(a) the unique reference number of each document; (b) the title of each document; (c) the chapter, section or page of each document where the relevant information is provided.
Commission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Text with EEA relevance. )
(a) the frequency and the depth of the review and evaluation as referred to in Article 22(4) of Regulation (EU) No 909/2014; (b) the commencement and end dates of the review period referred to in Article 40 of Delegated Regulation (EU) 2017/392. (c) the language in which all information shall be submitted. The competent authority may request the CSD to submit the same information in a language customary in the sphere of international finance.
(a) the respective roles and responsibilities; (b) the reasons for the on-site inspection.
(a) a CSD; (b) CSD participants; (c) settlement banks; (d) issuers for which the CSD provides the core services referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014.
(a) the competent authority of the place of establishment of the requesting participant in accordance with the fourth subparagraph of Article 33(3) of Regulation (EU) No 909/2014; (b) the competent authority of the place of establishment of the requesting issuer in accordance with the fourth subparagraph of Article 49(4) of Regulation (EU) No 909/2014; (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 in accordance with the fifth subparagraph of Article 52(2) of that Regulation; (d) the competent authority of the requesting CCP or trading venue in accordance with the fourth subparagraph of Article 53(3) of Regulation (EU) No 909/2014.
| Type of information | Format |
|---|---|
| Date of application | ISO 8601 date in the format YYYY-MM-DD |
| Corporate name of the applicant CSD | Free text |
| Identification of the applicant CSD | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code |
| Registered address of the applicant CSD | Free text |
| Securities settlement system(s) the applicant CSD operates or intends to operate | Free text |
| Contact details of the person responsible for the application (name, function, phone number, email address) | Free text |
| Contact details of the person(s) in charge of the applicant CSD's internal control and compliance function (name, function, phone number, email address) | Free text |
| List of all documents provided by the applicant CSD with unique reference numbers | Free text |
| The scope of information to be submitted in accordance with the specific requirement of the delegated act with regard to regulatory technical standards specifying the details of the application for authorisation of CSDs adopted pursuant to Article 17(9) of Regulation (EU) No 909/2014 | Unique reference number of the document | Title of the document | Chapter or section or page of the document where the information is provided or reason why the information is not provided |
|---|---|---|---|
| An application for authorisation submitted according to Article 17 of Regulation (EU) No 909/2014 shall clearly identify the entity applying the activities and services that it intends to carry out | |||
| The corporate name of the applicant CSD, its LEI and legal address in the Union | |||
| The memorandum and articles of association and other constitutional and statutory documentation | |||
| An excerpt from the relevant commercial or court register, or other forms of certified evidence of the legal address and business activity of the applicant CSD that shall be valid at the date of the application | |||
| The identification of the securities settlement systems that the applicant CSD operates or intends to operate | |||
| A copy of the decision of the management body regarding the application and the minutes of the meeting in which the management body approved the application file and its submission | |||
| The contact details of the person responsible for the application | |||
| A chart showing the ownership links between the parent undertaking, subsidiaries and any other associated entities or branches; the entities shown in the chart shall be identified by their full company name, legal status, legal address, and tax numbers or company registration numbers | |||
| A description of business activities of the applicant CSD's subsidiaries and other legal persons in which the applicant CSD holds a participation, including information on the level of participation | |||
| |||
| |||
| A list of core services listed in Section A of the Annex to Regulation (EU) No 909/2014 that the applicant CSD is providing or intends to provide | |||
| A list of ancillary services explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014 that the applicant CSD is providing or intends to provide | |||
| A list of any other ancillary services permitted under, but not explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014, that the applicant CSD is providing or intends to provide | |||
| A list of investment services and activities subject to Directive 2014/65/EU of the European Parliament and of the Council | |||
| A list of services the applicant CSD outsources or intends to outsource to a third party in accordance with Article 30 of Regulation (EU) No 909/2014 | |||
| The currency or currencies that the applicant CSD processes, or intends to process in connection with services the applicant CSD provides, irrespective of whether cash is settled on a central bank account, a CSD account, or an account at a designated credit institution; | |||
| Information on any pending and final judicial or civil, administrative and arbitration or any other legal proceedings to which the applicant CSD is a party, and which may cause it financial or other costs. | |||
| The Member State(s) in which the applicant CSD intends to operate | |||
| A programme of operations stating in particular the services which the applicant CSD provides or intends to provide in the host Member State | |||
| The currency or currencies that the applicant CSD processes or intends to process in that host Member State(s) | |||
| Where the services will be provided through a branch, the organisational structure of the branch and the names of the persons responsible for its management | |||
| Where relevant, an assessment of the measures that the applicant CSD intends to take to allow its users to comply with the national laws referred to in Article 49(1) of Regulation (EU) No 909/2014 | |||
| Where relevant, a description of the services or activities the applicant CSD outsources to a third party in accordance with Article 30 of Regulation (EU) No 909/2014 | |||
| The job titles of the persons responsible for the approval and maintenance of the policies and procedures | |||
| A description of the measures implementing and monitoring the compliance with, the policies and procedures | |||
| A description of the procedures put in place by the applicant CSD in compliance with any mechanism established in accordance with Article 65 of Regulation (EU) No 909/2014 | |||
| Detailed descriptions of the services and activities, and of procedures to be applied in the provision of the services and activities by the applicant CSD: | |||
| Core services specified under Section A of the Annex to Regulation (EU) No 909/2014 | |||
| Ancillary services explicitly listed in section B of the Annex to Regulation (EU) No 909/2014 | |||
