ISSN 1977-0677 |
||
Official Journal of the European Union |
L 197 |
|
English edition |
Legislation |
Volume 64 |
|
|
|
(1) Text with EEA relevance. |
EN |
Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period. The titles of all other Acts are printed in bold type and preceded by an asterisk. |
II Non-legislative acts
REGULATIONS
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/1 |
COMMISSION DELEGATED REGULATION (EU) 2021/895
of 24 February 2021
supplementing Regulation (EU) 2019/1238 of the European Parliament and of the Council with regard to product intervention
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2019/1238 of the European Parliament and of the Council of 20 June 2019 on a pan-European Personal Pension Product (PEPP) (1) and in particular Article 65(9) thereof,
Whereas:
(1) |
It is necessary that EIOPA be able to apply clear criteria and factors in determining the existence of a significant investor protection concern or a threat to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system in the Union. This Regulation further specifies those criteria and factors, including those listed in points (a), (b), (c) and (d) of the second subparagraph of Article 65(9) of Regulation (EU) 2019/1238. |
(2) |
It is essential to ensure a consistent approach within the Union whilst permitting appropriate action to be taken by the European Insurance and Occupational Pensions Authority (EIOPA) when unforeseen adverse events or developments occur that are consistent with Article 65(9) of Regulation (EU) 2019/1238. The Commission invited EIOPA to provide technical advice in the field of the pan-European personal pension product (PEPP). |
(3) |
The existence of a ‘threat’, which is one of the prerequisites for the intervention by EIOPA in the perspective of the orderly functioning and integrity of financial or commodity markets or stability of the financial system, requires a higher threshold of assessment than the existence of a ‘significant concern’, which is the prerequisite for the intervention by EIOPA so as to ensure investor protection. EIOPA should be able to intervene where at least one of the factors or criteria in this Regulation leads to such a concern or threat. |
(4) |
It is also necessary to take into account the specific situation and circumstances of the PEPP provider or PEPP distributor in relation to their potential contribution to concerns or threats of the type envisaged by Article 65(9) of Regulation (EU) 2019/1238, |
HAS ADOPTED THIS REGULATION:
Article 1
EIOPA shall apply the following criteria and factors when considering the degree of complexity of the PEPP:
(a) |
the long-term retirement nature of the PEPP; |
(b) |
the type, and degree of transparency, of the underlying assets; |
(c) |
the degree of transparency of costs and charges associated with the PEPP; |
(d) |
the use of techniques drawing PEPP savers’ attention to non-essential features in the PEPP presentation; |
(e) |
the nature and transparency of risks; |
(f) |
the use of product names or terminology or other information that imply a greater level of security or return than those which are actually possible or likely, or misleading product features; |
(g) |
whether there was insufficient, or insufficiently reliable, information about the PEPP to enable market participants to which it was targeted to form their judgment, taking into account the nature and type of the PEPP; |
(h) |
the complexity of the performance calculation, taking into account in particular whether the return is dependent on the performance of one or more underlying assets which are in turn affected by other factors; |
(i) |
the nature and scale of risks; |
(j) |
whether the PEPP is bundled with other products or services; |
(k) |
the complexity of any terms and conditions of the PEPP; |
(l) |
the existence and degree of disparity between the expected return of the PEPP and the risk of loss, taking into account the following:
|
(m) |
the pricing and associated costs of PEPP, taking into account the following:
|
(n) |
the ease and cost with which the PEPP saver is able to make use of the switching and portability services, taking into account the following:
|
Article 2
EIOPA shall apply the following criteria and factors in considering the relation of the PEPP to the type of PEPP saver to whom the PEPP is marketed or sold:
(a) |
features characterising the PEPP saver’s skills and abilities, including the level of education, knowledge of and experience with other pension products, long-term investment products or selling practices and the PEPP saver’s vulnerability; |
(b) |
features characterising the PEPP saver’s economic situation, including income, wealth and the degree of dependence on the PEPP for an adequate retirement income; |
(c) |
the PEPP saver’s core financial objectives, including pension savings and need for risk coverage, including biometric risks; |
