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Document 02018O0016-20191002
Guideline (EU) 2018/876 of the European Central Bank of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16)
Consolidated text: Guideline (EU) 2018/876 of the European Central Bank of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16)
Guideline (EU) 2018/876 of the European Central Bank of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16)
ELI: http://data.europa.eu/eli/guideline/2018/876/2019-10-02
02018O0016 — EN — 02.10.2019 — 001.001
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GUIDELINE (EU) 2018/876 OF THE EUROPEAN CENTRAL BANK of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16) (OJ L 154 18.6.2018, p. 3) |
Amended by:
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Official Journal |
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No |
page |
date |
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GUIDELINE (EU) 2019/1335 OF THE EUROPEAN CENTRAL BANK of 7 June 2019 |
L 208 |
47 |
8.8.2019 |
GUIDELINE (EU) 2018/876 OF THE EUROPEAN CENTRAL BANK
of 1 June 2018
on the Register of Institutions and Affiliates Data (ECB/2018/16)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter and purpose
Article 2
Definitions
For the purposes of this Guideline, the following definitions apply:
‘entity’ means any of the following: (i) a legal unit; (ii) a branch of a legal unit; (iii) a collective investment undertaking; and (iv) any institutional unit which does not fall under (i), (ii) or (iii);
‘legal unit’ means a legal person whose existence is recognised by law independently of the individuals or institutions which may own it or are members of it, and a natural person who is engaged in an economic activity in its own right;
‘legal person’ has the same meaning as ‘legal entity’ as defined in point 5 of Article 1 of Regulation (EU) 2016/867 (ECB/2016/13);
‘branch’ means a place of business which forms a legally dependent part of an incorporated legal unit;
‘headquarters’ means an entity that controls one or more unincorporated non-resident entities;
‘collective investment undertaking’ or ‘UCITS’ has the same meaning as defined in point 7 of Article 4(1) of Regulation (EU) No 575/2013 of the European Parliament and of the Council ( 1 );
‘institutional unit’ has the same meaning as defined in paragraphs 2.12 and 2.13 of Annex A to Regulation (EU) No 549/2013 of the European Parliament and of the Council ( 2 );
‘enterprise’ has the same meaning as defined in Section III A of the Annex to Council Regulation (EEC) No 696/93 ( 3 );
‘enterprise group’ has the same meaning as defined in Section III C of the Annex to Regulation (EEC) No 696/93;
‘banking group’ means a group of financial entities that functions as a single economic entity through a common source of control by an authorised credit institution or financial holding company in accordance with Regulation (EU) No 575/2013 and which are subject to accounting consolidation in accordance with International Financial Reporting Standard (IFRS) 10 ( 4 );
‘control’ has the same meaning as defined in point 37 of Article 4(1) of Regulation (EU) No 575/2013;
‘reference data’ means any master data describing an individual entity and its relationships with other entities recorded in RIAD;
‘RIAD code’ means the unique identifier created by the competent NCB or by the ECB to identify an entity recorded in RIAD;
‘temporary RIAD code’ means an identifier, with a pre-defined format that is different from the format of the RIAD code, assigned either by the NCBs or by the ECB to a new entity when it is recorded in RIAD until the RIAD code is assigned;
‘competent NCB’ means the NCB responsible for managing entities in RIAD which are resident in its Member State;
‘national competent authority’ has the same meaning as defined in point 2 of Article 2 of Council Regulation (EU) No 1024/2013 ( 5 );
‘compounding rule’ means the order of priority for each single attribute used by an NCB for conflicting data sources;
‘RIAD hub’ means a centre of activity related to RIAD within the ESCB used for the purposes of Article 3 of this Guideline;
‘resident entity’ means an entity which is resident within the meaning of point 4 of Article 1 of Regulation (EC) No 2533/98;
‘working day’ means any day other than a Saturday, a Sunday or a public holiday in the ECB or the Member State concerned;
‘Legal Entity Identifier’ or ‘LEI’ means an alphanumeric reference code in line with the ISO 17442 standard ( 6 ) assigned to a legal entity.
