ESMA Library

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.

538 documents
Date Reference Title Sort descending Sections Type Main document Info
ESMA 33-9-371 Final Report Guidelines Internal Control for CRAs Credit Rating Agencies Report DOWNLOAD 430.48 KB
ESMA71-99-650 Kroll Bond Rating Agency Europe Limited Registration Credit Rating Agencies, Press Releases Statement DOWNLOAD 164.33 KB
MOU SFC ESMA MOU on the supervision of CRAs - ESMA and SFC Hong Kong Credit Rating Agencies, International cooperation Reference DOWNLOAD 497.63 KB
ESMA 80-416-252 Response Form - CP Revision to Guidelines and Recommendations on the Scope of the CRA Regulation Credit Rating Agencies Reference DOWNLOAD 622.67 KB
2013/87 2013 CRA supervision and policy work plan Credit Rating Agencies Reference DOWNLOAD 114.95 KB
2016/1662 2016-1662 Competition & Choice in the Credit Rating Industry Credit Rating Agencies Report DOWNLOAD 1.22 MB
ESMA22-106-484 2018 SMSG application form Board of Supervisors, Securities and Markets Stakeholder Group Reference DOWNLOAD 39.24 KB
ESMA22-106-196 Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 144.22 KB
2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 27.43 KB
2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 46.94 KB
2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 88.23 KB
2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 149.17 KB
2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 83.35 KB
2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 138.1 KB
2015/SMSG/026 Advice on Proxy advisors Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 206.54 KB
ESMA/2015/SMSG/031 Advice on sound remuneration under UCITS and AIFMD Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 123.3 KB
2012/SMSG/25 Advice on the discussion paper on Proxy Advisors Securities and Markets Stakeholder Group Letter DOWNLOAD 236.57 KB
Related documents Discussion Paper - An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options
Summary
Translated versions
ESMA22-106-4389 Advice on the SMSG’s role in the Breach of EU Law Procedure Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 191.55 KB
2013/SMSG/05 Agenda 18 April 2013 Securities and Markets Stakeholder Group DOWNLOAD 128.22 KB
2013/SMSG/01 Agenda 30-31 January 2013 Securities and Markets Stakeholder Group Reference DOWNLOAD 109.96 KB