Type of information

Format

Date of application

ISO 8601 date in the format YYYY-MM-DD

Corporate name of the applicant CSD

Free text

Identification of the applicant CSD

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code

Registered address of the applicant CSD

Free text

Securities settlement system(s) the applicant CSD operates or intends to operate

Free text

Contact details of the person responsible for the application (name, function, phone number, email address)

Free text

Contact details of the person(s) in charge of the applicant CSD's internal control and compliance function (name, function, phone number, email address)

Free text

List of all documents provided by the applicant CSD with unique reference numbers

Free text

The scope of information to be submitted in accordance with the specific requirement of the delegated act with regard to regulatory technical standards specifying the details of the application for authorisation of CSDs adopted pursuant to Article 17(9) of Regulation (EU) No 909/2014

Unique reference number of the document

Title of the document

Chapter or section or page of the document where the information is provided or reason why the information is not provided

Identification and legal status of the CSD (Article 4 of Delegated Regulation (EU) 2017/392)

An application for authorisation submitted according to Article 17 of Regulation (EU) No 909/2014 shall clearly identify the entity applying the activities and services that it intends to carry out

The corporate name of the applicant CSD, its LEI and legal address in the Union

The memorandum and articles of association and other constitutional and statutory documentation

An excerpt from the relevant commercial or court register, or other forms of certified evidence of the legal address and business activity of the applicant CSD that shall be valid at the date of the application

The identification of the securities settlement systems that the applicant CSD operates or intends to operate

A copy of the decision of the management body regarding the application and the minutes of the meeting in which the management body approved the application file and its submission

The contact details of the person responsible for the application

A chart showing the ownership links between the parent undertaking, subsidiaries and any other associated entities or branches; the entities shown in the chart shall be identified by their full company name, legal status, legal address, and tax numbers or company registration numbers

A description of business activities of the applicant CSD's subsidiaries and other legal persons in which the applicant CSD holds a participation, including information on the level of participation

A list containing:

A list containing:

A list of core services listed in Section A of the Annex to Regulation (EU) No 909/2014 that the applicant CSD is providing or intends to provide

A list of ancillary services explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014 that the applicant CSD is providing or intends to provide

A list of any other ancillary services permitted under, but not explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014, that the applicant CSD is providing or intends to provide

A list of investment services and activities subject to Directive 2014/65/EU of the European Parliament and of the Council (1) which are not explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014 that the applicant CSD is providing or intends to provide

A list of services the applicant CSD outsources or intends to outsource to a third party in accordance with Article 30 of Regulation (EU) No 909/2014

The currency or currencies that the applicant CSD processes, or intends to process in connection with services the applicant CSD provides, irrespective of whether cash is settled on a central bank account, a CSD account, or an account at a designated credit institution;

Information on any pending and final judicial or civil, administrative and arbitration or any other legal proceedings to which the applicant CSD is a party, and which may cause it financial or other costs.

Where the applicant CSD intends to provide core services or to set up a branch in accordance with Article 23(2) of Regulation (EU) No 909/2014, information shall be provided as follows:

The Member State(s) in which the applicant CSD intends to operate

A programme of operations stating in particular the services which the applicant CSD provides or intends to provide in the host Member State

The currency or currencies that the applicant CSD processes or intends to process in that host Member State(s)

Where the services will be provided through a branch, the organisational structure of the branch and the names of the persons responsible for its management

Where relevant, an assessment of the measures that the applicant CSD intends to take to allow its users to comply with the national laws referred to in Article 49(1) of Regulation (EU) No 909/2014

Where relevant, a description of the services or activities the applicant CSD outsources to a third party in accordance with Article 30 of Regulation (EU) No 909/2014

Policies and procedures for regulatory compliance (Article 5 of Delegated Regulation (EU) 2017/392)

The job titles of the persons responsible for the approval and maintenance of the policies and procedures

A description of the measures implementing and monitoring the compliance with, the policies and procedures

A description of the procedures put in place by the applicant CSD in compliance with any mechanism established in accordance with Article 65 of Regulation (EU) No 909/2014

CSD Services and activities (Article 6 of Delegated Regulation (EU) 2017/392)

Detailed descriptions of the services and activities, and of procedures to be applied in the provision of the services and activities by the applicant CSD:

Core services specified under Section A of the Annex to Regulation (EU) No 909/2014

Ancillary services explicitly listed in section B of the Annex to Regulation (EU) No 909/2014

Any other ancillary services permitted under, but not explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014

Investment services and activities subject to Directive 2014/65/EU referred to in the point above

Information for groups (Article 7 of Delegated Regulation (EU) 2017/392)

Policies and procedures referred to in Article 26(7) of Regulation (EU) No 909/2014

Information on the composition of the senior management, management body, and shareholders structure of the parent undertaking or other group undertakings

Services, as well as key individuals other than senior management holding functions that the applicant CSD shares with other undertakings in by the group

Where the CSD has a parent undertaking, information shall be provided as follows:

Identification of the legal address of the parent undertaking

An indication of whether the parent undertaking is an entity that is authorised or registered and subject to supervision under Union or third country laws

Where relevant, any relevant registration number and the name of the authority or authorities competent for the supervision of the parent undertaking

Where the applicant CSD has an agreement with an undertaking within the group, which provides services related to services provided by a CSD, a description and a copy of such agreement

Financial reports, business plan and recovery plan (Article 8 of Delegated Regulation (EU) 2017/392)

Financial reports including a complete set of financial statements for the preceding three years, and the statutory audit report on the annual and consolidated financial statements within the meaning of Directive 2006/43/EC of the European Parliament and of the Council (2), for the preceding three years

The name and the national registration number of the external auditor

A business plan, including a financial plan and an estimated budget, that foresees various business scenarios for the CSD services, over a reference period of at least three years

Any plan for the establishment of subsidiaries and branches and their location

A description of the business activities that the applicant CSD plans to carry out, including the activities of any subsidiaries or branches of the applicant CSD