| Any other ancillary services permitted under, but not explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014 | |||
| Investment services and activities subject to Directive 2014/65/EU referred to in the point above | |||
| Policies and procedures referred to in Article 26(7) of Regulation (EU) No 909/2014 | |||
| Information on the composition of the senior management, management body, and shareholders structure of the parent undertaking or other group undertakings | |||
| Services, as well as key individuals other than senior management holding functions that the applicant CSD shares with other undertakings in by the group | |||
| Where the CSD has a parent undertaking, information shall be provided as follows: | |||
| Identification of the legal address of the parent undertaking | |||
| An indication of whether the parent undertaking is an entity that is authorised or registered and subject to supervision under Union or third country laws | |||
| Where relevant, any relevant registration number and the name of the authority or authorities competent for the supervision of the parent undertaking | |||
| Where the applicant CSD has an agreement with an undertaking within the group, which provides services related to services provided by a CSD, a description and a copy of such agreement | |||
| Financial reports including a complete set of financial statements for the preceding three years, and the statutory audit report on the annual and consolidated financial statements within the meaning of Directive 2006/43/EC of the European Parliament and of the Council | |||
| The name and the national registration number of the external auditor | |||
| A business plan, including a financial plan and an estimated budget, that foresees various business scenarios for the CSD services, over a reference period of at least three years | |||
| Any plan for the establishment of subsidiaries and branches and their location | |||
| A description of the business activities that the applicant CSD plans to carry out, including the activities of any subsidiaries or branches of the applicant CSD | |||
| Evidence that demonstrates sufficient financial resources during six months after the granting of an authorisation | |||
| An interim financial report where the financial statements are not yet available for the requested period of time | |||
| A statement concerning the financial situation of the applicant CSD, such as a balance sheet, income statement, changes in equity and of cash flows and a summary of accounting policies and other relevant explanatory notes | |||
| Where applicable, audited annual financial statements of any parent undertaking for the three financial years preceding the date of the application | |||
| A description of an adequate recovery plan including: | |||
| A summary that provides an overview of the plan and its implementation | |||
| An identification of the critical operations of the applicant CSD, stress scenarios and events triggering recovery, and a substantive description of recovery tools to be used by the applicant CSD | |||
| Information about the assessment of any impacts of the recovery plan on various stakeholders that are likely to be affected by its implementation | |||
| An assessment by the applicant CSD of the legal enforceability of the recovery plan that takes account of any legal constraints imposed by the Union, national or third country legislation | |||
| |||
| The number of staff members in each division and operational unit | |||
| A description of the remuneration policy, which includes information about the fixed and variable elements of the remuneration of the senior management, the members of the management body and the staff employed in the risk management and compliance and internal control, technology and internal audit functions of the applicant CSD | |||
| The measures put in place by the applicant CSD to mitigate the risk of over-reliance on the responsibilities entrusted to any individual person | |||
| A description of the components of the governance arrangements of the applicant CSD | |||
| The policies, procedures and systems that identify, measure, monitor, manage and report the risks that the applicant CSD may be exposed to and the risks that the applicant CSD poses to any other entities; | |||
| A description of the composition, role and responsibilities of the members of the management body and senior management and any committees established in accordance with Delegated Regulation (EU) 2017/392 | |||
| A description of the processes concerning the selection, appointment, performance evaluation and removal of senior management and members of the management body | |||
| A description of the procedure used by the applicant CSD to make its governance arrangements and the rules governing its activity available to the public | |||
| The identification of the code of conduct (a copy of the code) | |||
| An explanation for any situations where the applicant CSD deviates from the code | |||
| A description of the procedures for the internal reporting of infringements referred to in Article 26(5) of Regulation (EU) No 909/2014 | |||
| A description of the monitoring and evaluation tools for the adequacy and effectiveness of the applicant CSD's internal control systems | |||
| A description of the control and safeguard tools for the applicant CSD's information processing systems | |||
| An explanation concerning the development and application of its internal audit methodology | |||
| A work plan for three years following the date of application | |||
| A description of the roles and qualifications of each individual who is responsible for internal audit | |||
| A description of the roles and qualifications of the individuals who are responsible for the compliance and internal control function and of any other staff involved in the assessments of compliance, including a description of the means to ensure the independence of the compliance and internal control function from the rest of the business units | |||
| The policies and procedures of the compliance and internal control function including a description of the compliance role of the management body and senior management | |||
| Where available, the most recent internal report prepared by the persons responsible for the compliance and internal control function or by any other staff involved in the assessments of compliance within the applicant CSD | |||
| For each member of the senior management and member of the management body, the following information: | |||
| A copy of a curriculum vitae which sets out the experience and knowledge of each member | |||
| Details regarding any criminal and administrative sanctions imposed on a member in connection with the provision of financial or data services or in relation to acts of fraud or misappropriation of funds in the form of an appropriate official certificate where available in the relevant Member State | |||
| A self-declaration of good repute in relation to the provision of a financial or data service, including all the statements indicated in Article 13(1)(c) of Delegated Regulation (EU) 2017/392 | |||
| An evidence of compliance with Article 27(2) of Regulation (EU) No 909/2014 | |||
| A description of the roles and responsibilities of the management body | |||