‘monetary financial institution’ or ‘MFI’ has the same meaning as defined in point (a) of Article 1 of Regulation (EU) No 1071/2013 of the European Central Bank (ECB/2013/33) ( 7 );
‘investment fund’ or ‘IF’ has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1073/2013 of the European Central Bank (ECB/2013/38) ( 8 );
‘financial vehicle corporation’ or ‘FVC’ has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1075/2013 of the European Central Bank (ECB/2013/40) ( 9 );
‘payment statistics relevant institutions’ or ‘PSRI’ are payment service providers, as defined in Article 4 of Directive (EU) 2015/2366 of the European Parliament and of the Council ( 10 ), and payment system operators, which are defined as legal entities that are legally responsible for operating a payment system;
‘insurance corporation’ or ‘IC’ has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1374/2014 of the European Central Bank (ECB/2014/50) ( 11 );
‘attribute’ shall be the attributes to be reported for the datasets set out in Annexes I and II to this Guideline;
‘pension fund’ or ‘PF’ has the same meaning as defined in point 1 of Article 1 of Regulation (EU) 2018/231 of the European Central Bank (ECB/2018/2) ( 12 );
‘euro short-term rate’ has the same meaning as defined in point 2 of Article 2 of Guideline (EU) 2019/1265 of the European Central Bank (ECB/2019/19) ( 13 );
‘sponsor’ has the same meaning as ‘sponsoring undertaking’ as defined in point 3 of Article 6 of Directive (EU) 2016/2341 of the European Parliament and of the Council ( 14 );
‘pension manager’ has the same meaning as set out in paragraph 5.185 of Annex A to Regulation (EU) No 549/2013;
‘confidential statistical information’ has the same meaning as defined in point 12 of Article 1 of Regulation (EC) No 2533/98.
CHAPTER II
GENERAL PROVISIONS ON RIAD AND ON THE RECORDING, MAINTENANCE, REVISION AND TRANSMISSION OF REFERENCE DATA FOR ENTITIES
Article 3
Establishment of RIAD hubs
Article 4
Recording of reference data in RIAD
Article 5
Assignment and management of the RIAD code and identifiers
Article 6
Recording of demographic events, sector changes and corporate actions in RIAD
The competent NCBs shall make reasonable efforts to record all demographic events relating to entities whose reference data are recorded in RIAD. These events shall include:
birth date of an entity;
closure date of an entity;
date as of which an entity becomes inactive.
The competent NCBs shall provide to the ECB a written explanation of any delay between the occurrence of an MFI re-classification and its recording in RIAD.
The competent NCBs shall report the following corporate actions in respect of the resident entities listed in Annex I in RIAD as soon as they gain knowledge of them in accordance with the timeframe set out in Chapter VI:
mergers by the formation of a new company as defined in Article 90 of Directive (EU) 2017/1132 of the European Parliament and of the Council ( 15 );
mergers by acquisition as defined in Article 89 of Directive (EU) 2017/1132;
divisions by acquisition as defined in Article 136 of Directive (EU) 2017/1132;
divisions by the formation of new companies as defined in Article 155 of Directive (EU) 2017/1132;
disposal of a subsidiary.
Article 7
Maintenance and revision policy
NCBs shall make reasonable efforts to ensure that all attributes are maintained and kept up-to-date on an ongoing basis. Maintenance shall include making timely and effective revisions to the attributes.
Article 8
Transmission standards
Article 9
Acquisition and error acknowledgements
When new data are recorded in RIAD, checks are automatically generated to validate the quality of the information provided on the basis of agreed standards and validation rules. The ECB shall provide to the NCBs an automated backflow including:
an acquisition acknowledgement containing summary information on the updates which have been processed and implemented successfully in the relevant dataset; and/or
an error acknowledgement containing detailed information on the updates and validation checks which have failed.
