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Document 32024R2956
Commission Implementing Regulation (EU) 2024/2956 of 29 November 2024 laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information
Commission Implementing Regulation (EU) 2024/2956 of 29 November 2024 laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information
Commission Implementing Regulation (EU) 2024/2956 of 29 November 2024 laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information
C/2024/8367
OJ L, 2024/2956, 2.12.2024, ELI: http://data.europa.eu/eli/reg_impl/2024/2956/oj (BG, ES, CS, DA, DE, ET, EL, EN, FR, GA, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)
In force
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Official Journal |
EN L series |
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2024/2956 |
2.12.2024 |
COMMISSION IMPLEMENTING REGULATION (EU) 2024/2956
of 29 November 2024
laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2022/2554 of the European Parliament and of the Council of 14 December 2022 on digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011 (1), and in particular Article 28(9), second subparagraph, thereof,
Whereas:
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(1) |
It is necessary to establish standard templates for the purposes of the register of information in relation to all contractual arrangements on the use of ICT services provided by information and communication technology (ICT) third-party service providers referred to in Article 28(3) of Regulation (EU) 2022/2554. Information gathered from that register is essential for the financial entities’ internal ICT risk management, for the effective supervision of the financial entities by their competent authorities, and for the establishment and conduct of oversight of the critical ICT third-party providers by the Lead Overseer. Furthermore, that information is essential for the annual process to designate critical ICT third-party service providers by the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority (collectively ‘European Supervisory Authorities’ (ESAs)). |
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(2) |
To ensure supervisory outcomes which are consistent with the existing supervisory frameworks, the parent undertaking of financial entities that are part of a group as defined in Regulation (EU) 2022/2554 should determine the entities to be included in the register of information at sub-consolidated and consolidated level in accordance with Union financial services legislation. To reduce administrative costs of groups, groups should have the possibility to develop a single register of information at entity, sub-consolidated and consolidated levels in relation to all contractual arrangements on the use of ICT services provided by ICT third-party service providers to all the financial entities that are part of that group. In such cases, the single register of information should allow each financial entity to comply with its obligation to maintain and update the register of information at entity and sub-consolidated level, where applicable, including its reporting to its competent authority. |
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(3) |
Pursuant to Article 28(1), point (b), of Regulation (EU) 2022/2554, the financial entities’ management of ICT third-party risks is to take into account the nature, scale, complexity and importance of ICT-related dependencies, and the risks arising from contractual arrangements on the use of ICT services concluded with ICT third-party service providers. That risk assessment should take into account the criticality or importance of the service, process or function of the financial entity and the potential impact on the continuity and availability of financial services and activities, at entity level and at group level. |
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(4) |
Certain sector-specific Union financial services legislation contains requirements on outsourcing. Those requirements have been further developed in guidelines issued by the ESAs. Under those guidelines, some financial entities are expected to record specific information on their outsourcing arrangements, in some cases also in the form of registers, as part of their outsourcing risk management. In recent years, several national competent authorities and the ECB have collected information included in such registers as part of their supervision of financial entity compliance with the outsourcing requirements. Based on the lessons learned from the different data collection exercises of outsourcing registers performed in the recent years by the ESAs and competent authorities, the standard templates should be designed in a technology-neutral manner with open tables, which have a predefined number of columns and an indefinite number of rows. In addition, the standard templates should be linked to one another by using different specific keys forming a relational structure between those templates. |
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(5) |
To receive ICT services from an ICT third-party service provider, including ICT intra-group service providers, financial entities conclude a written contract with the ICT third-party service provider. In case of groups, ICT intra-group service providers may conclude a contract with ICT third-party providers that are external to the group to provide ICT services to one or more financial entities of the group. To capture the full ICT service supply chain, financial entities maintaining the register of information should report both information on the contractual arrangement with their ICT intra-group service provider and information on the arrangement stipulated by the ICT intra-group service provider and the ICT third-party providers that are external to the group as subcontractors. Therefore, the register of information should include a specific template enabling the reconciliation between the intra-group contracts and the contracts with ICT third-party service providers that are external to the group. |
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(6) |
The provision of ICT services to financial entities may rely on potentially long or complex chains of subcontracting which should be monitored by the financial entities. Financial entities should assess the associated risks, including ICT third-party concentration risks with regard to the ICT third-party service providers supporting a critical or important function or material parts thereof, considering a risk-based approach and the principle of proportionality. To enable that assessment, financial entities should be required to record in the register of information only those subcontractors that effectively underpin ICT services supporting critical or important functions or material parts thereof, including all the subcontractors providing ICT services whose disruption would impair the security or the continuity of the service provision. When identifying those subcontractors, financial entities should consider business and ICT service continuity and ICT security aspects. |
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(7) |
A register of information should be maintained and updated by financial entities including where a financial entity outsources all its activities to another entity, as the maintenance of the register of information contributes to the operational resilience of that financial entity. Therefore, where an entity is acting on behalf of a financial entity for all the activities of the financial entity (including the ICT services), the direct ICT third-party service providers to that entity should be recorded in the relevant templates of the register of information of the financial entity. In such case, the entity is only registered as an entity maintaining the register. |
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(8) |
To allow transparency and comparability of contractual arrangements and the ongoing monitoring of those arrangements, the register of information should focus on the operational links between the financial entities and the ICT third-party service providers. To that end, the register of information should use four keys, which, among others, linking relevant data to each other across the templates of the register of information: (i) the reference number of the contractual arrangement between the financial entity signing that arrangement and the direct ICT third-party service provider, (ii) an appropriate identifier of financial entities and ICT third-party service providers, (iii) the function identifier, and (iv) the type of ICT services. |
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(9) |
To appropriately document the contractual arrangements between the financial entities and the ICT third-party service providers as required by Regulation (EU) 2022/2554, it is understood that ICT third-party service providers should provide for an identification number which allows for their consistent and accurate identification by the financial entities and by the ESAs, the Oversight Forum, and the competent authorities, when exercising their supervisory powers, including for the designation of critical ICT third-party service providers under Article 31 of that Regulation. Concerning legal persons, the LEI and EUID are recognised international and European identifiers ensuring the consistent, unique and robust identification of companies. Consequently, either of these two identifiers should be used for the identification of the ICT third-party service providers established in the Union for the purposes of the application of that Regulation and should be considered as information that is common to all contractual arrangements, whereas the ICT third-party service providers established in third-countries should be identified with LEI only. The templates used for the register of information about the ICT third-party service providers should require information on either of these two identifiers for ICT service providers that are legal persons, while allowing natural persons acting in the capacity of ICT service providers to use alternative identification codes. |
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(10) |
Each financial entity, including financial entities from the same group, have their own internal taxonomy of functions depending on their specific business models and internal organisations. To allow for a clear monitoring distinguishing between the functions of the financial entities and the ICT services, financial entities should themselves designate relevant functions by using the function identifier at individual level and at group level. |
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(11) |
To enable the operability of the register of information at entity, sub-consolidated and consolidated level across all the financial entities that are part of the same group, financial entities should ensure the correctness and consistency of all the data in that register. In particular, to enable such operability, it is necessary to ensure consistency in the consolidation of the identifiers, namely the contractual arrangement reference numbers, the function identifier, LEI of the financial entities and identifiers of the ICT third-party service providers. |
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(12) |
To ensure consistency and harmonisation and to avoid burdensome reprocessing of data for reporting purposes, the structure of the templates and the requirements of the data elements should consider data management and reporting perspectives. To ensure full comparability of the information reported in the register of information with the information provided in other regulatory or statistical reporting, financial entities should adhere to data quality principles, when maintaining and updating that register. |
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(13) |
This Regulation is based on the draft implementing technical standards submitted to the Commission by the ESAs. |
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(14) |
The ESAs have conducted open public consultations on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the advice of the ESAs’ Stakeholder Groups established in accordance with Article 37 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council (2), Article 37 of Regulation (EU) No 1094/2010 of the European Parliament and of the Council (3) and Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (4) |
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(15) |
The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 of the European Parliament and of the Council (5). |
HAS ADOPTED THIS REGULATION:
Article 1
Definitions
For the purposes of this Regulation, the following definitions apply:
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1. |
‘direct ICT third-party service provider’ means an ICT third-party service provider or ICT intra-group service provider that signed a contractual arrangement with:
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2. |
‘ICT service supply chain’ means a sequence of contractual arrangements connected with the ICT service being provided by the direct ICT third-party service provider to the financial entity, starting with the direct ICT third-party service provider which has one or multiple other ICT third-party service providers as counterparties (subcontractors); |
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3. |
‘rank’ means the position of an ICT third-party service provider in the ICT service supply chain. |
Article 2
Ranking of ICT third-party providers in the supply chain
Financial entities shall assign a rank to each ICT third-party service provider. The rank shall be any natural number higher or equal to ‘1’ where the lower the natural number assigned to the rank, the closer the arrangement is to the financial entity.