(d) |
whether the PEPP is being sold to a PEPP saver outside the intended target market, or whether the target market has not been adequately identified; |
(e) |
the eligibility for coverage by a national guarantee scheme, where such schemes exist. |
Article 3
EIOPA shall apply the following criteria and factors in considering the degree of innovation of the PEPP or of an activity or of a practice:
(a) |
the degree of innovation related to the structure and features of the PEPP, in particular the degree of innovation of the risk-mitigation techniques or of the forms of out-payments or of the design of other PEPP benefits; |
(b) |
the extent of innovation diffusion, including whether the PEPP is innovative for particular categories of PEPP savers; |
(c) |
innovation involving leverage; |
(d) |
the past experience of the market with similar PEPPs or selling practices for PEPPs. |
Article 4
EIOPA shall apply the following criteria and factors when considering the leverage that a PEPP or practice provides:
(a) |
the particular characteristics of underlying assets of the PEPP, taking into account the leverage inherent in the PEPP; |
(b) |
the leverage due to financing; |
(c) |
the features of securities financing transactions. |
Article 5
EIOPA shall apply the following criteria and factors when considering the size or the total amount of accumulated capital of the PEPP:
(a) |
the size of potential detrimental consequences from the perspective of the individual PEPP saver and in the case of a large number of current and potential PEPP savers, the potential detrimental consequences for a cluster of PEPP savers, taking into account, in particular: |
(b) |
the size and total amount of accumulated capital of the PEPP; |
(c) |
the notional value of the PEPP; |
(d) |
the probability, scale and nature of any detriment, including the amount of loss potentially suffered; |
(e) |
the anticipated duration of the detrimental consequences; |
(f) |
the volume of the contributions; |
(g) |
the number, and the fit and proper requirements of intermediaries involved; |
(h) |
the growth of the market or sales; |
(i) |
the average amount invested by each PEPP saver in the PEPP; |
(j) |
the coverage level specified in national insurance guarantee schemes law, where such schemes exist; |
(k) |
the value of the technical provisions with respect to the PEPPs; |
(l) |
whether the underlying assets of the PEPP pose a high risk to the performance of transactions entered into by participants or PEPP savers in the relevant market; |
(m) |
whether the characteristics of the PEPP make it particularly susceptible to being used for the purpose of financial crime, in particular whether those characteristics could potentially encourage the use of the PEPP for:
|
Article 6
EIOPA shall also consider the following factors that may affect the orderly functioning and integrity of the financial markets:
(a) |
whether financial activities or financial practices of the PEPP provider or PEPP distributor in relation to the PEPP pose a particularly high risk to the resilience or smooth operation of markets; |
(b) |
whether the PEPP or the financial activities or financial practices of the PEPP provider or PEPP distributor in relation to the PEPP could lead to a significant and artificial disparity between prices of a derivative and those in the underlying market; |
(c) |
whether the PEPP or the financial activities or financial practices of the PEPP provider or PEPP distributor in relation to the PEPP pose a high risk to the market or payment systems infrastructure, including trading, clearing and settlement systems; |
(d) |
whether the PEPP or the financial activities or financial practices of the PEPP provider or PEPP distributor in relation to the PEPP may threaten PEPP savers’ confidence in the financial system; |
(e) |
whether the PEPP or the financial activities or financial practices of the PEPP provider or PEPP distributor in relation to the PEPP pose a high risk of disruption to financial institutions deemed to be important to the financial system of the Union. |
Article 7
EIOPA shall also consider the following factors that apply to the specific situation and circumstances of the PEPP provider or PEPP distributor, taking into account the following:
(a) |
its financial situation and solvency; |
(b) |
its financial activities or financial practices; |
(c) |
its business model, including its sustainability and transparency; |
(d) |
the suitability of reinsurance and guarantee arrangements regarding the PEPP; |
(e) |
the PEPP provider’s reliance on third parties for important features of the PEPP, such as coverage of biometric risks, guarantees and the portability of the PEPP; |
(f) |
the selling practices associated with the PEPP, taking into account:
|
Article 8
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 24 February 2021.