Where historical financial information referred to above is not available an application for authorisation shall contain the following information about the applicant CSD:

Evidence that demonstrates sufficient financial resources during six months after the granting of an authorisation

An interim financial report where the financial statements are not yet available for the requested period of time

A statement concerning the financial situation of the applicant CSD, such as a balance sheet, income statement, changes in equity and of cash flows and a summary of accounting policies and other relevant explanatory notes

Where applicable, audited annual financial statements of any parent undertaking for the three financial years preceding the date of the application

A description of an adequate recovery plan including:

A summary that provides an overview of the plan and its implementation

An identification of the critical operations of the applicant CSD, stress scenarios and events triggering recovery, and a substantive description of recovery tools to be used by the applicant CSD

Information about the assessment of any impacts of the recovery plan on various stakeholders that are likely to be affected by its implementation

An assessment by the applicant CSD of the legal enforceability of the recovery plan that takes account of any legal constraints imposed by the Union, national or third country legislation

Organisational chart (Article 9 of Delegated Regulation (EU) 2017/392)

Identity and tasks of the persons responsible for the following positions:

The number of staff members in each division and operational unit

Staffing policies and procedures (Article 10 of Delegated Regulation (EU) 2017/392)

A description of the remuneration policy, which includes information about the fixed and variable elements of the remuneration of the senior management, the members of the management body and the staff employed in the risk management and compliance and internal control, technology and internal audit functions of the applicant CSD

The measures put in place by the applicant CSD to mitigate the risk of over-reliance on the responsibilities entrusted to any individual person

Risk monitoring tools and governance arrangements (Article 11 of Delegated Regulation (EU) 2017/392)

A description of the components of the governance arrangements of the applicant CSD

The policies, procedures and systems that identify, measure, monitor, manage and report the risks that the applicant CSD may be exposed to and the risks that the applicant CSD poses to any other entities;

A description of the composition, role and responsibilities of the members of the management body and senior management and any committees established in accordance with Delegated Regulation (EU) 2017/392

A description of the processes concerning the selection, appointment, performance evaluation and removal of senior management and members of the management body

A description of the procedure used by the applicant CSD to make its governance arrangements and the rules governing its activity available to the public

Where the applicant CSD adheres to a recognised corporate governance code of conduct:

The identification of the code of conduct (a copy of the code)

An explanation for any situations where the applicant CSD deviates from the code

Compliance, internal control and internal audit functions (Article 12 of Delegated Regulation (EU) 2017/392)

A description of the procedures for the internal reporting of infringements referred to in Article 26(5) of Regulation (EU) No 909/2014

Information regarding its internal audit policies and procedures including the following:

A description of the monitoring and evaluation tools for the adequacy and effectiveness of the applicant CSD's internal control systems

A description of the control and safeguard tools for the applicant CSD's information processing systems

An explanation concerning the development and application of its internal audit methodology

A work plan for three years following the date of application

A description of the roles and qualifications of each individual who is responsible for internal audit

An application for authorisation shall contain the following information concerning the compliance and internal control function of the applicant CSD:

A description of the roles and qualifications of the individuals who are responsible for the compliance and internal control function and of any other staff involved in the assessments of compliance, including a description of the means to ensure the independence of the compliance and internal control function from the rest of the business units

The policies and procedures of the compliance and internal control function including a description of the compliance role of the management body and senior management

Where available, the most recent internal report prepared by the persons responsible for the compliance and internal control function or by any other staff involved in the assessments of compliance within the applicant CSD

Senior management, management body and shareholders (Article 13 of Delegated Regulation (EU) 2017/392)

For each member of the senior management and member of the management body, the following information:

A copy of a curriculum vitae which sets out the experience and knowledge of each member

Details regarding any criminal and administrative sanctions imposed on a member in connection with the provision of financial or data services or in relation to acts of fraud or misappropriation of funds in the form of an appropriate official certificate where available in the relevant Member State

A self-declaration of good repute in relation to the provision of a financial or data service, including all the statements indicated in Article 13(1)(c) of Delegated Regulation (EU) 2017/392

Information regarding the management body of the applicant CSD

An evidence of compliance with Article 27(2) of Regulation (EU) No 909/2014

A description of the roles and responsibilities of the management body

Information regarding the ownership structure and shareholders of the applicant CSD

A description of the ownership structure of the applicant CSD, including a description of the identity and size of interests of any entities in a position to exercise control over the operation of the applicant CSD

A list of the shareholders and persons who are in a position to exercise, directly or indirectly, control over the management of the applicant CSD

Management of conflicts of interest (Article 14 of Delegated Regulation (EU) 2017/392)

Policies and procedures put in place to identify and manage potential conflicts of interest by the applicant CSD:

A description of the policies and procedures concerning the identification, management and disclosure to the competent authority of potential conflicts of interest and of the process used to ensure that the staff of the applicant CSD is informed of such policies and procedures

A description of the controls and any other measures put in place to ensure that the requirements referred to in point (a) of Article 14(1) of Delegated Regulation (EU) 2017/392 on the management of conflicts of interest are met

A description of:

Where the applicant CSD is part of a group, the register referred to in point (c) (iii) of Article 14(1) of Delegated Regulation (EU) 2017/392 shall include a description of:

Confidentiality (Article 15 of Delegated Regulation (EU) 2017/392)

Policies and procedures preventing the unauthorised use or disclosure of confidential information as defined in Article 15 of Delegated Regulation (EU) 2017/392

Information concerning the access of staff to information held by the applicant CSD:

The internal procedures concerning permissions of access of staff to information that ensure secured access to data

A description of any restrictions on the use of data for reasons of confidentiality

User committee (Article 16 of Delegated Regulation (EU) 2017/392)

Documents or information on each user committee:

The mandate of the user committee

The governance arrangements of the user committee

The operating procedures of the user committee

The admission criteria and the election mechanism for the members of the user committee

A list of the proposed members of the user committee and the indication of interests that they represent

Record keeping (Article 17 of Delegated Regulation (EU) 2017/392)

Description of record-keeping systems of the applicant CSD, policies and procedures

Information referred to in Article 17(2) of Delegated Regulation (EU) 2017/392 before the date of application of Article 54 of Delegated Regulation (EU) 2017/392

An analysis of the extent to which the applicant CSD's existing record-keeping systems, policies and procedures are compliant with the requirements under Article 54 of Delegated Regulation (EU) 2017/392

An implementation plan detailing how the applicant CSD plans to be compliant with the requirements under Article 54 of Delegated Regulation (EU) 2017/392 by the required date

Goals and objectives (Article 18 of Delegated Regulation (EU) 2017/392)

A description of goals and objectives of the applicant CSD.