The rank of the direct ICT third-party service provider in the ICT service supply chain shall always be ‘1’.
The rank of the subcontractor in the ICT service supply chain shall always be higher than ‘1’.
Article 3
General requirements for the templates of the register of information
1. Financial entities shall use the templates set out in Annex I to IV to maintain and update the register of information in accordance with Article 28(3) of Regulation (EU) 2022/2554, at entity level, or at sub-consolidated and consolidated level.
2. Financial entities shall ensure that the templates referred to in paragraph 1 include all of the following:
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(a) |
the relevant information in relation to all the ICT services provided by direct ICT third-party providers; |
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(b) |
information on all subcontractors that effectively underpin ICT services supporting critical or important functions or material parts thereof. |
3. Financial entities shall ensure that the information contained in the templates referred to in paragraph 1 is accurate and consistent. Financial entities shall review the information contained in the templates regularly and shall promptly correct any errors or discrepancies detected.
In case of groups, financial entities responsible for maintaining and updating the register of information at sub-consolidated and consolidated level shall ensure that information in relation to entity level in the consolidation is correct and consistent with the information at the sub-consolidated and consolidated level.
4. Financial entities shall ensure that the information contained in the templates referred to in paragraph 1 adhere to the following principles of data quality:
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(a) |
accuracy; |
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(b) |
completeness; |
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(c) |
consistency; |
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(d) |
integrity; |
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(e) |
uniformity; |
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(f) |
validity. |
5. Financial entities shall use a valid and active legal entity identifier (LEI) or the European Unique Identifier referred to in Article 16 of Directive (EU) 2017/1132 (‘EUID’), and where available both of these identifiers, to identify all of their ICT third-party service providers that are legal persons, except for individuals acting in a business capacity.
6. Where an ICT service provided by a direct ICT third-party service provider is supporting a critical or important function of the financial entities, financial entities shall ensure through the direct ICT third-party service provider, that all the subcontractors of the direct ICT third-party service provider included in the register of information in accordance with paragraph 2, point (b), which effectively underpin/support ICT services supporting critical or important functions, use a valid and active LEI or provide their EUID, and where available both of these identifiers, except if those subcontractors are individuals acting in a business capacity.
Article 4
Data format requirement
1. Unless otherwise specified in the instructions, each template composing the register of information shall be a table with a predefined number of columns and an indefinite number of rows.
2. Financial entities shall complete each data element with a single value. Where more than one value is valid for a specific data element, financial entities shall add an additional row in the corresponding template for each valid value.
3. Financial entities shall complete all data elements in the register of information at entity level, sub-consolidated and consolidated level, as applicable.
Article 5
Content of the register of information
1. Financial entities shall include in the register of information, in accordance with the instructions set out in Annex I, the following information:
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(a) |
general information on the financial entity maintaining and updating the register of information at entity, sub-consolidated and consolidated level, respectively, as specified in template B_01.01 of Annex I; |
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(b) |
general information on the entities in the consolidation as specified in template B_01.02 of Annex I; |
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(c) |
identification of the branches of financial entities located outside the home country listed in template B_01.02, where applicable, as specified in template B_01.03 of Annex I; |
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(d) |
general information on the contractual arrangements as specified in template B_02.01 of Annex I; |
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(e) |
specific information on the contractual arrangements as specified in template B_02.02 of Annex I; |
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(f) |
information on the links between intra-group contractual arrangements and contractual arrangements with ICT third-party service providers which are not part of the group using the contractual reference numbers when part of the ICT service supply chain is intra-group as specified in template B_02.03 of Annex I; |
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(g) |
information on the entities signing the contractual arrangements with the direct ICT third-party service providers for receiving ICT services or on behalf of the entities using the ICT services as specified in template B_03.01 of Annex I; |
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(h) |
identification of the ICT third-party service providers signing the contractual arrangements for providing ICT services as specified in template B_03.02 of Annex I; |
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(i) |
identification of the entities signing the contractual arrangements for providing ICT services to other entities in the consolidation as specified in template B_03.03 of Annex I; |
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(j) |
information on the entities making use of the ICT services provided by the ICT third-party service providers as specified in template B_04.01 of Annex I; |
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(k) |
information on the direct ICT third-party service providers and subcontractors, as specified in template B_05.01 of Annex I; |
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(l) |
information on the ICT service supply chain, as specified in template B_05.02 of Annex I; |
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(m) |
information on the identification of functions as specified in template B_06.01 of Annex I; |
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(n) |
information on the assessment of the ICT services provided by ICT third-party service providers supporting a critical or important function or material parts thereof as specified in template B_07.01 of Annex I; |
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(o) |
information on the terminology used by financial entities and the terms included in the closed lists and classification systems used when filling in the templates as specified in template B_99.01 of Annex I. |
2. Where relevant for their risk management or contract management purposes, financial entities may include into the register of information additional information in the format that is most appropriate for the purposes of such additional information.
Article 6
Scope of the register of information at sub-consolidated and consolidated level
1. In the case of groups, the parent undertakings shall take into account the relevant sectorial Union legislation when determining which entities to be included in the register of information.
2. A register of information maintained and updated at sub-consolidated and consolidated levels shall include all financial entities and ICT intra-group service providers, which are part of the sub-group and group.
Article 7
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 29 November 2024.
For the Commission
The President
Ursula VON DER LEYEN
(1) OJ L 333, 27.12.2022, p. 1, ELI: http://data.europa.eu/eli/reg/2022/2554/oj.
(2) Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC (OJ L 331, 15.12.2010, p. 12, ELI: http://data.europa.eu/eli/reg/2010/1093/oj).
(3) Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC (OJ L 331, 15.12.2010, p. 48, ELI: http://data.europa.eu/eli/reg/2010/1094/oj).
(4) Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010 p. 84, ELI: http://data.europa.eu/eli/reg/2010/1095/oj).
(5) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39, ELI: http://data.europa.eu/eli/reg/2018/1725/oj).
ANNEX I
Instructions for completing the register of information
PART 1
GENERAL INSTRUCTIONS
Financial entities while maintaining and updating the register of information at entity, sub-consolidated and consolidated level, shall fill-in the templates of the register of information with data using the formats set out in the instructions in Part 2.
Part 2 lays down instructions to be followed by financial entities to complete each column of each template. When completing the information of certain columns, financial entities shall refer to Annexes II, III and IV or other external sources. In such cases, the reference to the relevant Annexes or external sources is indicated in the instructions.