On receipt of an error acknowledgement, NCBs shall promptly take action to transmit corrected information.
CHAPTER III
CONFIDENTIALITY
Article 10
Confidentiality of attribute values
NCBs shall declare the confidentiality status of each attribute value describing an entity by selecting one of the pre-defined values:
‘F’ meaning free, i.e. not confidential and can be made public;
‘N’ meaning that an attribute value may be released only for the use of the ESCB and of institutions for which a memorandum of understanding is in place, i.e. not for external release;
‘C’ meaning confidential statistical information or information not originally collected under the ESCB legal framework for statistics that is subject to confidentiality restrictions; or
‘R’ meaning that, in addition to the uses allowed under 2(b) of this Article, an attribute value may be shared with the reporting agent, which provided that information, and — subject to any applicable confidentiality restrictions – with other reporting agents, i.e. restricted release only.
The following attributes shall always have the value ‘F’ for entities with an LEI:
name;
address.
The following attributes shall always have the value ‘F’ for entities whose attributes are listed in Annex I and ‘F’, ‘R’ or ‘N’ for entities whose attributes are listed in Annex II:
name;
institutional sector.
CHAPTER IV
DATA QUALITY MANAGEMENT
Article 11
Data quality and synchronisation
CHAPTER V
COOPERATION WITH AUTHORITIES OTHER THAN NCBS
Article 12
Cooperation with authorities other than NCBs
CHAPTER VI
SPECIFIC PROVISIONS ON THE RECORDING OF REFERENCE DATA FOR ENTITIES
Article 13
Publication of lists of entities
The ECB shall publish lists of entities:
to the extent and in the manner permitted by the relevant statistical regulations mentioned in this Chapter; and
according to the institutional sector classification defined in Annex A to Regulation (EU) No 549/2013.
Article 14
Recording of reference data for MFIs
Article 15
Recording of reference data for IFs
Article 16
Recording of reference data for FVCs
Article 17
Recording of reference data for PSRIs
To enable the establishment and maintenance of the list of PSRIs referred to in Article 5(2) of Regulation (EU) No 1409/2013 of the European Central Bank (ECB/2013/43) ( 16 ), NCBs shall record in RIAD the attributes specified in Part 1 of Annex I to this Guideline at the intervals prescribed. NCBs shall report any updates to these attributes, in particular, when an PSRI joins or leaves the PSRIs population, and record them in RIAD as at year end, within three months after the year end.
Article 18
Recording of reference data for ICs
Article 18a
Recording of reference data for PFs
Article 19
Regular publication of datasets
The ECB shall publish the datasets listed below as follows.
By 18.00 CET every working day, the ECB shall make a copy of the MFI dataset available on its website.
By 18.00 CET on the fourth working day following the deadline for transmitting updates, the ECB shall make a copy of the IF dataset available on its website.
By 18.00 CET on the second working day following the deadline for transmitting updates, the ECB shall make a copy of the FVC dataset available on its website.
By 18.00 CET on the last working day of the month following the month of the deadline for transmitting updates, the ECB shall make a copy of the PSRI dataset available on its website.
By 18.00 CET on the fourth working day following the month of the deadline for transmitting updates, the ECB shall make a copy of the IC dataset available on its website.
By 18.00 CET on the fourth working day following the month of the deadline for transmitting updates, the ECB shall make a copy of the PF dataset available on its website.
In each case the relevant dataset shall be the list of entities referred to in the respective ECB regulation for statistical reporting by the type of entity concerned.
CHAPTER VII
RELEVANT REFERENCE DATA ON ENTITIES FOR UNPUBLISHED DATASETS AND GROUPS
Article 20
Relevant reference data on entities for unpublished datasets
In addition to the data needed for the published lists of entities, additional datasets which are not published also use reference data on entities. An overview of the attributes relevant for these datasets is set out in Annex II. Articles 21 to 28 specify the conditions for reporting the attributes mentioned in Annex II. In particular, NCBs shall ensure the completeness and consistency of the reference data in different datasets.