| A description of the ownership structure of the applicant CSD, including a description of the identity and size of interests of any entities in a position to exercise control over the operation of the applicant CSD | |||
| A list of the shareholders and persons who are in a position to exercise, directly or indirectly, control over the management of the applicant CSD | |||
| Policies and procedures put in place to identify and manage potential conflicts of interest by the applicant CSD: | |||
| A description of the policies and procedures concerning the identification, management and disclosure to the competent authority of potential conflicts of interest and of the process used to ensure that the staff of the applicant CSD is informed of such policies and procedures | |||
| A description of the controls and any other measures put in place to ensure that the requirements referred to in point (a) of Article 14(1) of Delegated Regulation (EU) 2017/392 on the management of conflicts of interest are met | |||
| |||
| |||
| Policies and procedures preventing the unauthorised use or disclosure of confidential information as defined in Article 15 of Delegated Regulation (EU) 2017/392 | |||
| Information concerning the access of staff to information held by the applicant CSD: | |||
| The internal procedures concerning permissions of access of staff to information that ensure secured access to data | |||
| A description of any restrictions on the use of data for reasons of confidentiality | |||
| Documents or information on each user committee: | |||
| The mandate of the user committee | |||
| The governance arrangements of the user committee | |||
| The operating procedures of the user committee | |||
| The admission criteria and the election mechanism for the members of the user committee | |||
| A list of the proposed members of the user committee and the indication of interests that they represent | |||
| Description of record-keeping systems of the applicant CSD, policies and procedures | |||
| Information referred to in Article 17(2) of Delegated Regulation (EU) 2017/392 before the date of application of Article 54 of Delegated Regulation (EU) 2017/392 | |||
| An analysis of the extent to which the applicant CSD's existing record-keeping systems, policies and procedures are compliant with the requirements under Article 54 of Delegated Regulation (EU) 2017/392 | |||
| An implementation plan detailing how the applicant CSD plans to be compliant with the requirements under Article 54 of Delegated Regulation (EU) 2017/392 by the required date | |||
| A description of goals and objectives of the applicant CSD. | |||
| The procedures established by the applicant CSD for the handling of complaints | |||
| Information concerning the participation in the securities settlement system(s) operated by the applicant CSD: | |||
| The criteria for participation that allow fair and open access for all legal persons that intend to become participants in the securities settlement system(s) operated by the applicant CSD | |||
| The procedures for the application of disciplinary measures against the existing participants that do not comply with the criteria for participation | |||
| Information on the applicant CSD's pricing policy, including in particular the prices and fees for each core service provided by the applicant CSD and any existing discounts and rebates, as well as the conditions for such reductions | |||
| A description of methods used to disclose the relevant information to clients and prospective clients in accordance with Article 34(1) to (5) of Regulation (EU) No 909/2014 | |||
| Information allowing the competent authority to assess how the CSD intends to comply with the requirements to account separately for costs and revenues in accordance with Article 34(7) of Regulation (EU) No 909/2014 | |||
| Relevant information concerning the use by the applicant CSD of international open communication procedures and standards for messaging and reference data in its communication procedures with participants and other market infrastructures | |||
| Information concerning the processes that ensure the compliance of the applicant CSD with Article 3 of Regulation (EU) No 909/2014 | |||
| Rules and procedures concerning the measures to prevent settlement fails | |||
| Details of the measures to address settlement fails | |||
| An analysis of the extent to which the applicant CSD's existing rules, procedures, mechanisms and measures comply with the requirements under the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014. | |||
| An implementation plan detailing how the CSD plans to be compliant with the requirements under the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014 by the date of their entry into force | |||
| Information concerning the CSD's rules and procedures for ensuring the integrity of securities issues | |||
| Information concerning the measures put in place to ensure the protection of the applicant CSD's participants' and their clients' securities, including: | |||
| The rules and procedures to reduce and manage the risks associated with the safekeeping of securities | |||
| Detailed description of the different levels of segregation offered by the applicant CSD, including a description of the costs associated with each level, the commercial terms on which they are offered, their main legal implications and the applicable insolvency law | |||
| Rules and procedures for obtaining the consents referred to Article 38(7) of Regulation (EU) No 909/2014 | |||
| Information concerning the rules on settlement finality | |||
| The procedures for the settlement of the cash payments for each securities settlement system that the applicant CSD operates | |||
| Information on whether the settlement of the cash payments is provided in accordance with Article 40(1) of Regulation (EU) No 909/2014 | |||
| Where applicable, explanation of why settlement in accordance with Article 40(1) of Regulation (EU) No 909/2014 is not practical and available | |||
| The rules and procedures put in place to manage the default of a participant | |||
| Information concerning the procedures put in place by the applicant CSD that shall ensure the timely and orderly settlement and transfer of the assets of clients and participants to another CSD in the event of a withdrawal of its authorisation | |||
| Information enabling the competent authority to assess that the rules, procedures, and contracts of the applicant CSD are clear, understandable and enforceable in all relevant jurisdictions in accordance with Article 43(1) and (2) of Regulation (EU) No 909/2014 | |||
| Where the applicant CSD intends to conduct business in different jurisdictions, information concerning the measures put in place to identify and mitigate the risks arising from potential conflicts of laws across jurisdictions in accordance with Article 43(3) of Regulation (EU) No 909/2014, including any legal assessment on which those measures are based. | |||
| A description of the risk management and control systems as well as the IT tools put in place by the CSD to manage business risks | |||
| Where applicable, the risk rating obtained from a third party, including any relevant information supporting that risk rating | |||