List of the templates
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Template Code |
Template Name |
Short Description |
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B_01.01 |
Entity maintaining the register of information |
This template identifies the entity maintaining and updating the register of information at entity, sub-consolidated and consolidated level, respectively. |
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B_01.02 |
List of entities within the scope of consolidation |
This template identifies all the entities belonging to the group. Where the financial entity responsible for maintaining and updating the register of information does not belong to a group, only that financial entity shall be reported in this template. |
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B_01.03 |
List of branches |
This template identifies the branches of the financial entities referred to in template B_01.02. |
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B_02.01 |
Contractual arrangements – general information |
This template lists all contractual arrangements with direct ICT third-party service providers. For each contractual arrangement with a direct ICT third-party service provider, the financial entity maintaining the register of information shall assign a unique ‘contractual arrangement reference number’ to identify unambiguously the contractual arrangement itself. |
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B_02.02 |
Contractual arrangements – specific information |
This template provides details in relation to each contractual arrangement listed in template B_02.01 with regard to:
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B_02.03 |
List of intra-group contractual arrangements |
This template identifies the links between intra-group contractual arrangements and contractual arrangements with ICT third-party service providers which are not part of the group using the contractual reference numbers when part of the ICT service supply chain. |
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B_03.01 |
Entities signing the contractual arrangements for receiving ICT service(s) or on behalf of the entities making use of the ICT service(s) |
This template provides information on the entity signing the contractual arrangements with the direct ICT third-party service provider for the entity making use of the ICT services. Where the register of information is maintained and updated at entity level, the entity signing the contractual arrangement and the entity making use of the ICT services is the financial entity maintaining and updating the register of information. In the context of sub-consolidation and consolidation, the financial entity making use of the ICT services provided is not necessarily the entity signing the contractual arrangement with the ICT third-party service providers. |
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B_03.02 |
ICT third-party service providers signing the contractual arrangements for providing ICT service(s) |
This template identifies all the ICT third-party service providers referred to in template B_05.01 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services. |
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B_03.03 |
Entities signing the contractual arrangements for providing ICT service(s) to other entities within the scope of consolidation |
This template identifies all the entities referred to in template B_01.02 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services to other entities in the consolidation. |
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B_04.01 |
Entities making use of the ICT services |
This template identifies all entities making uses of the ICT services provided by ICT third-party service providers and registered in the register of information. The entities making use of the ICT services shall be either the financial entities in scope, or the ICT intra-group service providers. Where the register of information is maintained and updated at entity level, the entity signing the contractual arrangement and the entity making use of the ICT services are the financial entity maintaining the register. |
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B_05.01 |
ICT third-party service providers |
This template lists and provides general information to identify:
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B_05.02 |
ICT service supply chain |
This template identifies and links the ICT third-party service providers that are part of the same ICT service supply chain. Financial entities shall identify and rank the ICT third-party service providers for each ICT service included in each contractual arrangement. Example: a financial entity has a contractual arrangement with an ICT third-party service provider (‘ICT third-party service provider X’) to receive 2 specific ICT services (‘ICT service A’ and ‘ICT service B’) and the service provider makes use of a subcontractor (‘ICT third-party service provider Y’) to provide one of those services (‘ICT service B’).
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B_06.01 |
Functions identification |
This template identifies and provides information on the functions of the financial entity making use of the ICT services. In the information to be provided in this template, financial entities shall include a unique identifier, the ‘function identifier’ for each combination of a financial entity’s LEI, licenced activity and function. Example: a financial entity (LEI: 21USLEIC20231109J3Z8) which operates under two licensed activities (‘activity A’ and ‘activity B’) will be given two unique ‘function identifiers’ for the same function X (e.g. sales) performed for activity A and activity B, respectively. The function identifier will be:
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B_07.01 |
Assessments of the ICT services |
This template captures information in relation to the risk assessment of the ICT services (e.g. substitutability, date of last audit, etc.) when those ICT services are supporting a critical or important function or material part thereof. |
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B_99.01 |
Definitions from entities making use of the ICT Services |
This template captures entity-internal explanations, meanings, and definitions of the closed set of indicators used by the financial entity in the register of information. Example: In template B_07.01 the financial entity shall provide an indication of the impact of discontinuation of the ICT services by using a closed set of options (low, medium, high). In template B_99.01 the financial entity shall specify the meaning of those options. |
PART 2
TEMPLATE-SPECIFIC INSTRUCTIONS
Instructions to complete template B_01.01 — Financial entity maintaining the register of information
Identify the financial entity maintaining and updating the register of information.
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Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
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B_01.01.0010 |
LEI of the financial entity maintaining the register of information |
Alphanumerical |
Identify the financial entity maintaining and updating the register of information using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
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B_01.01.0020 |
Name of the financial entity |
Alphanumerical |
Legal name of the financial entity maintaining and updating the register of information |
Mandatory |
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B_01.01.0030 |
Country of the financial entity |
Country |
Identify the ISO 3166–1 alpha–2 code of the country where the license or the registration of the entity reported in the register of information has been issued. |
Mandatory |
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B_01.01.0040 |
Type of financial entity |
Closed set of options |
Identify the type of financial entity using one of the options in the following closed list:
Where the register of information is maintained at the group level by the parent undertaking, which is not itself subject to the obligation to maintain such register, i.e. it does not fall under the definition of financial entities set out in Article 2 of the Regulation (EU) 2022/2554 (e.g., financial holding company, mixed financial holding company or mixed-activity holding company) ‘Other financial entity’ option shall be chosen. |
Mandatory |
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B_01.01.0050 |
Competent authority |
Alphanumerical |
Identify the competent authority referred to in Article 46 of Regulation (EU) 2022/2554 to which the register of information is reported. |
Mandatory in case of reporting |
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B_01.01.0060 |
Date of the reporting |
Date |
Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of reporting |
Mandatory in case of reporting |
Instructions to complete template B_01.02 —List of financial entities within the scope of the register of information
Where the register of information is maintained and updated at sub-consolidated and consolidated level, this template identifies all the financial entities belonging to the sub-group and group. Where the financial entity responsible for maintaining and updating the register of information does not belong to a group, only that financial entity shall be reported in this template and the entry of this template shall be the same as template B_01.01.
Where an entity is acting on behalf of a financial entity for all the activities of the financial entity (including the ICT services), the direct ICT third-party service providers to that entity should be recorded in the relevant templates of the register of information of the financial entity. In such case, that entity is only registered as an entity maintaining the register and shall not be reported in this template.
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Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
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B_01.02.0010 |
LEI of the financial entity |
Alphanumerical |
Identify the financial entity reported in the register of information using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
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B_01.02.0020 |
Name of the financial entity |
Alphanumerical |
Legal name of the financial entity reported in the register of information |
Mandatory |
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B_01.02.0030 |
Country of the financial entity |
Country |
Identify the ISO 3166–1 alpha–2 code of the country where the license or the registration of the financial entity reported in the register of information has been issued. |
Mandatory |
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B_01.02.0040 |
Type of financial entity |
Closed set of options |
Identify the type of financial entity using one of the options in the following closed list:
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Mandatory |
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B_01.02.0050 |
Hierarchy of the financial entity within the group (where applicable) |
Closed set of options |
Determine the hierarchy of the financial entity in the consolidation using one of the options in the following closed list:
Where an entity fulfils more than one options from the closed list above, the higher-level option applicable to this entity shall be selected. |
Mandatory |
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B_01.02.0060 |
LEI of the direct parent undertaking of the financial entity |
Alphanumerical |
Identify the direct parent undertaking of the financial entity reported in the register of information using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
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B_01.02.0070 |
Date of last update |
Date |
Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of the last update or modification made in the register of information in relation to the financial entity. |
Mandatory |
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|
B_01.02.0080 |
Date of integration in the register of information |
Date |
Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of integration of the financial entity into the register of information |
Mandatory |
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|
B_01.02.0090 |
Date of deletion in the register of information |
Date |
Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of deletion of the financial entity from the register of information. Where the financial entity has not been deleted, ‘9999-12-31’ shall be reported. |
Mandatory |
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|
B_01.02.0100 |
Currency |
Currency |
Identify the ISO 4217 alphabetic code of the currency used for the preparation of the financial entity’s financial statements. The currency reported shall be the same currency used by the financial entity for the preparation of the financial statements at entity, sub-consolidated or consolidated level, as applicable. |
Mandatory only if B_01.02.0110 is reported |
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|
B_01.02.0110 |
Value of total assets of the financial entity |
Monetary |
Monetary value of total assets of the financial entity as reported in the financial entity’s annual financial statement of the year before the date of the last update of the register of information. Monetary value shall be reported in units. Refer to Annex IV for the filling in this column. |
Mandatory if the entity is a financial entity |
Instructions to complete template B_01.03 — List of branches
Where a financial entity has branches located outside its home country, identify those branches through this template.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
||||
|
B_01.03.0010 |
Identification code of the branch |
Alphanumerical |
Identify a branch of a financial entity located outside its home country using a unique code for each branch. One of the options in the following closed list shall be used:
|
Mandatory |
||||
|
B_01.03.0020 |
LEI of the financial entity head office of the branch |
Alphanumerical |
As reported in B_01.02.0010 Identify the financial entity head office of the branch, using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
||||
|
B_01.03.0030 |
Name of the branch |
Alphanumerical |
Identify the name of the branch |
Mandatory |
||||
|
B_01.03.0040 |
Country of the branch |
Country |
Identify the ISO 3166–1 alpha–2 code of the country where the branch is located. |
Mandatory |
Instructions to complete template B_02.01 — Contractual arrangements – General information
Financial entities shall designate a ‘contractual arrangement reference number’ for each contractual arrangement in the register of information. Where the external ICT third-party service provider is making use of subcontractors, financial entities shall not include in the register of information a ‘contractual arrangement reference number’ for arrangements between the external ICT third-party service providers and their subcontractors. In case of an ICT intra-group service provider, financial entities shall include the ‘contractual arrangement reference number’ between this ICT intra-group service provider and its ICT third-party service providers in this template and shall populate the template B_02.03 (List of intra-group contractual arrangements) accordingly.
