Consultation Paper - Guidelines on the submission of periodic information to ESMA by Credit Rating Agencies - 2nd Edition (ESMA33-9-252)

Published date: 19 July 2018

Closed

26 September 2018

	Responding to this paper
	Legislative references, abbreviations and definitions
	1 Executive Summary
	2 Introduction
	3 Reporting Categorisations, Frequencies and Deadlines
	3.1 CRAs' reporting categorisation
	3.2 Reporting Frequencies and Deadlines
	4 Revised Reporting Requirements
	4.1 General Principles
	4.2 Scheduled Reporting
	4.2.1 Module: Governance
	4.2.2 Module: Ratings and Methodologies
	4.2.3 Module: Internal Control
	4.2.4 Module: Information Technology Reporting
	4.2.5 Module: Financials, FTE and Headcount
	4.2.6 Module: Internal Policies and Procedures
	4.3 Ad-Hoc Reporting Requirements
	4.3.1 Notifications of Material Changes to the Initial Conditions for registration
	4.3.2 Other Ad-Hoc Notifications
	5 Reporting Templates
	6 Comparison of Reporting Requirements
	7 Reporting Calendars
	8 Proposed Implementation of Revised Guidelines
	Annex I: Guidelines on Periodic information to be submitted to ESMA by Credit Rating Agencies
	Annex II - Reporting Templates
	Annex III Cost Benefit Analysis
	Annex IV List of Questions

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