ESMA, to provide its technical advice on the equivalence between the legal and supervisory framework of Japan, The United States, and Canada with the EU regulatory regime for credit rating agencies. (Regulation (EC) No. 1060/2009 of the...
Consultation paper - ESMA’s draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2
19 September 2011
Reference 2011/304 Section Credit Rating Agencies Type Consultation Paper Main document 2011_304.pdf Style ESMA document ...