The ‘contractual arrangement reference number’ shall refer to the following type of contractual arrangements:
|
(a) |
any kind of standalone arrangements; |
|
(b) |
any kind of ‘overarching or framework arrangements’, including master and framework arrangements; |
|
(c) |
any kind of ‘subsequent or associated arrangements’, including implementing arrangements, subservice arrangements, order forms. |
The contract reference number does not refer to any kind of service level agreement subordinated to any of the types of contractual arrangements referred to in points (a), (b) and (c) above.
|
Column Code |
Column Name |
Type |
Fill -in Instruction |
Fill-in Option |
||||||
|
B_02.01.0010 |
Contractual arrangement reference number |
Alphanumerical |
Identify the contractual arrangement between the financial entity or, in case of a group, the group subsidiary and the direct ICT third-party service provider. The contractual arrangement reference number is the internal reference number of the contractual arrangement assigned by the financial entity. The contractual arrangement reference number shall be unique and consistent over time at entity, sub-consolidated and consolidated level, where applicable. The contractual arrangement reference number shall be used consistently across all templates of the register of information when referring to the same contractual arrangement. For the case where an entity is acting on behalf of a financial entity for all the activities of the financial entity including the ICT services (refer to recital 7) the contractual arrangement reference number can be the contractual arrangement between the entity and its direct ICT third-party service provider. |
Mandatory |
||||||
|
B_02.01.0020 |
Type of contractual arrangement |
Closed set of options |
Identify the type of contractual arrangement by using one of the options in the following closed list:
|
Mandatory |
||||||
|
B_02.01.0030 |
Overarching contractual arrangement reference number |
Alphanumerical |
Not applicable if the contractual arrangement is the ‘overarching contractual arrangement’ or a ‘standalone arrangement’. In the other cases, report the contractual arrangement reference number of the overarching arrangement, which shall be equal to the value as reported in column B_02.01.0010 when reporting the overarching contractual arrangement. |
Mandatory |
||||||
|
B_02.01.0040 |
Currency of the amount reported in B_02.01.0050 |
Currency |
Identify the ISO 4217 alphabetic code of the currency used to express the amount in B_02.01.0050. |
Mandatory |
||||||
|
B_02.01.0050 |
Annual expense or estimated cost of the contractual arrangement for the past year |
Monetary |
Annual expenses or estimated costs (or intragroup transfer) of the ICT services contractual arrangement for the past year. Monetary value shall be reported in units. The annual expense or estimated cost shall be expressed in the currency reported in B_01.02.0040. In case of an overarching arrangement with subsequent or associated arrangements, the sum of the annual expenses or estimated costs reported for the overarching arrangement and the subsequent or associated arrangements shall be equal to the total expenses or estimated costs for the overall contractual arrangement. There shall be no repetition or duplication of annual expenses or estimated costs. The following cases should be reflected:
|
Mandatory |
Instructions to complete template B_02.02 — Contractual arrangements – Specific information
Financial entities shall fill in this template with the maximum level of granularity possible. Where the contractual arrangement includes multiple ICT services supporting multiple functions, financial entities shall use as many rows as the elements in the template by combining the ICT services covered in the contractual arrangement and the financial entity’s functions.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
||||||||||||
|
B_02.02.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.01.0010 |
Mandatory |
||||||||||||
|
B_02.02.0020 |
LEI of the financial entity making use of the ICT service(s) |
Alphanumerical |
As reported in B_04.01.0020 Identify the financial entity making use of the ICT service(s) using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
||||||||||||
|
B_02.02.0030 |
Identification code of the ICT third-party service provider |
Alphanumerical |
As reported in B_05.01.0010 Code to identify the ICT third-party service provider as reported in B_05.01.0010 for that provider. |
Mandatory |
||||||||||||
|
B_02.02.0040 |
Type of code to identify the ICT third-party service provider |
Pattern |
As reported in B_05.01.0020 Type of code to identify the ICT third-party service provider in B_02.02.0030 as reported in B_05.01.0020 for that provider. |
Mandatory |
||||||||||||
|
B_02.02.0050 |
Function identifier |
Pattern |
As defined by the financial entity in B_06.01.0010 |
Mandatory |
||||||||||||
|
B_02.02.0060 |
Type of ICT services |
Closed set of options |
One of the types of ICT services referred to in Annex III |
Mandatory |
||||||||||||
|
B_02.02.0070 |
Start date of the contractual arrangement |
Date |
Identify the date of entry into force of the contractual arrangement as stipulated in the contractual arrangement using the ISO 8601 (yyyy–mm–dd) code |
Mandatory |
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|
B_02.02.0080 |
End date of the contractual arrangement |
Date |
Identify the end date as stipulated in the contractual arrangement using the ISO 8601 (yyyy–mm–dd) code. Where the contractual arrangement is indefinite, it shall be filled in with ‘9999-12-31’. Where the contractual arrangement has been terminated on a date different than the end date, this shall be filled in with the termination date. Where the contractual arrangement foresees a renewal, this shall be filled in with the date of the contract renewal as stipulated in the contractual arrangement. |
Mandatory |
||||||||||||
|
B_02.02.0090 |
Reason of the termination or ending of the contractual arrangement |
Closed set of options |
Where the contractual arrangement has been terminated or ended, identify the reason of the termination or ending of the contractual arrangements using one of the options in the following closed list:
|
Mandatory if the contractual arrangement is terminated |
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|
B_02.02.0100 |
Notice period for the financial entity making use of the ICT service(s) |
Natural number |
Identify the notice period for terminating the contractual arrangement by the financial entity in a business-as-usual case. The notice period shall be expressed as number of calendar days from the counterparty’s receipt of the request to terminate the ICT service. |
Mandatory if the ICT service is supporting a critical or important function |
||||||||||||
|
B_02.02.0110 |
Notice period for the ICT third-party service provider |
Natural number |
Identify the notice period for terminating the contractual arrangement by the direct ICT third-party service provider in a business-as-usual case. The notice period shall be expressed as number of calendar days from the counterparty’s receipt of the request to terminate the ICT service. |
Mandatory if the ICT service is supporting a critical or important function |
||||||||||||
|
B_02.02.0120 |
Country of the governing law of the contractual arrangement |
Country |
Identify the country of the governing law of the contractual arrangement using the ISO 3166–1 alpha–2 code. |
Mandatory if the ICT service is supporting a critical or important function |
||||||||||||
|
B_02.02.0130 |
Country of provision of the ICT services |
Country |
Identify the country from where the ICT services are provided using the ISO 3166–1 alpha–2 code. |
Mandatory if the ICT service is supporting a critical or important function |
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|
B_02.02.0140 |
Storage of data |
[Yes/No] |
Is the ICT service related to (or does it foresee) storage of data (even temporarily)? One of the options provided in the following closed list:
|
Mandatory if the ICT service is supporting a critical or important function |
||||||||||||
|
B_02.02.0150 |
Location of the data at rest (storage) |
Country |
Identify the country of location of the data at rest (storage) using the ISO 3166–1 alpha–2 code. If there are several countries of location, additional row(s) shall be used for each country. |
Mandatory if ’Yes’ is reported in B_02.02.0140 |
||||||||||||
|
B_02.02.0160 |
Location of management of the data (processing) |
Country |
Identify the country of location of the management of the data (processing) using the ISO 3166–1 alpha–2 code. If there are several countries of location, additional row(s) shall be used for each country. |
Mandatory if the ICT service is based on or foresees data processing |
||||||||||||
|
B_02.02.0170 |
Sensitiveness of the data stored by the ICT third-party service provider |
Closed set of options |