Article 21
Statistics on Individual Balance Sheet Items (‘iBSI’) and Individual MFI Interest Rate (‘iMIR’)
Competent NCBs shall ensure that the information regarding the panel of euro area credit institutions for which iBSI or iMIR data have to be reported by NCBs to the ECB in accordance with Guideline ECB/2014/15 is accurately recorded in RIAD. The ECB shall notify to the NCBs the composition of the panel. NCBs shall make the necessary amendments to the information recorded in RIAD if the panel's membership changes.
Article 22
Reference data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48)
Article 23
Reference data relevant for collateral management
Competent NCBs shall ensure the quality and reliability of the reference data for entities relevant for collateral management purposes and shall record in RIAD all the attributes which are listed in Annex II relevant to any such entities, in order for the competent NCBs to properly verify compliance by monetary policy counterparties with the provisions governing close links set out in Title VIII of Part Four in Guideline (EU) 2015/510 (ECB/2014/60).
Article 24
Reference data relevant for the Treasury Management System (TMS)
Competent NCBs shall make reasonable efforts to record in RIAD all the attributes listed in Annex II for entities relevant for TMS. The ECB is responsible for assigning the TMS identifier to entities relevant for TMS.
Article 25
Reference data relevant for SHSDB
Competent NCBs shall record in RIAD all the attributes listed in Annex II for counterparties relevant for the SHSDB in accordance with Regulation (EU) 2016/1384 of the European Central Bank (ECB/2016/22) ( 17 ) and Guideline ECB/2013/7 ( 18 ). NCBs shall ensure that such entities are linked to the SHSDB via a common, stable entity identifier that covers such entities in all sectors.
Article 26
Reference data relevant for CSDB
NCBs shall make reasonable efforts to record in RIAD all the attributes listed in Annex II for issuers of securities resident in their country which are recorded in CSDB in accordance with Guideline ECB/2012/21 ( 19 ). NCBs shall ensure that such entities are linked to the CSDB via a common, stable entity identifier that covers such entities in all sectors.
Article 27
Reference data relevant for AnaCredit
NCBs shall ensure that the reference data for counterparties relevant for AnaCredit in accordance with Regulation (EU) 2016/867 (ECB/2016/13) and in Guideline (EU) 2017/2335 (ECB/2017/38) are recorded in RIAD. Annex II provides an overview of the relevant attributes which are required in accordance with that Regulation and that Guideline, including the unique identification of all resident counterparties in RIAD.
Article 28
Recording of reference data on groups
CHAPTER VIII
FINAL PROVISIONS
Article 29
Simplified amendment procedure
The ECB's Executive Board may make any technical amendments to the annexes to this Guideline, provided that such amendments neither change the underlying conceptual framework nor affect the reporting burden on reporting agents in Member States. The Executive Board shall inform the Governing Council of any such amendment without undue delay.
Article 30
Taking effect
This Guideline shall take effect on the day of its notification to the NCBs of the Member States whose currency is the euro.
Article 31
Addressees
This Guideline is addressed to the NCBs of the Member States whose currency is the euro.