Handling of complaints (Article 19 of Delegated Regulation (EU) 2017/392)

The procedures established by the applicant CSD for the handling of complaints

Requirements for participation (Article 20 of Delegated Regulation (EU) 2017/392)

Information concerning the participation in the securities settlement system(s) operated by the applicant CSD:

The criteria for participation that allow fair and open access for all legal persons that intend to become participants in the securities settlement system(s) operated by the applicant CSD

The procedures for the application of disciplinary measures against the existing participants that do not comply with the criteria for participation

Transparency (Article 21 of Delegated Regulation (EU) 2017/392)

Information on the applicant CSD's pricing policy, including in particular the prices and fees for each core service provided by the applicant CSD and any existing discounts and rebates, as well as the conditions for such reductions

A description of methods used to disclose the relevant information to clients and prospective clients in accordance with Article 34(1) to (5) of Regulation (EU) No 909/2014

Information allowing the competent authority to assess how the CSD intends to comply with the requirements to account separately for costs and revenues in accordance with Article 34(7) of Regulation (EU) No 909/2014

Communication procedures with participants and other market infrastructure (Article 22 of Delegated Regulation (EU) 2017/392)

Relevant information concerning the use by the applicant CSD of international open communication procedures and standards for messaging and reference data in its communication procedures with participants and other market infrastructures

Book-entry form (Article 23 of Delegated Regulation (EU) 2017/392)

Information concerning the processes that ensure the compliance of the applicant CSD with Article 3 of Regulation (EU) No 909/2014

Intended settlement dates and measures for preventing and addressing settlement fails (Article 24 of Delegated Regulation (EU) 2017/392)

Rules and procedures concerning the measures to prevent settlement fails

Details of the measures to address settlement fails

If the application is made before the entry into force of the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014

An analysis of the extent to which the applicant CSD's existing rules, procedures, mechanisms and measures comply with the requirements under the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014.

An implementation plan detailing how the CSD plans to be compliant with the requirements under the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014 by the date of their entry into force

Integrity of the issue (Article 25 of Delegated Regulation (EU) 2017/392)

Information concerning the CSD's rules and procedures for ensuring the integrity of securities issues

Protection of participants' and their clients' securities (Article 26 of Delegated Regulation (EU) 2017/392)

Information concerning the measures put in place to ensure the protection of the applicant CSD's participants' and their clients' securities, including:

The rules and procedures to reduce and manage the risks associated with the safekeeping of securities

Detailed description of the different levels of segregation offered by the applicant CSD, including a description of the costs associated with each level, the commercial terms on which they are offered, their main legal implications and the applicable insolvency law

Rules and procedures for obtaining the consents referred to Article 38(7) of Regulation (EU) No 909/2014

Settlement finality (Article 27 of Delegated Regulation (EU) 2017/392)

Information concerning the rules on settlement finality

Cash settlement (Article 28 of Delegated Regulation (EU) 2017/392)

The procedures for the settlement of the cash payments for each securities settlement system that the applicant CSD operates

Information on whether the settlement of the cash payments is provided in accordance with Article 40(1) of Regulation (EU) No 909/2014

Where applicable, explanation of why settlement in accordance with Article 40(1) of Regulation (EU) No 909/2014 is not practical and available

Participant default rules and procedures (Article 29 of Delegated Regulation (EU) 2017/392)

The rules and procedures put in place to manage the default of a participant

Transfer of participants' and clients' assets in case of a withdrawal of authorisation (Article 30 of Delegated Regulation (EU) 2017/392)

Information concerning the procedures put in place by the applicant CSD that shall ensure the timely and orderly settlement and transfer of the assets of clients and participants to another CSD in the event of a withdrawal of its authorisation

Legal risks (Article 31 of Delegated Regulation (EU) 2017/392)

Information enabling the competent authority to assess that the rules, procedures, and contracts of the applicant CSD are clear, understandable and enforceable in all relevant jurisdictions in accordance with Article 43(1) and (2) of Regulation (EU) No 909/2014

Where the applicant CSD intends to conduct business in different jurisdictions, information concerning the measures put in place to identify and mitigate the risks arising from potential conflicts of laws across jurisdictions in accordance with Article 43(3) of Regulation (EU) No 909/2014, including any legal assessment on which those measures are based.

General business risks (Article 32 of Delegated Regulation (EU) 2017/392)

A description of the risk management and control systems as well as the IT tools put in place by the CSD to manage business risks

Where applicable, the risk rating obtained from a third party, including any relevant information supporting that risk rating

Operational risks (Article 33 of Delegated Regulation (EU) 2017/392)

Evidence demonstrating that the applicant CSD complies with the requirement for the management of operational risks in accordance with Article 45 of Regulation (EU) No 909/2014 and Chapter X of Delegated Regulation (EU) 2017/392

Information concerning the outsourcing by the applicant CSD of services or activities to third parties in accordance with Article 30 of Regulation (EU) No 909/2014, including:

Investment policy (Article 34 of Delegated Regulation (EU) 2017/392)

Evidence demonstrating that:

Capital requirements (Article 35 of Delegated Regulation (EU) 2017/392)