Identify the level of sensitiveness of the data stored or processed by the ICT third-party service provider using one of the options provided in the following closed list:
The most sensitive data take precedence: e.g. if both ‘Medium’ and ‘High’ apply, then ‘High’ shall be selected. |
Mandatory if the ICT third-party service provider stores data and if the ICT service is supporting a critical or important function or material part thereof |
||||||||||||
|
B_02.02.0180 |
Level of reliance on the ICT service supporting the critical or important function. |
Closed set of options |
One of the options in the following closed list shall be used:
|
Mandatory if the ICT service is supporting a critical or important function or material part thereof |
Instructions to complete template B_02.03 — List of intra-group contractual arrangements
Template B_02.03 identifies contractual arrangements from the same ICT service supply chain using the intra-group contractual reference numbers in cases where the ICT service supply chain contains ICT intra-group service providers, i.e. where at least one of the ICT third-party service providers in the ICT service supply chain is an entity belonging to the same group of the entity making use of the ICT services.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
|
B_02.03.0010 |
Contractual arrangement reference number |
Alphanumerical |
Reference number of the contractual arrangement between the entity making use of the ICT service(s) provided and the ICT intra-group service provider. The contractual arrangement reference number shall be unique and consistent over time and across all the group. |
Mandatory |
|
B_02.03.0020 |
Contractual arrangement linked to the contractual arrangement referred in B_02.03.0010 |
Alphanumerical |
Contractual arrangement reference number of the contractual arrangement between the ICT intra-group service provider of the contractual arrangement in B_02.03.0010 and its direct ICT third-party service provider. |
Mandatory |
Instructions to complete template B_03.01 — Entities signing the contractual arrangements for receiving ICT service(s) on behalf of the financial entities making use of the ICT service(s)
Identify all the financial entities referred to in template B_01.02 signing the contractual arrangements referred to in template B_02.01 for receiving the ICT services. Where the register of information is maintained and updated at entity level the financial entity signing the contractual arrangements is the financial entity maintaining and updating the register of information itself.
The entities signing the contractual arrangement is not necessarily a financial entity nor the financial entity making use of the ICT services provided by the ICT third-party service provider.
For example, the entity signing the contractual arrangement referred to in the second subparagraph can be an ICT intra-group service provider, a financial or non-financial entity belonging to the same group of the financial entities making use of the ICT services provided by the ICT third-party service provider.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
|
B_03.01.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.02.0010 Identify the contractual arrangement reference number signed by the undertaking |
Mandatory |
|
B_03.01.0020 |
LEI of the entity signing the contractual arrangement |
Alphanumerical |
Identify the undertaking signing the contractual arrangement using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard or the EUID. |
Mandatory |
Instructions to complete template B_03.02 — ICT third-party service providers signing the contractual arrangements for providing ICT service(s)
Identify all the ICT third-party service providers referred to in template B_05.01 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
|
B_03.02.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.02.0010 Identify the contractual arrangement reference number signed by the ICT third-party service provider |
Mandatory |
|
B_03.02.0020 |
Identification code of ICT third-party service provider |
Alphanumerical |
As reported in B_05.01.0010 Code to identify the ICT third-party service provider as reported in B_05.01.0020 for that provider. |
Mandatory |
|
B_03.02.0030 |
Type of code to identify the ICT third-party service provider |
Pattern |
As reported in B_05.01.0020 Type of code to identify the ICT third-party service provider in B_03.02.0020 as reported in B_05.01.0020 for that provider. |
Mandatory |
Instructions to complete template B_03.03 — Financial entities signing the contractual arrangements for providing ICT service(s) to other financial entities in the consolidation.
Identify all financial entities referred to in template B_01.02 that have signed contractual arrangements as referred to in template B_02.01 for providing ICT services to other entities in the consolidation referred to in template B_01.02.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
|
B_03.03.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.02.0010 Identify the reference number of the contractual arrangement signed by the entity for providing ICT service(s) |
Mandatory |
|
B_03.03.0020 |
LEI of the financial entity providing ICT services |
Alphanumerical |
As reported in B_01.02.0010 Identify the entity providing ICT services using LEI, 20-character, alpha-numeric code based on the ISO 17442 standard. |
Mandatory |
Instructions to complete template B_04.01 —Financial entities making use of the ICT services
All financial entities referred to in template B_01.02 and branches of financial entities referred to in template B_01.03 that are making use of the ICT services provided by an ICT third-party provider shall be reported in this template.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
||||
|
B_04.01.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.01.0010 Identify the reference number of the contractual arrangement in relation to the financial entity making use of the ICT services provided |
Mandatory |
||||
|
B_04.01.0020 |
LEI of the financial entity making use of the ICT service(s) |
Alphanumerical |
Identify the financial entity making use of the ICT service(s) using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
||||
|
B_04.01.0030 |
Nature of the financial entity making use of the ICT service(s) |
Closed set of options |
One of the options in the following closed list shall be used:
|
Mandatory |
||||
|
B_04.01.0040 |
Identification code of the branch |
Alphanumerical |
Identification code of the branch as reported in B_01.03.0010 |
Mandatory if the financial entity making use of the ICT service(s) is a branch of a financial entity (B_04.01.0030) |
Instructions to complete template B_05.01 — ICT third-party service provider
Financial entities shall identify all the relevant ICT third-party service providers, including:
|
(a) |
all the direct ICT third-party service providers; |
|
(b) |
all ICT intra-group service provider; |
|
(c) |
all subcontractors that are identified in template B_05.02 on the ICT service supply chain; |
|
(d) |
all ultimate parent undertakings of the ICT third-party service providers referred to in points (a), (b) and (c) above.
|
Instructions to complete template B_05.02 — ICT service supply chains
This template identifies and links the ICT third-party service providers that are part of the same ICT service supply chain together.
The ICT service supply chain shall include, where applicable:
|
(a) |
all direct ICT third-party service providers; |
|
(b) |
all ICT intragroup service providers; |
|
(c) |
for the ICT services supporting a critical or important function or material part thereof, all subcontractors that effectively underpin the provision of those ICT services (i.e. all the subcontractors providing ICT services whose disruption would impair the security or the continuity of the service provision); |
|
(d) |
where an ICT intragroup service provider uses subcontractors to provide their ICT services to the financial entity, at least the first extra-group subcontractor even if the ICT services provided do not support a critical or important function or material parts thereof. |
All ICT third-party service providers belonging to the same ICT service supply chain share:
|
(a) |
the same ‘contractual arrangement reference number’ as referred to in template B_02.01; |
|
(b) |
the same ‘type of ICT services’ as referred to in Annex III; |
Each ICT third-party service provider that belongs to the same ICT service supply chain is assigned with a ‘rank’ (template B_05.02.0050) to identify its position within the ICT service supply chain. Where multiple ICT third-party service providers have the same position within the same ICT service supply chain, those providers shall be assigned with the same ‘rank’. In accordance with Article 2, the direct ICT third-party service providers are therefore at rank 1. If the rank is higher than 1, the ICT third-party service providers are subcontractors.