For the Commission
The President
Ursula VON DER LEYEN
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/5 |
COMMISSION DELEGATED REGULATION (EU) 2021/896
of 24 February 2021
supplementing Regulation (EU) 2019/1238 of the European Parliament and of the Council with regard to additional information for the purposes of the convergence of supervisory reporting
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2019/1238 of the European Parliament and of the Council of 20 June 2019 on a pan-European Personal Pension Product (PEPP) (1) and in particular Article 40(9), first subparagraph thereof,
Whereas:
(1) |
Pan-European Personal Pension Product (PEPP) providers are subject to several Union and national sectoral legislation within the financial services field, and the corresponding sectoral reporting requirements to their competent authorities, including the European Supervisory Authorities. It is necessary to take a standardised approach as regards the information that is necessary for the purposes of supervision in addition to the information provided under the relevant sectorial law in order to mitigate the possibility of national divergent substantial additional reporting requirements. The Commission invited the European Insurance and Occupational Pensions Authority to provide technical guidance. |
(2) |
A standardised set of information is necessary for improved comparability and greater efficiency and to avoid double reporting linked to sectoral information requirements, |
HAS ADOPTED THIS REGULATION:
Article 1
The additional information referred to in Article 40(1) to (5) of Regulation (EU) 2019/1238 shall include the following information:
(a) |
a description of the risk management system of the PEPP provider, including its governance, for managing the risks deriving from PEPP products; |
(b) |
a description of the business pursued by the PEPP provider relative to the sector in which the PEPP provider operates, including the type of investments made and their management, whether the investments are active or passive, whether guarantees are offered or not, the implementation of risk-mitigation techniques, the size in terms of contributions and asset values, and a list comprising the home Member State of the PEPP provider and any host Member States of the PEPP provider; |
(c) |
the information on which written policies PEPP providers are to have in place addressing relevant risks; |
(d) |
information on the valuation principles applied for solvency purposes, where applicable; |
(e) |
an overview of the relevant risks pertaining or linked to the provision of PEPP and how the PEPP provider intends to manage those risks, including but not limited to financial and liquidity risks, market risks, credit risks, reputational risks and risks related to environmental, social and governance factors; |
(f) |
the information with regard to the capital structure of the PEPP provider, including capital ratios and levels of leverage; |
(g) |
information on contracts held by a PEPP provider, or regarding contracts entered into with third parties, including the obligations towards PEPP savers during the decumulation phase, or for the provision of PEPP sub-accounts. |
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 24 February 2021.
For the Commission
The President
Ursula VON DER LEYEN
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/7 |
COMMISSION IMPLEMENTING REGULATION (EU) 2021/897
of 4 March 2021
laying down implementing technical standards for the application of Regulation (EU) 2019/1238 of the European Parliament and of the Council with regard to the format of supervisory reporting to the competent authorities and the cooperation and exchange of information between competent authorities and with the European Insurance and Occupational Pensions Authority
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2019/1238 of the European Parliament and of the Council of 20 June 2019 on a pan-European personal Pension Product (PEPP) (1), and in particular Article 40(9), fourth subparagraph, and Article 66(5), third subparagraph, thereof,
Whereas:
(1) |
Regulation (EU) 2019/1238 lays down uniform rules on the registration, manufacturing, distribution and supervision of personal pension products that are distributed in the Union under the designation pan-European Personal Pension Products (PEPP). |
(2) |
An appropriate level of detail of the information is crucial for the implementation of a risk-based supervisory review process and product-level supervision. Templates for reporting information pursuant to Commission Delegated Regulation (EU) 2021/896 (2) should provide for a visual representation of that information and reflect the level of detail of that information. |
(3) |
In order to promote supervisory convergence, the information to be reported to competent authorities in accordance with Article 40 of Regulation (EU) 2019/1238 should be submitted using templates. |
(4) |
The framework for cooperation and for exchange of information between competent authorities of the home and of the host Member States, with EIOPA, should facilitate the efficiency of the performance of their respective tasks and duties, and ensure consistent and efficient supervision. In particular, it is necessary to specify the methods, means, and other details of exchange of information, including the scope and treatment of information to be exchanged. |
(5) |
In order to ensure effective and efficient supervision, the exchange of information and the cooperation between competent authorities should take into account the nature, scale and complexity of the product, the availability and type of information and the most recent and relevant data. In order to ensure efficient and timely cooperation and exchange of information, it is necessary to establish standardised procedures and templates. |
(6) |
The competent authorities and EIOPA should use the standardised procedures and templates also when transmitting information on a voluntary basis when they consider the information in their possession may be of use to another competent authority or EIOPA, the European Securities and Markets Authority and the European Banking Authority. |