| Evidence demonstrating that the applicant CSD complies with the requirement for the management of operational risks in accordance with Article 45 of Regulation (EU) No 909/2014 and Chapter X of Delegated Regulation (EU) 2017/392 | |||
| |||
| |||
| Information demonstrating that the capital of the applicant CSD, including retained earnings and reserves of the applicant CSD, meets the requirements of Article 47 of Regulation (EU) No 909/2014 and of Delegated Regulation (EU) 2017/392 | |||
| The plan referred to in Article 47(2) of Regulation (EU) No 909/2014 and any updates to that plan, and evidence of its approval by the management body or an appropriate committee of the management body of the applicant CSD | |||
| A description of the CSD links accompanied by assessments of link arrangements by the applicant CSD | |||
| The expected or actual settlement volumes and values of the settlement performed within the CSD links | |||
| The procedures concerning the identification, assessment, monitoring and management of all potential sources of risk for the applicant CSD and for its participants arising from the link arrangement and the appropriate measures put in place to mitigate them | |||
| An assessment of the applicability of insolvency laws applicable to the operation of a CSD link and their implications for the applicant CSD | |||
| Other relevant information necessary for assessing the compliance of CSD links with the requirements provided in Article 48 of Regulation (EU) No 909/2014 and Chapter XII of Delegated Regulation (EU) 2017/392 | |||
| A description of procedures for dealing with requests for access from: | |||
| Legal persons that wish to become participants in accordance with Article 33 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392 | |||
| Issuers in accordance with Article 49 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392 | |||
| Other CSDs in accordance with Article 52 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392 | |||
| Other market infrastructures in accordance with Article 53 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392 | |||
| Any additional information necessary for assessing whether, at the time of the authorisation, the applicant CSD complies with the requirements of Regulation (EU) No 909/2014 and the relevant delegated and implementing acts adopted under Regulation (EU) No 909/2014 | |||
| Type of information | Format |
|---|---|
| Date of submission of information | ISO 8601 date in the format YYYY-MM-DD |
| Date of the last review and evaluation | ISO 8601 date in the format YYYY-MM-DD |
| Corporate name of the CSD | Free text |
| Identification of the CSD | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code |
| Legal address of the CSD | Free text |
| Securities settlement system(s) operated by the CSD | Free text |
| Contact details of the person responsible of the review and evaluation process (name, function, phone number, email address) | Free text |
| Contact details of the person(s) responsible for the CSD's internal control and compliance function (name, function, phone number, email address) | Free text |
| List of all documents provided by the CSD with unique reference numbers | Free text |
| Report on the CSD's activities and the substantive changes made during the review period, including a declaration of overall compliance with the provisions of Regulation (EU) No 909/2014 and the relevant regulatory technical standards under Regulation (EU) No 909/2014, including with respect to each substantive change | Separate document |
| No | Type of information | The unique reference number of the document in which the information is included |
|---|---|---|
| 1 | A complete set of the latest audited financial statements of the CSD, including those consolidated at group level | |
| 2 | A summarised version of the most recent interim financial statements of the CSD | |
| 3 | Any decisions of the management body following the advice of the user committee, as well as any decisions where the management body has decided not to follow the advice of the user committee | |
| 4 | Information on any pending civil, administrative or any other judicial or extrajudicial proceedings involving the CSD, in particular in relation to matters concerning tax and insolvency, or matters that may cause financial or reputational costs for the CSD, and any final decisions resulting from these proceedings | |
| 5 | Information on any pending civil, administrative or any other judicial or extrajudicial, proceedings involving a member of the management body or a member of the senior management that may have an negative impact on the CSD, and any final decisions resulting from these proceedings | |
| 6 | A copy of the results of business continuity stress tests or similar exercises performed during the review period | |
| 7 | A report on the operational incidents that occurred during the review period and affected the smooth provision of any core services provided, the measures taken to address them and the results thereof | |
| 8 | A report on the system's performance, including an assessment of the system's availability during the review period; the system's availability shall be measured on a daily basis as the percentage of time the system is available for settlement | |
| 9 | A summary of the types of manual intervention performed by the CSD | |
| 10 | Information concerning the identification of the CSD's critical operations, any substantive changes to its recovery plan, the results of stress scenarios, the recovery triggers and the recovery tools of the CSD | |
| 11 |
| |
| 12 | Information concerning the cases where the CSD denied access to its services to any existing or potential participant, any issuer, another CSD or another market infrastructure | |
| 13 | A report on the changes affecting any links established by the CSD, including changes to the mechanisms and procedures used for settlement in such CSD links | |
| 14 | Information concerning all cases of identified conflicts of interest that occurred during the review period, including the description of how they were managed | |
| 15 | Information concerning internal controls and audits performed by the CSD during the review period | |
| 16 | Information concerning any identified infringements of Regulation (EU) No 909/2014, including those identified through the reporting channel referred to in Article 26(5) of Regulation (EU) No 909/2014 | |
| 17 | Detailed information concerning any disciplinary actions taken by the CSD, including any cases of suspension of participants in accordance with Article 7(9) of Regulation (EU) No 909/2014 with a specification of the period of suspension and the reason for such suspension | |
| 18 | The general business strategy of the CSD covering a period of at least three years after the last review and evaluation and a detailed business plan for the services provided by the CSD covering at least a period of one year after the last review and evaluation |
| No | Type of data | Format |
|---|---|---|
| 1 | List of participants to each securities settlement system operated by the CSD, including information on their country of incorporation | |
| 2 | List of issuers and a list of securities issues maintained by the CSD, including information on the country of incorporation of the issuers, and an identification of the issuers, highlighting to whom the CSD provides services referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014 | |