To link the ICT third-party service providers that belong to the same ICT service supply chain together, for each ICT subcontractor (i.e. where the ‘rank’ is higher than 1) financial entities shall identify the ICT third-party service provider that receives its subcontracted services. The identification of the ICT third-party service provider that receives the subcontracted services shall be carried out by using the columns B_05.02.0060 and B_05.02.0070.
For each ICT service supply chain (i.e., a combination of a "contractual arrangement reference number" and a "type of ICT services", where there are multiple ICT third-party service providers receiving the subcontracted services, all of those service providers shall be reported in separate rows in the template. The same logic applies at each rank of the ICT service supply chain.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
||||||||||||
|
B_05.02.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.01.0010 |
Mandatory |
||||||||||||
|
B_05.02.0020 |
Type of ICT services |
Closed set of options |
One of the types of ICT services referred to in Annex III |
Mandatory |
||||||||||||
|
B_05.02.0030 |
Identification code of the ICT third-party service provider |
Alphanumerical |
As reported in B_05.01.0010 for that ICT third-party service provider. Examples:
|
Mandatory |
||||||||||||
|
B_05.02.0040 |
Type of code to identify the ICT third-party service provider |
Pattern |
As reported in B_05.01.0020 for that ICT third-party service provider. |
Mandatory |
||||||||||||
|
B_05.02.0050 |
Rank |
Natural number |
Where the ICT third-party service provider is signing the contractual arrangement with the financial entity, it is considered as a direct ICT third-party service provider and the ‘rank’ to be reported shall be 1; Where the ICT third-party service provider is signing the contract with the direct ICT third-party service provider, it is considered as a subcontractor and the ‘rank’ to be reported shall be 2; The same logic apply to all the following subcontractors by incrementing the ‘rank’. Where multiple ICT third-party service providers have the same ‘rank’ in the ICT service supply chain, financial entities shall report the same ‘rank’ for all those ICT third-party service providers. |
Mandatory |
||||||||||||
|
B_05.02.0060 |
Identification code of the recipient of sub-contracted ICT services |
Alphanumerical |
To be left blank if the ICT third-party service provider (template B_05.02.0030) is a direct ICT third-party service provider i.e. at ‘rank’ r = 1 (template B_05.02.0050); Where the ICT third-party service provider is at ‘rank’ r = n where n>1, indicate the ‘Identification code of the recipient of the sub-contracted services’ at ‘rank’ r=n-1 that subcontracted the ICT service (even partially) to the ICT third-party service provider at ‘rank’ r=n. Examples:
The code used to identify the recipient of sub-contracted ICT services shall match the identification code provided in B_05.01.0010 for that provider. |
Mandatory Not applicable for rank 1 |
||||||||||||
|
B_05.02.0070 |
Type of code to identify the recipient of sub-contracted ICT services |
Pattern |
To be left blank where the ICT third-party service provider template B_05.02.0030) is at rank r = 1 (template B_05.02.0050); Where the ICT third-party service provider is at ‘rank’ r = n where n>1, indicate the ‘Type of code to identify the recipient of the sub-contracted service’ at ‘rank’ r=n-1 that subcontracted the ICT service (even partially) to the ICT third-party service provider at ‘rank’ r=n.
The type of code used to identify the recipient of sub-contracted ICT services shall match the identification code provided in B_05.01.0020 for that provider. |
Mandatory Not applicable for rank 1 |
Instructions to complete template B_06.01 — Functions identification
Financial entities shall identify and provide information on all functions of the financial entity according to the financial entity’s internal organisation supported by an ICT service provided by ICT third-party service providers.
Each combination of the following items shall have a unique function identifier assigned:
|
(a) |
‘LEI of the financial entity making use of the ICT service(s)’ column B_06.01.0040; |
|
(b) |
‘Licenced activity’ column B_06.01.0020; |
|
(c) |
‘Function name’ column B_06.01.0030. |
Financial entities shall use as many rows as the elements in the template by combining the two items above to fill-in this template.
|
Column Code |
Column Name |
Type |
Instruction |
Fill-in Option |
||||||||
|
B_06.01.0010 |
Function Identifier |
Pattern |
The function identifier shall be composed by the letter F (capital letter) followed by a natural number (e.g. “F1” for the 1st function identifier and “Fn” for the nth function identifier with “n” being a natural number). Each combination between ‘LEI of the financial entity making use of the ICT service(s)’ (B_06.01.0040), ‘Function name’ (B_06.01.0030) and ‘Licenced activity’ (B_06.01.0020) shall have a unique function identifier. Example: a financial entity which operates under two licensed activities (‘activity A’ and ‘activity B’) will be given two unique ‘function identifiers’ for the same function X (e.g. Sales) performed for activity A and activity B. |
Mandatory |
||||||||
|
B_06.01.0020 |
Licenced activity |
Closed set of options |
One of the licenced activities referred to in the underlying legal acts listed in Annex II for the different types of financial entities. Where the function is not linked to a registered or licenced activity, ‘support functions’ shall be reported. |
Mandatory |
||||||||
|
B_06.01.0030 |
Function name |
Alphanumerical |
Function name according to the financial entity’s internal organisation. |
Mandatory |
||||||||
|
B_06.01.0040 |
LEI of the financial entity |
Alphanumerical |
As reported in B_04.01.0020 Identify the financial entity using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard |
Mandatory |
||||||||
|
B_06.01.0060 |
Criticality or importance assessment |
Closed set of options |
Use this column to indicate whether the function is critical or important according to the financial entity’s assessment. One of the options in the following closed list shall be used:
|
Mandatory |
||||||||
|
B_06.01.0070 |
Reasons for criticality or importance |
Alphanumerical |
Brief explanation on the reasons for classifying the function as critical or important (300 characters maximum) |
Optional |
||||||||
|
B_06.01.0080 |
Date of the last assessment of criticality or importance |
Date |
Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of the last assessment of criticality or importance in case the function is supported by ICT services provided by ICT third-party service providers. Where the assessment of the function’s criticality or importance is not performed, it shall be filled in with ‘9999-12-31’ |
Mandatory |
||||||||
|
B_06.01.0090 |
Recovery time objective of the function |
Natural number |
In number of hours. Where the recovery time objective is less than 1 hour, ‘1’ shall be reported. Where the recovery time objective of the function is not defined, ‘0’ shall be reported. |
Mandatory |
||||||||
|
B_06.01.0100 |
Recovery point objective of the function |
Natural number |
In number of hours. Where the recovery point objective is less than 1 hour, ‘1’ shall be reported. Where the recovery point objective of the function is not defined, ‘0’ shall be reported. |
Mandatory |
||||||||
|
B_06.01.0110 |
Impact of discontinuing the function |
Closed set of options |
Use this column to indicate the impact of discontinuing the function according to the financial entity’s assessment. One of the options in the following closed list shall be used:
|
Mandatory |
Instructions to complete template B_07.01 — Assessment of the ICT services
When supporting a critical or important function or material parts thereof, this template enables further assessments of the ICT services provided by ICT third-party service providers, including the first extra-group subcontractor in the ICT service supply chain when the prior ICT third-party service providers are intra-group, to the financial entity.