Information demonstrating that the capital of the applicant CSD, including retained earnings and reserves of the applicant CSD, meets the requirements of Article 47 of Regulation (EU) No 909/2014 and of Delegated Regulation (EU) 2017/392

The plan referred to in Article 47(2) of Regulation (EU) No 909/2014 and any updates to that plan, and evidence of its approval by the management body or an appropriate committee of the management body of the applicant CSD

CSD Links (Article 36 of Delegated Regulation (EU) 2017/392)

A description of the CSD links accompanied by assessments of link arrangements by the applicant CSD

The expected or actual settlement volumes and values of the settlement performed within the CSD links

The procedures concerning the identification, assessment, monitoring and management of all potential sources of risk for the applicant CSD and for its participants arising from the link arrangement and the appropriate measures put in place to mitigate them

An assessment of the applicability of insolvency laws applicable to the operation of a CSD link and their implications for the applicant CSD

Other relevant information necessary for assessing the compliance of CSD links with the requirements provided in Article 48 of Regulation (EU) No 909/2014 and Chapter XII of Delegated Regulation (EU) 2017/392

Access rules (Article 37 of Delegated Regulation (EU) 2017/392)

A description of procedures for dealing with requests for access from:

Legal persons that wish to become participants in accordance with Article 33 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392

Issuers in accordance with Article 49 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392

Other CSDs in accordance with Article 52 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392

Other market infrastructures in accordance with Article 53 of Regulation (EU) No 909/2014 and Chapter XIII of Delegated Regulation (EU) 2017/392

Additional information Article 38 of Delegated Regulation (EU) 2017/392)

Any additional information necessary for assessing whether, at the time of the authorisation, the applicant CSD complies with the requirements of Regulation (EU) No 909/2014 and the relevant delegated and implementing acts adopted under Regulation (EU) No 909/2014

Type of information

Format

Date of submission of information

ISO 8601 date in the format YYYY-MM-DD

Date of the last review and evaluation

ISO 8601 date in the format YYYY-MM-DD

Corporate name of the CSD

Free text

Identification of the CSD

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code

Legal address of the CSD

Free text

Securities settlement system(s) operated by the CSD

Free text

Contact details of the person responsible of the review and evaluation process (name, function, phone number, email address)

Free text

Contact details of the person(s) responsible for the CSD's internal control and compliance function (name, function, phone number, email address)

Free text

List of all documents provided by the CSD with unique reference numbers

Free text

Report on the CSD's activities and the substantive changes made during the review period, including a declaration of overall compliance with the provisions of Regulation (EU) No 909/2014 and the relevant regulatory technical standards under Regulation (EU) No 909/2014, including with respect to each substantive change

Separate document

No

Type of information

The unique reference number of the document in which the information is included

1

A complete set of the latest audited financial statements of the CSD, including those consolidated at group level

2

A summarised version of the most recent interim financial statements of the CSD

3

Any decisions of the management body following the advice of the user committee, as well as any decisions where the management body has decided not to follow the advice of the user committee

4

Information on any pending civil, administrative or any other judicial or extrajudicial proceedings involving the CSD, in particular in relation to matters concerning tax and insolvency, or matters that may cause financial or reputational costs for the CSD, and any final decisions resulting from these proceedings

5

Information on any pending civil, administrative or any other judicial or extrajudicial, proceedings involving a member of the management body or a member of the senior management that may have an negative impact on the CSD, and any final decisions resulting from these proceedings

6

A copy of the results of business continuity stress tests or similar exercises performed during the review period

7

A report on the operational incidents that occurred during the review period and affected the smooth provision of any core services provided, the measures taken to address them and the results thereof

8

A report on the system's performance, including an assessment of the system's availability during the review period; the system's availability shall be measured on a daily basis as the percentage of time the system is available for settlement

9

A summary of the types of manual intervention performed by the CSD

10

Information concerning the identification of the CSD's critical operations, any substantive changes to its recovery plan, the results of stress scenarios, the recovery triggers and the recovery tools of the CSD

11

Information on any formal complaints received by the CSD during the review period including information on:

12

Information concerning the cases where the CSD denied access to its services to any existing or potential participant, any issuer, another CSD or another market infrastructure

13

A report on the changes affecting any links established by the CSD, including changes to the mechanisms and procedures used for settlement in such CSD links

14

Information concerning all cases of identified conflicts of interest that occurred during the review period, including the description of how they were managed

15

Information concerning internal controls and audits performed by the CSD during the review period

16

Information concerning any identified infringements of Regulation (EU) No 909/2014, including those identified through the reporting channel referred to in Article 26(5) of Regulation (EU) No 909/2014

17

Detailed information concerning any disciplinary actions taken by the CSD, including any cases of suspension of participants in accordance with Article 7(9) of Regulation (EU) No 909/2014 with a specification of the period of suspension and the reason for such suspension

18

The general business strategy of the CSD covering a period of at least three years after the last review and evaluation and a detailed business plan for the services provided by the CSD covering at least a period of one year after the last review and evaluation

No

Type of data

Format

1

List of participants to each securities settlement system operated by the CSD, including information on their country of incorporation

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code (for each participant)

+ ISO 3166 2 character country code

2

List of issuers and a list of securities issues maintained by the CSD, including information on the country of incorporation of the issuers, and an identification of the issuers, highlighting to whom the CSD provides services referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code (for each issuer)

ISO 3166 2 character country code

ISO 6166 ISIN 12 character alphanumerical code (for each security issue)

+ Notary: Y/N

+ Central Maintenance: Y/N

3

Total market value and nominal value of the securities recorded in securities accounts centrally and non-centrally maintained in each securities settlement system operated by the CSD

Nominal value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Market value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

4

Nominal and market value of the securities referred to in point 3 divided as follows:

For each type of financial instruments:

by country of incorporation of the participant (ISO 3166 2 character country code)/country of incorporation of the issuer (ISO 3166 2 character country code):

Nominal value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Market value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

5

Nominal and market value of the securities initially recorded in each securities settlement system operated by the CSD

Nominal value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Market value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

6

Nominal and market value of the securities referred to in point 5 above, divided as follows:

For each type of financial instruments (as referred to in point (4)/country of incorporation of the participant (ISO 3166 2 character country code)/country of incorporation of the issuer (ISO 3166 2 character country code):

Nominal value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Market value of securities:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

7

Total number and value of the settlement instructions against payment plus the total number and market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled in each securities settlement system operated by the CSD

Number of settlement instructions settled in each securities settlement system operated by the CSD:

Up to 20 numerical characters reported as whole numbers without decimals.