| 3 | Total market value and nominal value of the securities recorded in securities accounts centrally and non-centrally maintained in each securities settlement system operated by the CSD | |
| 4 |
|
|
| 5 | Nominal and market value of the securities initially recorded in each securities settlement system operated by the CSD | |
| 6 |
| |
| 7 | Total number and value of the settlement instructions against payment plus the total number and market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled in each securities settlement system operated by the CSD | |
| 8 |
| |
| 9 | Number and value of buy-in transactions referred to in Article 7(3) and (4) of Regulation (EU) No 909/2014 | |
| 10 | Number and amount of penalties referred to in Article 7(2) of Regulation (EU) No 909/2014 per CSD participant | |
| 11 | Total value of securities borrowing and lending operations processed by the CSD acting as an agent and as principal, as the case may be, divided per type of financial instruments referred to in point 4 |
|
| 12 |
|
|
| 13 | Value of guaranties and commitments related to securities borrowing and lending operations | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character. |
| 14 | Value of treasury activities involving foreign exchange and transferable securities related to managing participants' long balances including categories of institutions whose long balances are managed by the CSD | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character. |
| 15 | Number of reconciliation problems encountered according to undue creation or deletion of securities in the issue maintained by the CSD that met Article 65(2) of Delegated Regulation (EU) 2017/392 | Up to 20 numerical characters reported as whole numbers without decimals. |
| 16 | Mean, median, and mode for the length of time taken to remedy the error identified according to Article 65(2) of Delegated Regulation (EU) 2017/392 |
| Field | Content | Frequency |
|---|---|---|
| Corporate name of the CSD | name | when changes occur |
| Legal address of the CSD | address | when changes occur |
| List of services that the CSD provides in accordance with the Annex of Regulation (EU) No 909/2014 | list | when changes occur |
| Structure and ownership of the group to which the CSD belongs | schema | when significant changes occur |
| Level of the capital of the CSD (where relevant, Tier 1 capital and total capital) | table | when significant changes occur |
| Organisation, management body and senior management of the CSD (including CVs) | description | when changes occur |
| Processes and arrangements for governance | description | when changes significantly impact the governance of the CSD |
| Details of the authorities involved in the supervision/oversight of the CSD | name/function | advance notification, where practicable, or as soon as possible |
| Information on any material threats to the CSD's ability to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations | description | advance notification, where practicable, or without undue delay |
| Sanctions and exceptional supervisory measures which may impact the activities of the CSD's branch | description | advance notification, where practicable, or without undue delay |
| Repo on major problems of performance or incidents and remedial actions taken which may impact the activities of the branch | description | when it occurs |
| Difficulties in the CSD's operations that have potentially significant spill-over effects on the branch | Description | as soon as possible |
| Factors which suggest a potentially high risk of contagion from the operations of the CSD to the branch | description | as soon as possible |
| Extension of services or withdrawal of the authorisation | description | advance notification, where practicable, or as soon as possible |
| Headcount statistics | table | yearly basis |
| Financial data, such as balance sheet, profit and loss accounts | table | yearly basis |
| Size of the operations (assets under custody, revenues) | table | yearly basis |
| Risk Management Policy | description | when changes significantly impact the governance or risk management of the CSD |
| Where relevant for the branch, outsourcing agreements concerning the services provided by the branch | schema | when changes significantly impact the governance or risk management of the CSD |
| Other information for the purpose of fulfilling its mandate | Upon the request of the competent authority of the host Member State | |
| Corporate name of the branch | name | when changes occur |
| Legal address of the branch | address | when changes occur |
| List of services provided through the branch in accordance with the Annex of Regulation (EU) No 909/2014 | list | when changes occur |
| Organisation, senior management of the branch | description | when changes occur |
| Processes and arrangements specific to the governance of the branch | description | when changes significantly impact the governance or risk management of the CSD |
| Details of the authorities involved in the supervision/oversight of the branch | name/function | advance notification, where practicable, or as soon as possible |
| Information on any material threats to the ability of the CSD's branch to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations | description | advance notification, where practicable, or as soon as possible |
| Sanctions and exceptional supervisory measures applied to the branch | description | advance notification, where practicable, or as soon as possible |
| Repo on major performance problems or incidents and remedial actions taken | description | when it occurs |
| Difficulties in the branch's operations that have potentially significant spill-over effects on the CSD | description | as soon as possible |
| Factors which suggest a potentially high risk of contagion from the operations of the branch to the operations of the CSD | description | as soon as possible |
| Headcount statistics of the branch | table | yearly basis |
| Financial data, such as balance sheet, profit and loss accounts concerning the branch | table | yearly basis |
| Other information for the purpose of fulfilling its mandate | Upon the request of the competent authority of the home Member State |
| Field | Content |
|---|---|
| Name of the competent authority requesting the on-site inspection | Name |
| Primary and secondary contact person of the competent authority requesting the on-site inspection | name, telephone number, email address, role |
| Name of the branch of the CSD where the on-site inspection will take place | name and address |
| Name of the CSD that has established the branch | Name |
| Where available, contact person of the CSD or the branch in charge of the on-site inspection | name, telephone number, email address, role |
| Name of the other competent authority | name |
| Primary and secondary contact person of the other competent authority | name, telephone number, email address, role |
| Scheduled date of the on-site inspection | YYYY/MM/DD — YYYY/MM/DD |
| Rationale for the on-site inspection | text |
| Underlying documents that are planned to be used in the context of the on-site inspection | list of documents |
| Field | Content |
|---|---|
| Corporate name of the CSD | name |
| Legal address of the CSD | address |