|
Column Code |
Column Name |
Type |
Fill-in Instruction |
Fill-in Option |
||||||||
|
B_07.01.0010 |
Contractual arrangement reference number |
Alphanumerical |
As reported in B_02.01.0010 |
Mandatory |
||||||||
|
B_07.01.0020 |
Identification code of the ICT third-party service provider |
Alphanumerical |
As reported in B_05.01.0010 |
Mandatory |
||||||||
|
B_07.01.0030 |
Type of code to identify the ICT third-party service provider |
Pattern |
As reported in B_05.01.0020 |
Mandatory |
||||||||
|
B_07.01.0040 |
Type of ICT services |
Closed set of options |
One of the types of ICT services referred to in Annex III |
Mandatory |
||||||||
|
B_07.01.0050 |
Substitutability of the ICT third-party service provider |
Closed set of options |
Use this column to provide the results of the financial entity’s assessment in relation to the degree of substitutability of the ICT third-party service provider to perform the specific ICT services supporting a critical or important function. One of the options in the following closed list shall be used:
|
Mandatory |
||||||||
|
B_07.01.0060 |
Reason where the ICT third-party service provider is considered not substitutable or difficult to be substitutable |
Closed set of options |
One of the options in the following closed list shall be used:
|
Mandatory in case “not substitutable” or “highly complex substitutability” is selected in B_07.01.0041 |
||||||||
|
B_07.01.0070 |
Date of the last audit on the ICT third-party service provider |
Date |
Use this column to provide the date of the last audit on the specific ICT services provided by the ICT third-party service provider. This column relates to audits conducted by any of the following:
This column does not relate to the reception or reference date of third-party certifications or internal audit reports of the ICT third-party service provider, the annual monitoring date of the arrangement by the financial entity or the date of review of the risk assessment performed by the financial entity. This column shall be used to report all types of audits performed by any of the subjects referred to in points (a), (b) and (c) concerning fully or partially the ICT services provided by the ICT third-party service provider. To report the date, the ISO 8601 (yyyy–mm–dd) code shall be used. Where no audit has been performed, it shall be filled in with ‘9999-12-31’. |
Mandatory |
||||||||
|
B_07.01.0080 |
Existence of an exit plan |
[Yes/No] |
Use this column to report the existence of an exit plan from the ICT third-party service provider in relation to the specific ICT service provided. One of the options in the following closed list shall be used:
|
Mandatory |
||||||||
|
B_07.01.0090 |
Possibility of reintegration of the contracted ICT service |
Closed set of options |
One of the options in the following closed list shall be used:
Use this column where the ICT service is provided by an ICT third-party service provider that is not an ICT intra-group service provider |
Mandatory |
||||||||
|
B_07.01.0100 |
Impact of discontinuing the ICT services |
Closed set of options |
Use this column to provide the impact for the financial entity of discontinuing the ICT services provided by the ICT third-party service provider according to the financial entity’s assessment. One of the options in the following closed list shall be used:
|
Mandatory |
||||||||
|
B_07.01.0110 |
Are there alternative ICT third-party service providers identified? |
Closed set of options |
One of the options in the following closed list shall be used:
For each ICT third-party service provider supporting a critical or important function, the assessment to identify an alternative service provider shall be performed. |
Mandatory |
||||||||
|
B_07.01.0120 |
Identification of alternative ICT TPP |
Alphanumerical |
If ‘Yes’ is reported in B_07.01.0110, additional information may be provided in this column |
Optional |
Instructions to complete template B_99.01 — Terminology used by financial entities using the ICT services
Financial entities shall provide entity-internal explanations, meanings, and definitions of the closed set of indicators and options used by them in the register of information.
|
|
B_99.01.C0010 |
B_99.01.C0020 |
B_99.01.C0030 |
B_99.01.C0040 |
||
|
Column Code |
Column Name |
Option |
Description/Internal definition of the option |
|||
|
B_99.01.R0010 |
B_02.01.0020 |
Type of contractual arrangement |
|
|
||
|
B_99.01.R0020 |
|
|
||||
|
B_99.01.R0030 |
|
|
||||
|
B_99.01.R0040 |
B_02.02.0170 |
Sensitiveness of the data stored by the ICT third-party service provider |
|
|
||
|
B_99.01.R0050 |
|
|
||||
|
B_99.01.R0060 |
|
|
||||
|
B_99.01.R0070 |
B_06.01.0110 |
Impact of discontinuing the function |
|
|
||
|
B_99.01.R0080 |
|
|
||||
|
B_99.01.R0090 |
|
|
||||
|
B_99.01.R0100 |
B_07.01.0050 |
Substitutability of the ICT third-party service provider |
|
|
||
|
B_99.01.R0110 |
|
|
||||
|
B_99.01.R0120 |
|
|
||||
|
B_99.01.R0130 |
|
|
||||
|
B_99.01.R0140 |
B_07.01.0090 |
Possibility of reintegration of the contracted ICT service |
|
|
||
|
B_99.01.R0150 |
|
|
||||
|
B_99.01.R0160 |
|
|
||||
|
B_99.01.R0170 |
B_07.01.0100 |
Impact of discontinuing the ICT services |
|
|
||
|
B_99.01.R0180 |
|
|
||||
|
B_99.01.R0190 |
|
|
(1) Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35, ELI: http://data.europa.eu/eli/dir/2015/2366/oj).
(2) Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7, ELI: http://data.europa.eu/eli/dir/2009/110/oj).
(3) Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets, and amending Regulations (EU) No 1093/2010 and (EU) No 1095/2010 and Directives 2013/36/EU and (EU) 2019/1937 (OJ L 150, 9.6.2023, p. 40, ELI: http://data.europa.eu/eli/reg/2023/1114/oj).
ANNEX II
List of activities by type of entity
|
Type of entity |
List of activities and services |
||
|
Activities listed in Annex I to Directive 2013/36/EU and activities listed in Section A and B of Annex I to Directive 2014/65/EU |
||
|
Activities listed in Annex I to Directive (EU) 2015/2366 |
||
|
Account information services as referred to in point (8) of Annex I to Directive (EU) 2015/2366 |
||
|
Issuing electronic money in accordance with Directive 2009/110/EC and the activities listed in Annex I to Directive (EU) 2015/2366 |
||
|
Investment services and activities listed in Section A and B of Annex I to Directive 2014/65/EU |
||
|
Services and activities listed in Article 3, point (16), of Regulation (EU) 2023/1114 |
||
|
Activities referred to in Article 16(1) of Regulation (EU) 2023/1114 |
||
|
Activities listed in Annex to Regulation (EU) No 909/2014 of the European Parliament and of the Council (1) |
||
|
Activity of central counterparties as defined in Article 2, point (1), of Regulation (EU) No 648/2012 |
||
|
Activity of trading venues as defined in Article 4(21-24), of Directive 2014/65/EU |
||
|
Activities of trade repositories as defined in Article 2, point (2), of Regulation (EU) No 648/2012 and in Article 3, point (1), of Regulation (EU) No 2015/2365 of the European Parliament and of the Council (2) |
||
|
Activities listed in Article 6(4) and in Annex I to Directive 2011/61/EU of the European Parliament and of the Council (3) |
||
|
Activities listed in Article 6(3) and in Annex II to Directive 2009/65/EC of the European Parliament and of the Council (4) |
||
|
Services referred to in Article 2(1), points (34), (35) and (36), of Regulation (EU) No 600/2014 of the European Parliament and of the Council (5) |
||
|
Activities authorised for (i) the classes of non-life insurance as referred to in Section B of Annex I to Directive 2009/138/EC of the European Parliament and of the Council (6): (ii) classes of life insurance as referred to in Annex II to that Directive: (iii) non-life reinsurance activities and (iv) life reinsurance activities as referred to in article 15(5) of that Directive. |
||
|
Activities of insurance and reinsurance distribution as defined in Article 2(1), points (1) and (2), of Directive (EU) 2016/97 of the European Parliament and of the Council (7) |
||
|
Activities of institutions for occupational retirement provision as referred to in Article 7 of Directive (EU) 2016/2341 of the European Parliament and of the Council (8) |
||
|
Activities of credit rating agencies as referred to in Article 3(1), points (a) and (b), of Regulation (EC) No 1060/2009 of the European Parliament and of the Council (9) |
||
|
Provision of benchmarks by administrators as defined in Article 3(1)(5) and 3(1)(6) of Regulation (EU) 2016/1011 of the European Parliament and of the Council, referring to critical benchmarks defined in Article 3(1), point (25), of that Regulation. |
||
|
Provision of crowdfunding services in accordance with Article 3 of Regulation (EU) 2020/1503 of the European Parliament and of the Council (10) |
||
|
Activity of securitisation repositories as defined in Article 2, point (23), of Regulation (EU) 2017/2402 of the European Parliament and of the Council (11) and Article 1(4-5) of Commission Delegated Regulation (EU) 2020/1230 (12) |
||
|
Non-financial entity: ICT intra-group service provider |
Not applicable |
||
|
Non-financial entity: Other intra-group entity |
Not applicable |
||
|
Non-financial entity: ICT third-party service provider |
Not applicable |
(1) Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1, ELI: http://data.europa.eu/eli/reg/2014/909/oj).