ANNEX I
REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) – LISTS FOR PUBLICATION
PART 1
Attributes to be reported for datasets maintained for publication
Attribute name () |
Relevant in the context of the list of |
|||||||||||
MFIs |
IFs |
FVCs |
PSRIs () |
ICs |
PFs |
|||||||
Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Identifiers |
|
|
|
|
|
|
|
|
|
|
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|
— RIAD code |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
— National identifier — (as available) |
M |
d |
O |
q |
M |
q |
M |
a |
M |
q |
M |
q |
— EGR code |
O |
d |
|
|
O |
q |
|
|
|
|
|
|
— LEI (as available) |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
— Bank identifier code (BIC) |
O |
d |
|
|
|
|
|
|
|
|
|
|
— ISINs (as available) |
O |
m |
M |
q |
M |
q |
|
|
O |
q |
O |
q |
Name |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Country of residence |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Address (*1) |
M |
d |
O |
q |
O |
q |
M |
a |
M |
q |
M |
q |
Legal form (*1) |
M |
d |
O |
q |
O |
q |
O |
a |
O |
q |
O |
q |
Flag Listed |
M |
d |
M |
q |
M |
q |
O |
a |
M |
q |
M |
q |
Type of supervision |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Reporting requirements |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Type of banking licence |
M |
d |
|
|
|
|
O |
a |
|
|
|
|
Legal set-up |
|
|
M |
q |
|
|
|
|
|
|
|
|
Flag UCITS compliance |
|
|
M |
q |
|
|
|
|
|
|
|
|
Flag Sub-fund |
|
|
M |
q |
|
|
|
|
|
|
|
|
Nature of securitisation |
|
|
|
|
M |
q |
|
|
|
|
|
|
Type of Investment Funds |
|
|
M |
q |
|
|
|
|
|
|
|
|
Investment policy for IFs |
|
|
M |
q |
|
|
|
|
|
|
|
|
Type of Pension Funds |
|
|
|
|
|
|
|
|
|
|
M |
q |
Flag ‘Is sponsored’ |
|
|
|
|
|
|
|
|
|
|
M |
q |
Flag Payment service provider (PSP) |
|
|
|
|
|
|
M |
a |
|
|
|
|
Flag Payment system operator (PSO) |
|
|
|
|
|
|
M |
a |
|
|
|
|
Flag small PSP |
|
|
|
|
|
|
M |
a |
|
|
|
|
Flag PSP derogation granted |
|
|
|
|
|
|
M |
a |
|
|
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|
Type of PSP license |
|
|
|
|
|
|
M |
a |
|
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|
PSP geographical scope |
|
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|
|
M |
a |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Institutional sector |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Institutional sector details |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Institutional sector control |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
NACE code |
M |
d |
M |
q |
M |
q |
O |
a |
M |
q |
M |
q |
Geographic location (NUTS) (*1) |
M |
d |
O |
q |
O |
q |
M |
a |
M |
q |
M |
q |
Employment domestic ((+)) |
O |
a |
O |
a |
O |
a |
O |
a |
O |
a |
O |
a |
Balance sheet total (ECB Regulation) domestic ((+)) |
M |
a |
|
|
|
|
|
|
O () |
a |
O |
a |
Net assets domestic ((+)) |
O |
a |
M |
a |
|
|
|
|
|
|
|
|
Gross premiums written domestic ((+)) |
|
|
|
|
|
|
|
|
M |
a |
|
|
Total employment ((++)) |
O |
a |
O |
a |
O |
a |
O |
a |
O |
a |
O |
a |
Total balance sheet ((++)) |
M |
a |
O |
a |
O |
a |
|
|
O () |
a |
O |
a |
Gross premiums written ((++)) |
|
|
|
|
|
|
|
|
M |
a |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Birth date |
O |
d |
O |
q |
O |
q |
O |
a |
O |
q |
O |
q |
Closure date |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Flag ‘Is Inactive’ |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
M |
q |
Flag ‘Is under liquidation’ |
M |
d |
O |
q |
M |
q |
M |
a |
M |
q |
O |
q |
|
|
|
|
|
|
|
|
|
|
|
|
|
Required counterparties |
||||||||||||
Originator of FVC |
|
|
|
|
M |
q |
|
|
|
|
|
|
Management company (as applicable) |
|
|
M |
q |
M |
q |
|
|
|
|
M () |
q |
Headquarters (as applicable) |
M |
d |
|
|
|
|
|
|
M |
q |
M |
q |
(1)
(+) excluding non-resident branches (or headquarters).
(2)
(++) including non-resident branches (if applicable).
(*1)
as applicable.
(3)
Please note that the list of PSRIs may overlap with the list of MFIs.
(4)
This should be reported at least for one of the variables depending on the data collection system.