Value of settlement instructions settled in each securities settlement system operated by the CSD:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

8

Total number and value of the settlement instructions referred to in point 7 divided as follows:

For each type of financial instruments (as referred to in point (4)/country of incorporation of the participant (ISO 3166 2 character country code)/country of incorporation of the issuer (ISO 3166 2 character country code)/settlement currency (ISO 4217 Currency Code, 3 alphabetical digits)/type of settlement instruction (DVP/RVP/DFP/RFP/DWP/RWP/PFOD)/settlement in central bank money (CBM)/commercial bank money (COM):

Number of settlement instructions settled in each securities settlement system operated by the CSD:

Up to 20 numerical characters reported as whole numbers without decimals.

Value of settlement instructions settled in each securities settlement system operated by the CSD:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

9

Number and value of buy-in transactions referred to in Article 7(3) and (4) of Regulation (EU) No 909/2014

Number of buy-in transactions:

Up to 20 numerical characters reported as whole numbers without decimals.

Value of buy-in transactions:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

10

Number and amount of penalties referred to in Article 7(2) of Regulation (EU) No 909/2014 per CSD participant

For each CSD participant:

Number of penalties:

Up to 20 numerical characters reported as whole numbers without decimals.

Amount of penalties:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

11

Total value of securities borrowing and lending operations processed by the CSD acting as an agent and as principal, as the case may be, divided per type of financial instruments referred to in point 4

For each type of financial instruments (as referred to in point (4), the value of securities borrowing and lending operations processed by:

12

Total value of settlement instructions settled via each CSD link from the perspective of the CSD as:

For each identified link:

13

Value of guaranties and commitments related to securities borrowing and lending operations

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

14

Value of treasury activities involving foreign exchange and transferable securities related to managing participants' long balances including categories of institutions whose long balances are managed by the CSD

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

15

Number of reconciliation problems encountered according to undue creation or deletion of securities in the issue maintained by the CSD that met Article 65(2) of Delegated Regulation (EU) 2017/392

Up to 20 numerical characters reported as whole numbers without decimals.

16

Mean, median, and mode for the length of time taken to remedy the error identified according to Article 65(2) of Delegated Regulation (EU) 2017/392

Mean: Up to 20 numerical characters including decimals (specifying whether the time refers to minutes/hours/days).

Median: Up to 20 numerical characters including decimals (specifying whether the time refers to minutes/hours/days).

Mode: Up to 20 numerical characters including decimals (specifying whether the time refers to minutes/hours/days).

Field

Content

Frequency

Corporate name of the CSD

name

when changes occur

Legal address of the CSD

address

when changes occur

List of services that the CSD provides in accordance with the Annex of Regulation (EU) No 909/2014

list

when changes occur

Structure and ownership of the group to which the CSD belongs

schema

when significant changes occur

Level of the capital of the CSD (where relevant, Tier 1 capital and total capital)

table

when significant changes occur

Organisation, management body and senior management of the CSD (including CVs)

description

when changes occur

Processes and arrangements for governance

description

when changes significantly impact the governance of the CSD

Details of the authorities involved in the supervision/oversight of the CSD

name/function

advance notification, where practicable, or as soon as possible

Information on any material threats to the CSD's ability to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations

description

advance notification, where practicable, or without undue delay

Sanctions and exceptional supervisory measures which may impact the activities of the CSD's branch

description

advance notification, where practicable, or without undue delay

Repo on major problems of performance or incidents and remedial actions taken which may impact the activities of the branch

description

when it occurs

Difficulties in the CSD's operations that have potentially significant spill-over effects on the branch

Description

as soon as possible

Factors which suggest a potentially high risk of contagion from the operations of the CSD to the branch

description

as soon as possible

Extension of services or withdrawal of the authorisation

description

advance notification, where practicable, or as soon as possible

Headcount statistics

table

yearly basis

Financial data, such as balance sheet, profit and loss accounts

table

yearly basis

Size of the operations (assets under custody, revenues)

table

yearly basis

Risk Management Policy

description

when changes significantly impact the governance or risk management of the CSD

Where relevant for the branch, outsourcing agreements concerning the services provided by the branch

schema

when changes significantly impact the governance or risk management of the CSD

Other information for the purpose of fulfilling its mandate

Upon the request of the competent authority of the host Member State

Corporate name of the branch

name

when changes occur

Legal address of the branch

address

when changes occur

List of services provided through the branch in accordance with the Annex of Regulation (EU) No 909/2014

list

when changes occur

Organisation, senior management of the branch

description

when changes occur

Processes and arrangements specific to the governance of the branch

description

when changes significantly impact the governance or risk management of the CSD

Details of the authorities involved in the supervision/oversight of the branch

name/function

advance notification, where practicable, or as soon as possible

Information on any material threats to the ability of the CSD's branch to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations

description

advance notification, where practicable, or as soon as possible

Sanctions and exceptional supervisory measures applied to the branch

description

advance notification, where practicable, or as soon as possible

Repo on major performance problems or incidents and remedial actions taken

description

when it occurs

Difficulties in the branch's operations that have potentially significant spill-over effects on the CSD

description

as soon as possible

Factors which suggest a potentially high risk of contagion from the operations of the branch to the operations of the CSD

description

as soon as possible

Headcount statistics of the branch

table

yearly basis

Financial data, such as balance sheet, profit and loss accounts concerning the branch

