德国和欧盟经济法数据库

 法规 (EC) No 1060/2009

I. 描述

The four overall objectives aiming at improving the process of issuance of credit ratings:

– first, to ensure that credit rating agencies avoid conflicts of interest in the rating process or at least manage them adequately;

– second, to improve the quality of the methodologies used by credit rating agencies and the quality of ratings;

– third, to increase transparency by setting disclosure obligations for credit rating agencies;

– fourth, to ensure an efficient registration and surveillance framework, avoiding ‘forum shopping’ and regulatory arbitrage between EU jurisdictions.

II. 基本信息

标题

Regulation No 1060/2009 of 16 September 2009 on credit rating agencies

缩写
CRA I
状态
现存
法规
(EC) No 1060/2009
官方. 版本
公告. EC 号. L (Legislation), 公布 302, 年 2009, S.1
日期
2009/09/16
公告
2009/11/17
法案
Lamfalussy-框架法案
法律基础
Art. 95 EC
法的实施
Codecision procedure
内容的背景

III. 文本和产生历史

1. 文本

Titel
Allg. Daten
Textfassung

  (EU) No 462/2013

Beschluss:
2013/05/21 (D)
Verkuendung:
2013/05/31 (V)

  (EU) No 513/2011

Beschluss:
2011/05/11 (D)
Verkuendung:
2011/05/31 (V)

原始.版本 CRA I:
Regulation No 1060/2009 of 16 September 2009 on credit rating agencies

  (EC) No 1060/2009

Beschluss:
2009/09/16 (D)
Verkuendung:
2009/11/17 (V)
(D) 日期 | (V)公布

2. Reformvorhaben

3. 发生史

Datum
Typ / Titel
Textfassungen
2009/05/13
Proposal
COM(2008) 704
2009/04/23
Position of the European Parliament
EP-PE_TC1-COD(2008)0217
2009/04/21
Proposal
Abl. EC 2009 No. C 115, p. 1
2009/04/01
Report of the European Parliament - 1st reading
A6-0191/2009
2008/11/12
Proposal
COM(2008)704

4. CESR Level 2

Delegierte VO272_2012
CESR/

IV. CESR- / ESMA 声明 (第三层次)

5/2011
Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009
ESMA/2011/139
11/2017
Final Report - Update of the guidelines on the application of the endorsement regime under 4(3) of the Credit Rating Agencies Regulation
33-9-205
8/2010
CESR’s Guidance on common standards for assessment of compliance of credit rating methodologies with the requirements set out in Article 8.3
CESR/10-945
8/2010
CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation
CESR/10-944
6/2010
CESR’s Guidance on Registration Process, Functioning of Colleges, Mediation Protocol, Information set out in Annex II, Information set for the application for Certification and for the assessment of CRAs systemic importance
CESR/10-347
6/2010
CESR’s Guidelines for the implementation of the Central Repository (CEREP)
CESR/10-331

V. Umsetzung in den Mitgliedstaaten

1. 在德国的实施

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目录

I. 描述
II. 基本信息
III. 文本和产生历史
1. 文本
2. Reformvorhaben
3. 发生史
4. CESR Level 2
IV. CESR- / ESMA 声明 (第三层次)
V. Umsetzung in den Mitgliedstaaten
1. 在德国的实施