| List of services the CSD provides in accordance with the Annex to Regulation (EU) No 909/2014 | list |
| Corporate name of the CSD participants as Legal Entities | list |
| Home country of the CSD participants (ISO 2-digit country code) | list |
| LEI of the issuers whose securities issues are recorded in securities accounts centrally or not centrally maintained by the CSD | list |
| Home country of issuers (ISO 2-digit country) | list |
| ISIN code of the issued securities constituted under the law of the host Member State initially recorded in the CSD of the home Member State | list |
| Market value or, if not available, nominal value of securities issued by issuers from the host Member State for which the CSD of the home Member State provides the core services referred to in point 1 or 2 of Section A of the Annex to of Regulation (EU) No 909/2014 | figure |
| Market value or, if not available, nominal value of securities recorded in securities accounts not centrally maintained by the CSD of the home Member State for participants and other holders of securities accounts of the host Member State | figure |
| Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State in relation to transactions in securities issued by issuers from the host Member State | figure |
| Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State from participants as well as for other holders of securities accounts of the host Member State | figure |
| Other information for the purpose of fulfilling its mandate |
| Field | Content |
|---|---|
| Name of the competent authority of the host Member State | Name |
| Primary and secondary contact person of the competent authority of the host Member State | name, telephone number, email address, role |
| Name of the CSD that provides services in the host Member State considered to be in breach of its obligations | name and address |
| Contact person of the CSD that provides services in the host Member State considered to be in breach of its obligations | name, telephone number, email address, role |
| Name of the competent authority of the home Member State | name |
| Primary and secondary contact person of the competent authority of the home Member State | name, telephone number, email address, role |
| Where relevant, primary and secondary contact person of ESMA | name, telephone number, email address, role |
| Description of the grounds for believing that the CSD established in the home Member State providing services in the territory of the host Member State according to Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014 | text |
| No | Field | Format |
|---|---|---|
| 1 | Settlement instruction type |
|
| 2 | Transaction type |
|
| 3 | Unique Instruction Reference of the participant | Unique instruction reference of the participant according to the CSD's rules |
| 4 | Trade date | ISO 8601 date in the format YYYY-MM-DD |
| 5 | Intended Settlement Date | ISO 8601 date in the format YYYY-MM-DD |
| 6 | Settlement timestamp | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 7 | Timestamp of the moment of entry of the settlement instruction into the securities settlement system | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 8 | Timestamp of the moment of irrevocability of the settlement instruction | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 9 | Matching timestamp, where applicable | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 10 | Securities account identifier | Unique securities account identifier provided by the CSD |
| 11 | Cash account identifier | Unique cash account identifier provided by the central bank or the CSD authorised in accordance with point (a) of Article 54(2) of Regulation (EU) No 909/2014 or a designated credit institution referred to in point (b) of Article 54(2) of Regulation (EU) No 909/2014 |
| 12 | Settlement bank identifier | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 13 | Identifier of the instructing participant | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 14 | Identifier of the instructing participant's counterparty | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) (with the obligation to convert to LEI for the purposes of reporting to authorities) |
| 15 | Identifier of the instructing participant's client, where known to the CSD | |
| 16 | Identifier of the client of the instructing participant's counterparty, where known to the CSD | |
| 17 | Securities identifiers | ISO 6166 ISIN 12 character alphanumerical code |
| 18 | Settlement currency | ISO 4217 Currency Code, 3 alphabetical digits |
| 19 | Settlement cash amount | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character |
| 20 | Quantity or nominal amount of securities | Up to 20 numerical characters reported as whole numbers without decimals |
| 21 | Status of settlement instructions |
|
| 22 | Place of trading | Populated by the MIC (ISO Market Identification Code) (ISO 10383) if the instruction is resulting from a trade concluded on a trading venue or blank for OTC transactions |
| 23 | If applicable, place of clearing | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code of the CCP clearing the transaction, or Bank Identifier Code (BIC) of the CCP with the obligation to convert to LEI for the purposes of reporting to authorities |
| 24 |
| |
| 25 | For each settlement instruction that fails to settle on ISD, the amount of the penalties referred to in Article 7(2) of Regulation (EU) No 909/2014 | Amount of penalties: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character |
| No | Field | Format |
|---|---|---|
| 1 | Identifiers of issuers for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014 | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) for legal persons with the obligation to convert to LEI for the purposes of reporting to authorities |
| 2 | Identifier of each securities issue for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014 | ISO 6166 ISIN 12 character alphanumerical code |
| 3 | Identifier of each securities issue recorded in securities accounts not centrally maintained by the CSD | ISO 6166 ISIN 12 character alphanumerical code |
| 4 | Identifier of the issuer CSD or of the relevant third country entity performing similar functions to an issuer CSD for each securities issue referred to in point 3 | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 5 | For each securities issue referred to in points 2 and 3, the law under which the securities recorded by the CSD are constituted | ISO 3166 2 character country code |
| 6 | Country of incorporation of the issuers of each securities issue referred to in points 2 and 3 | ISO 3166 2 character country code |
| 7 | Issuers' securities accounts identifiers, in the case of issuer CSDs | Unique securities account identifier provided by the issuer CSD |
| 8 | Issuers' cash accounts identifiers, in the case of issuer CSDs | International Bank Account Number (IBAN) |
| 9 | Identifiers of settlement banks used by each issuer, in the case of issuer CSDs | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 10 | Participants' identifiers | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 11 | Participants' country of incorporation | ISO 3166 2 character country code |
| 12 | Participants' securities accounts identifiers | Unique securities account identifier provided by the CSD |