table

yearly basis

Other information for the purpose of fulfilling its mandate

Upon the request of the competent authority of the home Member State

Field

Content

Name of the competent authority requesting the on-site inspection

Name

Primary and secondary contact person of the competent authority requesting the on-site inspection

name, telephone number, email address, role

Name of the branch of the CSD where the on-site inspection will take place

name and address

Name of the CSD that has established the branch

Name

Where available, contact person of the CSD or the branch in charge of the on-site inspection

name, telephone number, email address, role

Name of the other competent authority

name

Primary and secondary contact person of the other competent authority

name, telephone number, email address, role

Scheduled date of the on-site inspection

YYYY/MM/DD — YYYY/MM/DD

Rationale for the on-site inspection

text

Underlying documents that are planned to be used in the context of the on-site inspection

list of documents

Field

Content

Corporate name of the CSD

name

Legal address of the CSD

address

List of services the CSD provides in accordance with the Annex to Regulation (EU) No 909/2014

list

Corporate name of the CSD participants as Legal Entities

list

Home country of the CSD participants (ISO 2-digit country code)

list

LEI of the issuers whose securities issues are recorded in securities accounts centrally or not centrally maintained by the CSD

list

Home country of issuers (ISO 2-digit country)

list

ISIN code of the issued securities constituted under the law of the host Member State initially recorded in the CSD of the home Member State

list

Market value or, if not available, nominal value of securities issued by issuers from the host Member State for which the CSD of the home Member State provides the core services referred to in point 1 or 2 of Section A of the Annex to of Regulation (EU) No 909/2014

figure

Market value or, if not available, nominal value of securities recorded in securities accounts not centrally maintained by the CSD of the home Member State for participants and other holders of securities accounts of the host Member State

figure

Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State in relation to transactions in securities issued by issuers from the host Member State

figure

Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State from participants as well as for other holders of securities accounts of the host Member State

figure

Other information for the purpose of fulfilling its mandate

Field

Content

Name of the competent authority of the host Member State

Name

Primary and secondary contact person of the competent authority of the host Member State

name, telephone number, email address, role

Name of the CSD that provides services in the host Member State considered to be in breach of its obligations

name and address

Contact person of the CSD that provides services in the host Member State considered to be in breach of its obligations

name, telephone number, email address, role

Name of the competent authority of the home Member State

name

Primary and secondary contact person of the competent authority of the home Member State

name, telephone number, email address, role

Where relevant, primary and secondary contact person of ESMA

name, telephone number, email address, role

Description of the grounds for believing that the CSD established in the home Member State providing services in the territory of the host Member State according to Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014

text

No

Field

Format

1

Settlement instruction type

2

Transaction type

3

Unique Instruction Reference of the participant

Unique instruction reference of the participant according to the CSD's rules

4

Trade date

ISO 8601 date in the format YYYY-MM-DD

5

Intended Settlement Date

ISO 8601 date in the format YYYY-MM-DD

6

Settlement timestamp

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

7

Timestamp of the moment of entry of the settlement instruction into the securities settlement system

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

8

Timestamp of the moment of irrevocability of the settlement instruction

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

9

Matching timestamp, where applicable

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

10

Securities account identifier

Unique securities account identifier provided by the CSD

11

Cash account identifier

Unique cash account identifier provided by the central bank or the CSD authorised in accordance with point (a) of Article 54(2) of Regulation (EU) No 909/2014 or a designated credit institution referred to in point (b) of Article 54(2) of Regulation (EU) No 909/2014

12

Settlement bank identifier

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

13

Identifier of the instructing participant

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

14

Identifier of the instructing participant's counterparty

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) (with the obligation to convert to LEI for the purposes of reporting to authorities)

15

Identifier of the instructing participant's client, where known to the CSD

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons

Where available national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level

16

Identifier of the client of the instructing participant's counterparty, where known to the CSD

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons

Where available, national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level

17

Securities identifiers

ISO 6166 ISIN 12 character alphanumerical code

18

Settlement currency

ISO 4217 Currency Code, 3 alphabetical digits

19

Settlement cash amount

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

20

Quantity or nominal amount of securities

Up to 20 numerical characters reported as whole numbers without decimals

21

Status of settlement instructions

PEND — Pending instruction (settlement at the ISD is still possible)

PENF — Failing instruction (settlement at the ISD is no longer possible)

SETT — Full settlement

PAIN — Partially settled

CANS — Instruction cancelled by the system

CANI — Instruction cancelled by the participant

Remaining part of securities to be settled (if Status of the instruction is PAIN)

Information on the remaining XXX amount of securities against YYY cash to be delivered

Matching status

MACH if matched or

NMAT if the instruction is not matched

Hold status of the instruction

Possible values:

Opt-out of partial settlement

Possible values:

Reason codes for not settled instructions (if Status of the instruction is PEND or PENF)

BLOC AccountBlocked

CDLR ConditionalDeliveryAwaitingRelease

CLAC CounterpartyInsufficientSecurities

CMON CounterpartyInsufficientMoney

CSDH CSDHold

CVAL CSDValidation

FUTU AwaitingSettlementDate

INBC IncompleteNumberCount

LACK LackOfSecurities

LATE MarketDeadlineMissed

LINK PendingLinkedInstruction

MONY InsufficientMoney

OTHR Other

PART TradeSettlesInPartials

PRCY CounterpartyInstructionOnHold

PREA YourInstructionOnHold

SBLO SecuritiesBlocked

CONF AwaitingConfirmation

CDAC ConditionalDeliveryAwaitingCancellation

22

Place of trading

Populated by the MIC (ISO Market Identification Code) (ISO 10383) if the instruction is resulting from a trade concluded on a trading venue or blank for OTC transactions

23

If applicable, place of clearing

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code of the CCP clearing the transaction, or Bank Identifier Code (BIC) of the CCP with the obligation to convert to LEI for the purposes of reporting to authorities

24

Where a buy-in process is initiated for a transaction, the following details regarding:

Buy-in initiated: Y/N

Buy-in successful: Y/N/P

Number of bought-in financial instruments:

Up to 20 numerical characters reported as whole numbers without decimals.