(7) |
In order for competent authorities to effectively monitor PEPP providers and distributors, it is necessary for them to regularly exchange information on the marketed PEPPs, such as the corresponding key information documents, information on the cross-border activities, and information on sanctions and on relevant conduct specificities. |
(8) |
In order to ensure the smooth and timely application of the notification requirements in the case of administrative sanctions and other measures, competent authorities should notify each other and EIOPA of any infringement or suspected infringement. |
(9) |
The provisions in this Regulation regarding supervisory reporting and cooperation between competent authorities and with EIOPA are closely linked. They deal with requirements on the submission and sharing of relevant information for the supervision of PEPP. To ensure coherence between those provisions, which should enter into force at the same time, it is necessary to include all the implementing technical standards required by Articles 40(9) and 66(5) of Regulation (EU) 2019/1238 in a single Implementing Regulation. |
(10) |
This Regulation is based on the draft implementing technical standards submitted to the Commission by EIOPA. |
(11) |
EIOPA has conducted open public consultations on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits with regard to the chapters on supervisory reporting to the competent authorities, and requested the advice of the Insurance and Reinsurance Stakeholder Group and Occupational Pension Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1094/2010 of the European Parliament and of the Council (3). With regard to the chapters on cooperation and exchange of information, EIOPA did not analyse the potential costs and benefits, as this would have been disproportionate in relation to the scope and impact of the draft implementing technical standards, taking into account that their addressees are only competent authorities and EIOPA and not financial market participants, |
HAS ADOPTED THIS REGULATION:
CHAPTER I
QUANTITATIVE SUPERVISORY REPORTING
Article 1
Formats of supervisory reporting
Pan-European Personal Pension Product (PEPP) providers shall submit the information referred to in Article 40(1) to (5) of Regulation (EU) 2019/1238 in accordance with the following specifications:
(a) |
data points with the data type ‘monetary’ shall be expressed in units with no decimals with the exception of templates PP.06.02 and PP.08.03 as set out in Annexes I and II which shall be expressed in units with two decimals; |
(b) |
data points with the data type ‘percentage’ shall be expressed as per unit with four decimals; |
(c) |
data points with the data type ‘integer’ shall be expressed in units with no decimals; |
(d) |
data points shall be expressed as positive values except in the following cases:
|
Article 2
Reporting currency
1. For the purposes of this Regulation ‘reporting currency’ shall be the currency used for the preparation of the PEPP provider’s financial statements, unless otherwise required by the competent authority.
2. Data points and figures with the type ‘monetary’ shall be reported in the reporting currency, which requires the conversion of any other currency into the reporting currency, unless otherwise provided in this Regulation.
3. When expressing the value of any asset or liability denominated in a currency other than the reporting currency, the value shall be converted into the reporting currency as if the conversion had taken place at the closing rate on the last day for which the appropriate rate is available in the reporting period to which the asset or liability relates.
4. When expressing the value of any income or expense, the value shall be converted into the reporting currency applying the basis of conversion used for accounting purposes.
5. The conversion into the reporting currency shall be calculated by applying the exchange rate from the same source used for the PEPP provider’s financial statements, unless otherwise required by the competent authority.
Article 3
Templates for annual quantitative reporting
PEPP providers shall submit annually the information referred to in Article 1 of Delegated Regulation (EU) 2021/896 using the following templates:
(a) |
template PP.01.01 of Annex I, specifying the content of the submission, following the instructions set out in section PP.01.01 of Annex II; |
(b) |
template PP.01.02 of Annex I, specifying basic information on the PEPP and of the reporting, following the instructions set out in section PP.01.02 of Annex II; |
(c) |
template PP.52.01 of Annex I, specifying PEPP and PEPP saver information, following the instructions set out in section PP.52.01 of Annex II; |
(d) |
template PP.06.02 of Annex I, specifying an item-by-item list of assets following the instructions set out in section PP.06.02 of Annex II and using the complementary identification code (CIC) as set out in Annex III and defined in Annex IV; |
(e) |
template PP.06.03 of Annex I, providing information on the look-through of all collective investments held by the PEPP provider following the instructions set out in section PP.06.03 of Annex II; |
(f) |
template PP.08.03 of Annex I, providing aggregate information on open positions of derivatives, following the instructions set out in section PP.08.03 of Annex II and using the CIC as set out in Annex III and defined in Annex IV. |
Article 4
Appropriateness of the information submitted
For the purposes of Article 40(6) of Regulation (EU) 2019/1238, PEPP providers shall use the relevant templates set out in Annex I to this Regulation to ensure the ongoing appropriateness of the information submitted.
CHAPTER II
GENERAL PROVISIONS ON COOPERATION AND EXCHANGE OF INFORMATION
Article 5
General principles
The European Insurance and Occupational Pensions Authority (EIOPA) shall facilitate the regular exchange of information between the competent authorities of home and host Member States and shall, if the information is relevant for EIOPA’s duties, be kept informed of any bilateral exchange of information.