(5)
This attribute refers to pension managers as regards the data reported by these entities pursuant to Regulation (EU) 2018/231 (ECB/2018/2). Relevance: M (mandatory), O (optional), blank (not applicable). Frequency: a (annual), q (quarterly), m (monthly), d (daily/as soon as a change occurs). Timeframe: for annual data is (if not specified elsewhere) one month following the reference date. |
PART 2
Types of relationships between entities
|
Type |
Update frequency |
1. Relationships within an enterprise |
|
|
Relationship between a legal unit(s) and an enterprise |
O |
— |
2. Relationships within enterprise groups |
||
Control relationship between legal units |
M () |
q |
Ownership (non-controlled) relationship between legal units |
O |
q |
3. Other relationships |
||
Link between an originator and its FVC |
M |
q |
M |
q |
|
Link between a non-resident branch and its resident headquarter |
M |
q () |
Link between a resident branch and its non-resident headquarter |
M |
q |
Link between a sub-fund and an umbrella fund (*1) |
M |
q |
M |
m |
|
Link between a pension fund and its sponsor (*1) |
O |
q |
(1)
only for ‘banking groups’ with headquarters in the euro area and for counterparties contemplated by Regulation (EU) 2016/867 (ECB/2016/13); otherwise optional.
(2)
at least quarterly, depending on the sector.
(3)
only for AnaCredit relevant entities.
(4)
except self-managed entities.
(*1)
as applicable. |
ANNEX II
REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS NOT FOR PUBLICATION
Attributes to be reported for datasets according to their respective legal framework referred to in Chapter VII of this Guideline
Attribute name |
Individual BSI and MIR statistics (iBSI-iMIR) |
Regulation (EU) No 1333/2014 (ECB/2014/48) and the euro short-term rate |
Entities relevant for Collateral Management |
Treasury Management System (TMS) |
Security Holding Statistics Database (SHSDB) (1) |
Centralised Securities Database (CSDB) |
Common Granular Analytical Credit database (AnaCredit) (2) |
Entity Identifiers |
|
|
|
|
|
|
|
— RIAD code |
x |
x |
x |
x |
x |
x |
x |
— LEI ((*1)) |
|
x |
x |
|
x |
x |
x |
— National identifiers ((*1)) |
|
|
x |
|
x |
x |
x |
— Other Identifiers |
|
|
x |
x |
x |
x |
x |
Instrument Identifiers |
|
|
|
|
|
|
|
— ISIN |
|
|
|
|
x |
x |
|
Name |
x |
x |
x |
x |
x |
x |
x |
Country of residence |
x |
x |
x |
x |
x |
x |
x |
Address |
|
|
|
|
|
|
x |
Legal form |
|
|
|
|
|
|
x |
Institutional sector |
x |
x |
x |
x |
x |
x |
x |
Institutional sector details |
x |
x |
x |
x |
x |
x |
x |
Institutional sector control |
x |
x |
x |
x |
x |
x |
x |
Collateral group |
|
|
x |
|
|
|
|
NACE code |
|
|
|
|
x |
x |
x |
Geographic location (NUTS) |
|
|
|
|
|
|
x |
Flag CCP |
|
x |
|
|
|
|
|
Reporting requirements |
|
|
|
|
|
|
x |
Accounting Framework |
|
|
|
|
|
|
x |
Total employment |
|
|
|
|
|
|
x |
Total balance sheet |
|
|
|
|
|
|
x |
Enterprise size |
|
|
|
|
|
|
x |
Annual turnover |
|
|
|
|
|
|
x |
Status of legal proceedings |
|
|
|
|
|
|
x |
|
|
|
|
|
|
|
|
Birth date |
x |
x |
x |
x |
x |
x |
x |
Closure date |
x |
x |
x |
x |
x |
x |
x |
Flag ‘Is Inactive’ |
x |
x |
x |
x |
x |
x |
|
|
|
|
|
|
|
|
|
Relationships |
|
|
|
|
|
|
|
— Ownership relation |
|
|
x |
|
|
|
|
— Branch relation |
|
|
x |
|
|
|
|
Link |
|
|
|
|
|
|
|
— to headquarters |
|
|
|
|
x |
|
x |
— to direct controlling parent |
|
|
|
|
x |
|
x |
— to ultimate controlling parent |
|
|
|
|
x |
|
x |
— to management company |
|
|
|
|
|
|
x |
(1)
The list of mandatory attributes for the relevant SHSDB counterparty roles is specified in the respective legal acts.
