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Consultation Paper - Guidelines on the submission of periodic information to ESMA by Credit Rating Agencies - 2nd Edition (ESMA33-9-252)Responding to this paperLegislative references, abbreviations and definitions1 Executive Summary2 Introduction3 Reporting Categorisations, Frequencies and Deadlines3.1 CRAs' reporting categorisation3.2 Reporting Frequencies and Deadlines4 Revised Reporting Requirements4.1 General Principles4.2 Scheduled Reporting4.2.1 Module: Governance4.2.2 Module: Ratings and Methodologies4.2.3 Module: Internal Control4.2.4 Module: Information Technology Reporting4.2.5 Module: Financials, FTE and Headcount4.2.6 Module: Internal Policies and Procedures4.3 Ad-Hoc Reporting Requirements4.3.1 Notifications of Material Changes to the Initial Conditions for registration4.3.2 Other Ad-Hoc Notifications5 Reporting Templates6 Comparison of Reporting Requirements7 Reporting Calendars8 Proposed Implementation of Revised GuidelinesAnnex I: Guidelines on Periodic information to be submitted to ESMA by Credit Rating AgenciesAnnex II - Reporting TemplatesAnnex III Cost Benefit AnalysisAnnex IV List of Questions
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Version date: 19 July 2018 - onwards

Legislative references, abbreviations and definitions

Closed
26 September 2018

CP

Consultation paper

CRA

Credit Rating Agency

CRA Regulation or CRAR

Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit ratings agencies as amended by Regulation (EU) No 513/2011 of the European Parliament and of the Council of 11 May 2011, Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011, Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013, and Directive 2014/51/EU of the European Parliament and of the Council of 16 April 2014

Delegated Regulation on Fees

The European Commission Delegated Regulation (2015/1) of 30 September 2014 supplementing CRAR with regard to regulatory technical standards for the periodic reporting on fees charged by credit rating agencies for the purpose of ongoing supervision by the European Securities and Markets Authority

Delegated Regulation on methodologies

Commission Delegated Regulation (EU) No 447/2012 of 21 March 2012 supplementing CRAR by laying down regulatory technical standards for the assessment of compliance of credit rating methodologies.

EU CRA

A credit rating agency registered with ESMA

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