| 13 | Participants' cash accounts identifiers | Unique cash account identifier provided by the central bank |
| 14 | Identifiers of settlement banks used by the each participant | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 15 | Country of incorporation of settlement banks used by each participant | ISO 3166 2 character country code |
| 16 |
| |
| 17 | End of day balances of securities accounts for each ISIN | Files, documents |
| 18 | For each securities account and ISIN, the number of securities subject to settlement restrictions, type of restriction and, where relevant, the identity of the beneficiary of the restriction at the end of day | Files, documents |
| 19 | Records of settlement fails, as well as of the measures adopted by the CSD and its participants to improve settlement efficiency, in accordance with the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014 | Files, documents |
| No. | Ancillary Services under Regulation (EU) No 909/2014 | Types of records | Format |
|---|---|---|---|
| 1 | Organising a securities lending mechanism, as agent among participants of a securities settlement system |
| Files, documents |
| 2 | Providing collateral management services, as agent for participants in a securities settlement system |
| Files, documents |
| 3 | Settlement matching, instruction routing, trade confirmation, trade verification |
| Files, documents |
| 4 | Services related to shareholders' registers |
| Files, documents |
| 5 | Supporting the processing of corporate actions, including tax, general meetings and information services |
| Files, documents |
| 6 | New issue services, including allocation and management of ISIN codes and similar codes |
| Files, documents |
| 7 | Instruction routing and processing, fee collection and processing and related reporting |
| Files, documents |
| 8 | Establishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services |
| Files, documents |
| 9 | Providing general collateral management services as an agent |
| Files, documents |
| 10 | Providing regulatory reporting |
| Files, documents |
| 11 | Providing information, data and statistics to market/census bureaus or other governmental or inter-governmental entities |
| Files, documents |
| 12 | Providing IT services |
| Files, documents |
| 13 | Providing cash accounts to, and accepting deposits from, participants in a securities settlement system and holders of securities accounts, within the meaning of point 1 of Annex I of Directive 2013/36/EU of the European Parliament and of the Council |
| Files, documents |
| 14 | Providing cash credit for reimbursement no later than the following business day, cash lending to pre-finance corporate actions and lending securities to holders of securities accounts, within the meaning of point 2 of Annex I to Directive 2013/36/EU |
| Files, documents |
| 15 | Payment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU |
| Files, documents |
| 16 | Guarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU |
| Files, documents |
| 17 | Treasury activities involving foreign exchange and transferable securities related to managing participants' long balances, within the meaning of points 7(b) and (e) of Annex I to Directive 2013/36/EU |
| Files, documents |
| No | Item | Format | Description |
|---|---|---|---|
| 1 | Organisational charts | Charts | Management body, senior management, relevant committees, operational units and all other units or divisions of the CSD |
| 2 | Identities of the shareholders or persons (natural or legal persons), that exercise direct or indirect control over the management of the CSD or that hold participations in the capital of the CSD and the amounts of those holdings | Shareholders or persons that exercise direct or indirect control over the management of the CSD or hold participations in the capital of the CSD (fields to be added for each of the relevant shareholder/person) | |
| 3 | CSD participations in the capital of other legal entities | Identification of each legal entity (fields to be added for each legal entity) | |
| 4 | Documents attesting the policies, procedures and processes required under the CSD's organisational requirements and in relation to the services provided by the CSD | Files, documents | |
| 5 | Minutes of management body meetings and of meetings of senior management committees and other committees of the CSD | Files, documents | |
| 6 | Minutes of the meetings of user committee(s) | Files, documents | |
| 7 | Minutes of the meetings with consultation groups composed of participants and clients, if any | Files, documents | |
| 8 | Internal and external audit reports, risk management reports, compliance and internal control reports, including responses from senior management to such reports | Files, documents | |
| 9 | All outsourcing contracts | Files, documents | |
| 10 | Business continuity policy and disaster recovery plan | Files, documents | |
| 11 | Records reflecting all assets and liabilities and capital accounts of the CSD | Files, documents | |
| 12 | Records reflecting all costs and revenues, including costs and revenues which are accounted separately in accordance with Article 34(6) of Regulation (EU) No 909/2014 | Files, documents | |
| 13 | Formal complaints received | Free text | For each formal complaint: information on complainant's name and address; date of receiving the complaint; names of all persons identified in the complaint; description of the nature of the complaint; content and outcome of the complaint; date when the complaint was resolved. |
| 14 | Information on any interruption or dysfunction of services | Free text | Records of any interruption or dysfunction of services, including a detailed report on the timing, effects of such interruption or dysfunction and remedial actions taken |
| 15 | Records of the results of the back and stress tests performed for the CSDs providing banking-type ancillary services | Files, documents | |
| 16 | Written communications with the competent authority, ESMA and relevant authorities | Files, documents | |
| 17 | Legal opinions received in accordance with the relevant provisions on organisational requirements provided in Chapter VII of Delegated Regulation (EU) 2017/392 | Files, documents | |
| 18 | Legal documentation regarding CSD link arrangements in accordance with Chapter XII of Delegated Regulation (EU) 2017/392 | Files, documents | |
| 19 | Tariffs and fees applied to the different services, including any discount or rebate | Free text |
| Sender: requesting party | ||||
| Addressee: receiving party | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request (name, function, phone number, email address) | Name | Function | Phone | |
| Types of services | ||||
| Description of services | ||||
| Name and contact details of the competent authority of the requesting party | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | Name | Function | Phone | |
| Sender: receiving party | ||||
| Addressee: requesting party | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request (name, function, phone number, email address) | Name | Function | Phone | |
| Corporate name of the requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request (name, function, phone number, email address) | Name | Function | Phone | |
| Access granted | ||||
| Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| Sender: receiving CSD | ||||
| Addressee: requesting party | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving CSD | ||||
| Corporate name of receiving CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| Corporate name of the requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access | Name | Function | Phone | |
| Legal risks resulting from the provision of services | ||||
| Financial risks resulting from the provision of services | ||||
| Operational risks resulting from the provision of services | ||||
| Access would affect the risk profile of the CSD | ||||
| Access would affect the smooth and orderly functioning of the financial markets | ||||
| Access would cause systemic risk | ||||
| In case of refusal of access, a summary of the reasons for such a refusal | ||||
| Deadline for complaint by the requesting party to the competent authority of the receiving CSD | ||||
| Access granted | ||||
| Name and contact details of the competent authority of the receiving CSD | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | Name | Function | Phone | |
| Sender: receiving party | ||||
| Addressee: requesting CSD | ||||
| Date of request for access | ||||
| Reference number given by the requesting CSD | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address) | ||||
| Corporate name of the requesting CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| Risks resulting from the provision of services | ||||
| Access would affect the smooth and orderly functioning of the financial markets | ||||
| Access would cause systemic risk | ||||
| A summary of the reasons for such a refusal | ||||
| Deadline for complaint by the requesting CSD to the competent authority of the receiving party | ||||
| Access granted | ||||
| Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| Sender: requesting party | ||||
| Addressee: competent authority of receiving CSD | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of request for access | ||||
| Reference number given by the receiving CSD | ||||
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| Corporate name of the receiving CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| Comments of the requesting party on the legal risks resulting from the provision of services | ||||
| Comments of the requesting party on the financial risks resulting from the provision of services | ||||
| Comments of the requesting party on the operational risks resulting from the provision of services | ||||
| Comments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities. | ||||
| Comments of the requesting party on the reasons of the receiving party for refusal of access | ||||
| Any relevant additional information | ||||
| Copy of the initial application for access submitted by the requesting party to the receiving CSD | ||||
| Copy of the response of the receiving CSD to the initial request for access | ||||
| Sender: requesting CSD | ||||
| Addressee: competent authority of receiving party | ||||
| Date of request for access | ||||
| Reference number given by the requesting CSD | ||||
| Date of receipt of request for access | ||||
| Reference number given by the receiving party | ||||
| Corporate name of requesting CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| Comments of the requesting CSD on the risks resulting from the provision of services | ||||
| Comments of the requesting CSD on the reasons of the receiving party for refusal of access | ||||
| Any relevant additional information | ||||
| Copy of the initial application for access submitted by the requesting CSD to the receiving party | ||||
| Copy of the response of the receiving party to the initial request for access | ||||
| Sender: competent authority of the receiving party | ||||
| ||||
| Date of the request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Date of receipt of refusal of access complaint | ||||
| Reference number given by the competent authority of the receiving party | ||||
| Name and contact details of the competent authority of the receiving party | Name | Function | Phone | |
| Where applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | Name | Function | Phone | |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address) | ||||
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| ||||
| Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | ||||
| Refusal to grant access is deemed unjustified | ||||
| Reasons provided by the competent authority of the receiving party in support of its assessment | ||||
| Copy of the initial application for access submitted by the requesting party to the receiving party | ||||
| Copy of the response of the receiving party to the initial request for access | ||||
| Copy of the complaint from the requesting party regarding the refusal of access | ||||
| ||||
| ||||
| Date of the request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Date of receipt of the complaint for refusal of access | ||||
| Reference number given by the competent authority of the receiving party | ||||
| Date of receipt of the assessment provided by the competent authority to the receiving party | ||||
| Reference number given by the competent authority of the requesting party | ||||
| Name | Function | Phone | |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| ||||
| Refusal to grant access is deemed unjustified | ||||
| Reasons provided by the authority in support of its assessment | ||||
| ||||
| Refusal to grant access is deemed unjustified | ||||
| Reasons provided by the authority in support of its assessment | ||||
| Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I | ||||
| Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II | ||||
| Sender: competent authority of the receiving party | ||||
| ||||
| Date of the request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Date of receipt of the complaint for refusal of access | ||||
| Reference number given by the competent authority of the receiving party | ||||
| Date of receipt of the assessment by the competent authority of the requesting party and, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | ||||
| Reference number given by the competent authority of the requesting party or, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | ||||
| Name and contact details of the competent authority of the receiving party | Name | Function | Phone | |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| ||||
| ||||
| Refusal to grant access is deemed unjustified | ||||
| Reasons provided by the competent authority of the receiving party in support of its assessment | ||||
| When the refusal to grant access is deemed unjustified, a copy of the order requiring the receiving party to grant access to the requesting party, including the applicable deadline for compliance. | ||||
1. [Competent Authority to list the Authorities referred to in Article 55(4) of Regulation (EU) No 909/2014]
[Name of authority concerned having issued an opinion] on [date of the reasoned opinion]; [Name of authority concerned having issued an opinion] on [date of the reasoned opinion]; …
[Name of authority concerned that had issued a negative reasoned opinion] on [date of the reasoned opinion], [Name of Authority concerned that had issued a negative reasoned opinion] on [date of the reasoned opinion], …