(2) Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 (OJ L 337, 23.12.2015, p. 1, ELI: http://data.europa.eu/eli/reg/2015/2365/oj).
(3) Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ L 174, 1.7.2011, p. 1, ELI: http://data.europa.eu/eli/dir/2011/61/oj).
(4) Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32, ELI: http://data.europa.eu/eli/dir/2009/65/oj).
(5) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84, ELI: http://data.europa.eu/eli/reg/2014/600/oj).
(6) Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1, ELI: http://data.europa.eu/eli/dir/2009/138/oj).
(7) Directive (EU) 2016/97 of the European Parliament and of the Council of 20 January 2016 on insurance distribution (OJ L 26, 2.2.2016, p. 19, ELI: http://data.europa.eu/eli/dir/2016/97/oj).
(8) Directive (EU) 2016/2341 of the European Parliament and of the Council of 14 December 2016 on the activities and supervision of institutions for occupational retirement provision (IORPs) (OJ L 354, 23.12.2016, p. 37, ELI: http://data.europa.eu/eli/dir/2016/2341/oj).
(9) Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (OJ L 302, 17.11.2009, p. 1, ELI: http://data.europa.eu/eli/reg/2009/1060/oj).
(10) Regulation (EU) 2020/1503 of the European Parliament and of the Council of 7 October 2020 on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (OJ L 347, 20.10.2020, p. 1, ELI: http://data.europa.eu/eli/reg/2020/1503/oj).
(11) Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012 (OJ L 347, 28.12.2017, p. 35, ELI: http://data.europa.eu/eli/reg/2017/2402/oj).
(12) Commission Delegated Regulation (EU) 202/1230 of 29 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration of a securitisation repository and the details of the simplified application for an extension of registration of a trade repository (OJ L 289, 03.09.2020 p. 345) ELI: http://data.europa.eu/eli/reg/2020/1230/oj).
ANNEX III
Type of ICT services
When referring to a type of ICT services in the templates of the register of information, only the identifier (from S01 to S19) of the relevant type of ICT services shall be reported.
|
Identifier |
Type of ICT services |
Description |
||
|
S01 |
|
Provision of services related to Project Management Officer (PMO). |
||
|
S02 |
|
Provision of services related to: business analysis, software design and development, testing. |
||
|
S03 |
|
Provision of services related to: helpdesk support and first level support on ICT incident |
||
|
S04 |
|
Provision of services related to: ICT security (protection, detection, response and recovering), including security incident handling and forensics. |
||
|
S05 |
|
Subscription to the services of data providers. (digital data service) |
||
|
S06 |
|
Provision of services related to the support for data analysis. (digital data service) |
||
|
S07 |
|
Provision of ICT infrastructure, facilities and hosting services, including the provision of utilities (energy, heat management etc.), telecom access and physical security (excluding cloud services), payment-processing activities, or operating payment infrastructures |
||
|
S08 |
|
Provision of digital processing capabilities (including data computation), excluding the computation services performed in the context of a cloud environment. |
||
|
S09 |
|
Provision of data storage platform (excluding cloud services). |
||
|
S10 |
|
Operations for telecommunication systems and flow management. Traditional analogue telephone services are explicitly excluded pursuant to Article 3, point (21), of Regulation (EU) 2022/2554 |
||
|
S11 |
|
Provision of network infrastructure |
||
|
S12 |
|
Provision of workstations, phones, servers, data storage devices, appliances, etc. in a form of a service |
||
|
S13 |
|
Provision of software run on premises. |
||
|
S14 |
|
Provision of services related to: infrastructure (systems and hardware except network) configuration, maintenance, installing, capacity management, business continuity management, etc. Including Managed Service Providers (MSP) |
||
|
S15 |
|
Provision of intellectual / ICT expertise services. |
||
|
S16 |
|
Verification of compliance with ICT risk management requirements in accordance with Article 6(10) of Regulation (EU) 2022/2554 |
||
|
S17 |
|
Infrastructure-as-a-Service |
||
|
S18 |
|
Platform-as-a-Service |
||
|
S19 |
|
Software-as-a-Service |
ANNEX IV
Instruction to report the “value of total assets”
|
Type of entity |
Instruction to report value of total assets in column B_01.02.0110 |
||
|
Information as specified in Template C40.00, Row 0410, Column 0010 of Annex X to Commission Implementing Regulation (EU) 2021/451 (1) |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Information as specified in template Z01.00, column 0090 of Annex I to Commission Implementing Regulation (EU) 2018/1624 (2) |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the audited financial statements reported to competent authorities pursuant to Article 41, point (a), of Commission Delegated Regulation (EU) 2017/392 (3) |
||
|
Information as reported in "Public quantitative disclosure standards for central counterparties" of BIS/IOSCO, field 15.2 |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Information as specified in Annex II and Template S02.01, Row 0500, Column 0010, of Annex III to Commission Implementing Regulation (EU) 2023/894 (4) |
||
|
Value of the total assets in the statutory accounts |
||
|
Total assets must equal the sum of all items separately identified on the assets side of the balance sheet and must also equal total liabilities |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Value of the total assets in the statutory accounts |
||
|
Non-financial entity: ICT intra-group service provider |
Not applicable |
||
|
Non-financial entity: Other intra-group entity |
Not applicable |
||
|
Non-financial entity: ICT third-party service provider |
Not applicable |
(1) Commission Implementing Regulation (EU) 2021/451 of 17 December 2020 laying down implementing technical standards for the application of Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to supervisory reporting of institutions and repealing Implementing Regulation (EU) No 680/2014 (OJ L 97, 19.3.2021, p. 1, ELI: http://data.europa.eu/eli/reg_impl/2021/451/oj).
(2) Commission Implementing Regulation (EU) 2018/1624 of 23 October 2018 laying down implementing technical standards with regard to procedures and standard forms and templates for the provision of information for the purposes of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU of the European Parliament and of the Council, and repealing Commission Implementing Regulation (EU) 2016/1066 (OJ L 277, 7.11.2018, p. 1, ELI: http://data.europa.eu/eli/reg_impl/2018/1624/oj).
(3) Commission Delegated Regulation (EU) 2017/392 of 11 November 2016 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on authorisation, supervisory and operational requirements for central securities depositories (OJ L 65, 10.3.2017, p. 48, ELI: http://data.europa.eu/eli/reg_del/2017/392/oj).
(4) Commission Implementing Regulation (EU) 2023/894 of 4 April 2023 laying down implementing technical standards for the application of Directive 2009/138/EC of the European Parliament and the Council with regard to the templates for the submission by insurance and reinsurance undertakings to their supervisory authorities of information necessary for their supervision and repealing Implementing Regulation (EU) 2015/2450 (OJ L 120, 5.5.2023, p. 1, ELI: http://data.europa.eu/eli/reg_impl/2023/894/oj).
ELI: http://data.europa.eu/eli/reg_impl/2024/2956/oj
ISSN 1977-0677 (electronic edition)