Article 6
Single contact points
The competent authorities shall provide the details of the single contact points to EIOPA and shall inform EIOPA of any changes to those details. EIOPA shall maintain an up-to-date list of the single contact points and shall make the list available to the competent authorities.
Article 7
Means of exchange of information
The competent authorities and EIOPA shall transmit information and documentation relating to the cooperation and exchange of information referred to in Chapter I in a secure manner by electronic means. Competent authorities shall transmit electronic confirmation following receipt of that information and documentation.
Article 8
Currency
The competent authorities and EIOPA shall express amounts in euro in exchanges of information between them. However, the competent authorities may agree to use other currency for bilateral exchanges of information.
CHAPTER III
COOPERATION AND EXCHANGE OF INFORMATION IN THE REGISTRATION AND DEREGISTRATION PROCESS
Article 9
Registration of a PEPP
1. The competent authorities shall communicate to EIOPA the information referred to in Article 6(2)(a), (b), (d), (f) and (g) of Regulation (EU) 2019/1238 by means of the template set out in Annex V to this Regulation.
2. The competent authorities shall communicate to EIOPA any modifications to the information and documents provided in the application by compiling only those parts of the template set out in Annex V that are affected by the modifications.
3. EIOPA shall promptly inform the competent authorities if the modifications affect activities of the PEPP provider in the respective Member States, by means of the templates set out in Annex VI or Annex VIII.
4. After the product has been registered in the central public register, EIOPA shall notify the relevant competent authorities thereof by means of the template set out in Annex VI.
Article 10
Opening a new sub-account
1. In the case of opening a new sub-account, the competent authority of the home Member State shall notify the competent authority of the host Member State and EIOPA by means of the template set out in Annex IX.
2. The competent authority of the host Member State shall acknowledge the receipt of the information and documents by means of the template set out in Annex X. The competent authority of the home Member State shall communicate any modifications to the sub-account to the competent authority of the host Member State and EIOPA, by compiling only those parts of the template set out in Annex IX that are affected by the modifications.
Article 11
Information on national provisions
By means of the template set out in Annex XIV to this Regulation, the competent authorities shall provide EIOPA with a link to all the following:
(a) |
the text of the national laws, regulations and administrative provisions governing the conditions related to the accumulation phase referred to in Article 47 of Regulation (EU) 2019/1238; |
(b) |
the conditions related to the decumulation phase referred to in Article 57 of Regulation (EU) 2019/1238; |
(c) |
where applicable, information about additional procedures for applying for advantages and incentives set at national level. |
Article 12
Deregistration of a PEPP
1. The competent authority shall notify EIOPA of its decision for deregistration of a PEPP by means of the template set out in Annex VII.
2. EIOPA shall deregister the PEPP from its central public register and shall notify the relevant competent authorities accordingly by means of the template set out in Annex VIII.
CHAPTER IV
ONGOING COOPERATION AND REGULAR EXCHANGE OF INFORMATION
Article 13
Cooperation between competent authorities and with EIOPA
1. The cooperation between the competent authorities and with EIOPA shall cover at least the following areas:
(a) |
supervision; |
(b) |
inspections and investigations; |
(c) |
identification and remediation of infringements of Regulation (EU) 2019/1238; |
(d) |
information on complaints; |
(e) |
planned supervisory actions against the PEPP provider or distributor where relevant for the PEPP product; |
(f) |
planned supervisory actions to mitigate PEPP savers’ detriment including the intended exercise of product intervention powers referred to in Article 63 of Regulation (EU) 2019/1238. |
2. EIOPA shall annually provide the concerned competent authority of the host Member State with the supervisory information related to the PEPP provided in that Member State, as provided in Article 14.
3. Upon a request made pursuant to Article 16, competent authorities and EIOPA shall exchange, to the extent available to them, any information related to the PEPP, which is relevant for carrying out their duties and not provided for in Article 15.
4. Where appropriate, the competent authority of the home Member State shall promptly inform the competent authority of the host Member State about any findings from its supervisory review processes, which relate to risks arising from or affecting the cross-border sales or sub-accounts of the PEPP. The competent authority of the home Member State shall provide that information in cases where the competent authority of the host Member State has already raised concerns.