Value of bought-in financial instruments:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

Payment of cash compensation: Y/N

Amount of the cash compensation: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

Cancellation of the initial settlement instruction: Y/N

25

For each settlement instruction that fails to settle on ISD, the amount of the penalties referred to in Article 7(2) of Regulation (EU) No 909/2014

Amount of penalties: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

No

Field

Format

1

Identifiers of issuers for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) for legal persons with the obligation to convert to LEI for the purposes of reporting to authorities

2

Identifier of each securities issue for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014

ISO 6166 ISIN 12 character alphanumerical code

3

Identifier of each securities issue recorded in securities accounts not centrally maintained by the CSD

ISO 6166 ISIN 12 character alphanumerical code

4

Identifier of the issuer CSD or of the relevant third country entity performing similar functions to an issuer CSD for each securities issue referred to in point 3

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

5

For each securities issue referred to in points 2 and 3, the law under which the securities recorded by the CSD are constituted

ISO 3166 2 character country code

6

Country of incorporation of the issuers of each securities issue referred to in points 2 and 3

ISO 3166 2 character country code

7

Issuers' securities accounts identifiers, in the case of issuer CSDs

Unique securities account identifier provided by the issuer CSD

8

Issuers' cash accounts identifiers, in the case of issuer CSDs

International Bank Account Number (IBAN)

9

Identifiers of settlement banks used by each issuer, in the case of issuer CSDs

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

10

Participants' identifiers

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

11

Participants' country of incorporation

ISO 3166 2 character country code

12

Participants' securities accounts identifiers

Unique securities account identifier provided by the CSD

13

Participants' cash accounts identifiers

Unique cash account identifier provided by the central bank

14

Identifiers of settlement banks used by the each participant

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

15

Country of incorporation of settlement banks used by each participant

ISO 3166 2 character country code

16

Type of securities accounts:

OW = own account

IS = individually segregated account

OM = omnibus account

17

End of day balances of securities accounts for each ISIN

Files, documents

18

For each securities account and ISIN, the number of securities subject to settlement restrictions, type of restriction and, where relevant, the identity of the beneficiary of the restriction at the end of day

Files, documents

19

Records of settlement fails, as well as of the measures adopted by the CSD and its participants to improve settlement efficiency, in accordance with the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014

Files, documents

No.

Ancillary Services under Regulation (EU) No 909/2014

Types of records

Format

1

Organising a securities lending mechanism, as agent among participants of a securities settlement system

Files, documents

2

Providing collateral management services, as agent for participants in a securities settlement system

Files, documents

3

Settlement matching, instruction routing, trade confirmation, trade verification

Files, documents

4

Services related to shareholders' registers

Files, documents

5

Supporting the processing of corporate actions, including tax, general meetings and information services

Files, documents

6

New issue services, including allocation and management of ISIN codes and similar codes

Files, documents

7

Instruction routing and processing, fee collection and processing and related reporting

Files, documents

8

Establishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services

Files, documents

9

Providing general collateral management services as an agent

Files, documents

10

Providing regulatory reporting

Files, documents

11

Providing information, data and statistics to market/census bureaus or other governmental or inter-governmental entities

Files, documents

12

Providing IT services

Files, documents

13

Providing cash accounts to, and accepting deposits from, participants in a securities settlement system and holders of securities accounts, within the meaning of point 1 of Annex I of Directive 2013/36/EU of the European Parliament and of the Council (1)

Files, documents

14

Providing cash credit for reimbursement no later than the following business day, cash lending to pre-finance corporate actions and lending securities to holders of securities accounts, within the meaning of point 2 of Annex I to Directive 2013/36/EU

Files, documents

15

Payment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU

Files, documents

16

Guarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU

Files, documents

17

Treasury activities involving foreign exchange and transferable securities related to managing participants' long balances, within the meaning of points 7(b) and (e) of Annex I to Directive 2013/36/EU

Files, documents

No

Item

Format

Description

1

Organisational charts

Charts

Management body, senior management, relevant committees, operational units and all other units or divisions of the CSD

2

Identities of the shareholders or persons (natural or legal persons), that exercise direct or indirect control over the management of the CSD or that hold participations in the capital of the CSD and the amounts of those holdings

S = Shareholder/M = Member

D = Direct/I = Indirect

N = Natural person/L = Legal person

Amount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Shareholders or persons that exercise direct or indirect control over the management of the CSD or hold participations in the capital of the CSD (fields to be added for each of the relevant shareholder/person)

3

CSD participations in the capital of other legal entities

Free text

Amount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Identification of each legal entity (fields to be added for each legal entity)

4

Documents attesting the policies, procedures and processes required under the CSD's organisational requirements and in relation to the services provided by the CSD

Files, documents

5

Minutes of management body meetings and of meetings of senior management committees and other committees of the CSD

Files, documents

6

Minutes of the meetings of user committee(s)

Files, documents

7

Minutes of the meetings with consultation groups composed of participants and clients, if any

Files, documents

8

Internal and external audit reports, risk management reports, compliance and internal control reports, including responses from senior management to such reports

Files, documents

9

All outsourcing contracts

Files, documents

10

Business continuity policy and disaster recovery plan

Files, documents

11

Records reflecting all assets and liabilities and capital accounts of the CSD

Files, documents

12

Records reflecting all costs and revenues, including costs and revenues which are accounted separately in accordance with Article 34(6) of Regulation (EU) No 909/2014

Files, documents

13

Formal complaints received

Free text

For each formal complaint: information on complainant's name and address; date of receiving the complaint; names of all persons identified in the complaint; description of the nature of the complaint; content and outcome of the complaint; date when the complaint was resolved.