(2)
The list of mandatory attributes for a specific AnaCredit counterparty depends on its role (borrower, guarantor, etc.), residency (within/outside reporting Member State), and on the date the loan was granted as specified in the respective legal acts.
(3)
(*1) ‘LEI’ or, if not available, ‘National identifiers’ should be provided as mandatory attributes. |
( 1 ) Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1).
( 2 ) Regulation (EU) No 549/2013 of the European Parliament and of the Council of 21 May 2013 on the European system of national and regional accounts in the European Union (OJ L 174, 26.6.2013, p. 1).
( 3 ) Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community (OJ L 76, 30.3.1993, p. 1).
( 4 ) International Financial Reporting Standard (IFRS) 10 Consolidated Financial Statements, The IFRS Foundation.
( 5 ) Council Regulation (EU) No 1024/2013 of 15 October 2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions (OJ L 287, 29.10.2013, p. 63).
( 6 ) Available on the International Organisation for Standardisation's (ISO) website at www.iso.org
( 7 ) Regulation (EU) No 1071/2013 of the European Central Bank of 24 September 2013 concerning the balance sheet of the monetary financial institutions sector (ECB/2013/33) (OJ L 297, 7.11.2013, p. 1).
( 8 ) Regulation (EU) No 1073/2013 of the European Central Bank of 18 October 2013 concerning statistics on the assets and liabilities of investment funds (ECB/2013/38) (OJ L 297, 7.11.2013, p. 73).
( 9 ) Regulation (EU) No 1075/2013 of the European Central Bank of 18 October 2013 concerning statistics on the assets and liabilities of financial vehicle corporations engaged in securitisation transactions (ECB/2013/40) (OJ L 297, 7.11.2013, p. 107).
( 10 ) 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.)
( 11 ) Regulation (EU) No 1374/2014 of the European Central Bank of 28 November 2014 on statistical reporting requirements for insurance corporations (ECB/2014/50) (OJ L 366, 20.12.2014, p. 36).
( 12 ) Regulation (EU) 2018/231 of the European Central Bank of 26 January 2018 on statistical reporting requirements for pension funds (ECB/2018/2) (OJ L 45, 17.2.2018, p. 3).
( 13 ) Guideline (EU) 2019/1265 of the European Central Bank of 10 July 2019 on the euro short-term rate (€STR) (ECB/2019/19) (OJ L 199, 26.7.2019, p. 8).
( 14 ) 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).
( 15 ) Directive (EU) 2017/1132 of the European Parliament and of the Council of 14 June 2017 relating to certain aspects of company law (OJ L 169, 30.6.2017, p. 46).
( 16 ) Regulation (EU) No 1409/2013 of the European Central Bank of 28 November 2013 on payment statistics (ECB/2013/43) (OJ L 352, 24.12.2013, p. 18).
( 17 ) Regulation (EU) 2016/1384 of the European Central Bank of 2 August 2016 amending Regulation (EU) No 1011/2012 (ECB/2012/24) concerning statistics on holdings of securities (ECB/2016/22) (OJ L 222, 17.8.2016, p. 24).
( 18 ) Guideline ECB/2013/7 of 22 March 2013 concerning statistics on holdings of securities (OJ L 125, 7.5.2013, p. 17).
( 19 ) Guideline ECB/2012/21 of 26 September 2012 on the data quality management framework for the Centralised Securities Database (OJ L 307, 7.11.2012, p. 89).