14

Information on any interruption or dysfunction of services

Free text

Records of any interruption or dysfunction of services, including a detailed report on the timing, effects of such interruption or dysfunction and remedial actions taken

15

Records of the results of the back and stress tests performed for the CSDs providing banking-type ancillary services

Files, documents

16

Written communications with the competent authority, ESMA and relevant authorities

Files, documents

17

Legal opinions received in accordance with the relevant provisions on organisational requirements provided in Chapter VII of Delegated Regulation (EU) 2017/392

Files, documents

18

Legal documentation regarding CSD link arrangements in accordance with Chapter XII of Delegated Regulation (EU) 2017/392

Files, documents

19

Tariffs and fees applied to the different services, including any discount or rebate

Free text

Sender: requesting party

Addressee: receiving party

Date of request for access

Reference number given by the requesting party

Corporate name of requesting party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request (name, function, phone number, email address)

Name

Function

Phone

Email

Types of services

Description of services

Name and contact details of the competent authority of the requesting party

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name

Function

Phone

Email

Sender: receiving party

Addressee: requesting party

Date of request for access

Reference number given by the requesting party

Date of receipt of the request for access

Reference number given by the receiving party

Corporate name of receiving party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the assessment of the request (name, function, phone number, email address)

Name

Function

Phone

Email

Corporate name of the requesting party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request (name, function, phone number, email address)

Name

Function

Phone

Email

Access granted

YES

Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

Sender: receiving CSD

Addressee: requesting party

Date of request for access

Reference number given by the requesting party

Date of receipt of the request for access

Reference number given by the receiving CSD

Corporate name of receiving CSD

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

Corporate name of the requesting party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request for access

Name

Function

Phone

Email

Legal risks resulting from the provision of services

Financial risks resulting from the provision of services

Operational risks resulting from the provision of services

Access would affect the risk profile of the CSD

YES

NO

Access would affect the smooth and orderly functioning of the financial markets

YES

NO

Access would cause systemic risk

YES

NO

In case of refusal of access, a summary of the reasons for such a refusal

Deadline for complaint by the requesting party to the competent authority of the receiving CSD

Access granted

NO

Name and contact details of the competent authority of the receiving CSD

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name

Function

Phone

Email

Sender: receiving party

Addressee: requesting CSD

Date of request for access

Reference number given by the requesting CSD

Date of receipt of the request for access

Reference number given by the receiving party

Corporate name of receiving party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address)

Corporate name of the requesting CSD

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

Risks resulting from the provision of services

Access would affect the smooth and orderly functioning of the financial markets

YES

NO

Access would cause systemic risk

YES

NO

A summary of the reasons for such a refusal

Deadline for complaint by the requesting CSD to the competent authority of the receiving party

Access granted

NO

Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

Sender: requesting party

Addressee: competent authority of receiving CSD

Date of request for access

Reference number given by the requesting party

Date of receipt of request for access

Reference number given by the receiving CSD

Corporate name of requesting party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

Corporate name of the receiving CSD

Country of origin

Legal address

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

Comments of the requesting party on the legal risks resulting from the provision of services

Comments of the requesting party on the financial risks resulting from the provision of services

Comments of the requesting party on the operational risks resulting from the provision of services

Comments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities.

Comments of the requesting party on the reasons of the receiving party for refusal of access

Any relevant additional information

Copy of the initial application for access submitted by the requesting party to the receiving CSD

Copy of the response of the receiving CSD to the initial request for access

Sender: requesting CSD

Addressee: competent authority of receiving party

Date of request for access

Reference number given by the requesting CSD

Date of receipt of request for access

Reference number given by the receiving party

Corporate name of requesting CSD

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

Corporate name of receiving party

Country of origin

Legal address

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

Comments of the requesting CSD on the risks resulting from the provision of services

Comments of the requesting CSD on the reasons of the receiving party for refusal of access

Any relevant additional information

Copy of the initial application for access submitted by the requesting CSD to the receiving party

Copy of the response of the receiving party to the initial request for access

Sender: competent authority of the receiving party

Addressee:

Date of the request for access

Reference number given by the requesting party

Date of receipt of the request for access

Reference number given by the receiving party

Date of receipt of refusal of access complaint

Reference number given by the competent authority of the receiving party

Name and contact details of the competent authority of the receiving party

Name

Function

Phone

Email

Where applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name

Function

Phone

Email

Corporate name of requesting party

Country of origin

Legal address

LEI

Name and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address)

Corporate name of receiving party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

Comments of the competent authority concerning:

Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the competent authority of the receiving party in support of its assessment

Copy of the initial application for access submitted by the requesting party to the receiving party

Copy of the response of the receiving party to the initial request for access

Copy of the complaint from the requesting party regarding the refusal of access

Sender:

Addressee:

Date of the request for access

Reference number given by the requesting party

Date of receipt of the request for access

Reference number given by the receiving party

Date of receipt of the complaint for refusal of access

Reference number given by the competent authority of the receiving party

Date of receipt of the assessment provided by the competent authority to the receiving party

Reference number given by the competent authority of the requesting party

Name and contact details of:

Name

Function

Phone

Email

Corporate name of requesting party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

Corporate name of receiving party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

Comments concerning:

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the authority in support of its assessment

Comments concerning:

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the authority in support of its assessment

Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I

Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II

Sender: competent authority of the receiving party

Addressees:

Date of the request for access

Reference number given by the requesting party

Date of receipt of the request for access

Reference number given by the receiving party

Date of receipt of the complaint for refusal of access

Reference number given by the competent authority of the receiving party

Date of receipt of the assessment by the competent authority of the requesting party and, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Reference number given by the competent authority of the requesting party or, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name and contact details of the competent authority of the receiving party

Name

Function

Phone

Email

Corporate name of requesting party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

Corporate name of receiving party

Country of origin

Legal address

LEI

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

Comments concerning:

Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 concerning:

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the competent authority of the receiving party in support of its assessment

When the refusal to grant access is deemed unjustified, a copy of the order requiring the receiving party to grant access to the requesting party, including the applicable deadline for compliance.