5. The competent authority of the host Member State shall promptly inform the competent authority of the home Member State if it has reasons to consider that the activities of a PEPP provider might affect the financial soundness of that PEPP provider or the protection of consumers in other Member States.
6. The competent authority of the home Member State shall cooperate with the competent authority of the host Member State to assess whether the PEPP provider has a clear understanding of the target market and the risks that the products face or may face in the host Member State, and which specific related risk management tools and internal controls are in place, having regard to the proportionality principle and the risk-based approach.
7. Cooperation shall particularly focus on the following risk areas:
(a) |
profile of the PEPP savers; |
(b) |
local PEPP partnerships and distribution partners; |
(c) |
complaints handling; |
(d) |
compliance; |
(e) |
consumer protection and any other aspects relating to the conduct of the PEPP provider and the PEPP distributor, including product oversight and governance requirements. |
Article 14
Regular exchange of information
1. EIOPA shall extract and derive the following information about each PEPP provided in a host Member State:
(a) |
number of the PEPP savers in the concerned Member State; |
(b) |
Member States for which the PEPP provider offers sub-accounts; |
(c) |
number of requests for switching and actual transfers if a specific sub-account is not offered in the concerned Member State; |
(d) |
information regarding each PEPP provided in the concerned Member State, subject to availability, as reported in:
|
EIOPA shall make available the information referred to in the first subparagraph for each PEPP to each concerned host competent authority on an annual basis.
2. Paragraph 1 shall not preclude competent authorities from exchanging more granular data on a more regular basis or upon request.
CHAPTER V
AD HOC COOPERATION AND EXCHANGE OF INFORMATION
Article 15
Submission of a request for cooperation or exchange of information
1. A competent authority shall submit the request to the requested competent authority by means of the template set out in Annex XI. The requesting competent authority may attach to the request any supporting material it deems relevant. In case the information request is relevant for EIOPA’s duties, the requesting competent authority shall forward the request also to EIOPA.
2. The requesting competent authority shall specify the urgency of the request. Where the request for cooperation involves a request for information, the requesting competent authority shall:
(a) |
specify, to the extent possible, the details of the information sought, including the reasons why that information is considered relevant for carrying out its duties under Regulation (EU) 2019/1238; |
(b) |
identify, where appropriate, any issue relating to the confidentiality of the information sought, including any special precaution for the collection of that information. |
3. Where the requesting competent authority has justified reasons for categorising its request as urgent, it may make the request by means other than those provided for in paragraph 1, if the request is subsequently transmitted by electronic means in accordance with that paragraph, unless the competent authorities involved agree otherwise.
Article 16
Reply to a request for cooperation or exchange of information
1. The requested competent authority shall provide its reply to the requesting competent authority by means of the template set out in Annex XII. If the reply is relevant for EIOPA’s duties, the requested competent authority shall forward the response also to EIOPA. In its reply, the requested competent authority shall:
(a) |
request further clarification in any form as soon as possible where it has doubts in relation to the request; |
(b) |
take reasonable steps within the scope of its powers to cooperate or provide the requested information; |
(c) |
execute the request in a way that facilitates any necessary regulatory action to be undertaken in a timely manner, taking into account the complexity of the request and the necessity to involve another competent authority; |
(d) |
provide any additional essential information on its own initiative. |
2. Where due to the complexity of the request or the amount of information requested the requested competent authority is unable to meet the time limit set in that request, it shall:
(a) |
promptly inform the requesting competent authority of the reasons that justify such delay and provide an estimated date of response; |
(b) |
provide already available information by means of the template set out in Annex XII; |
(c) |
provide any missing information as soon as it becomes available in a manner that ensures that any necessary action can be taken expediently. |
Article 17
Cooperation and exchange of information in case of infringements
1. Upon becoming aware of any infringement or suspected infringement by a PEPP provider or PEPP distributor or such infringement occurring in the exercise of the freedom to provide services or freedom of establishment, the competent authority or EIOPA, as applicable, shall promptly notify the concerned competent authority by means of the template set out in Annex XIII. The notifying competent authority may attach to the notification any supporting material it deems necessary. If the infringement is relevant for EIOPA’s duties, the notifying competent authority shall also promptly notify EIOPA by means of the template set out in Annex XIII.
2. The notifying competent authority or EIOPA, as applicable, shall provide the notified competent authority with all the information necessary to assess the matter, in particular, the following information:
(a) |
the type, nature, materiality and duration of the infringement or suspected infringement; |
(b) |
suggested actions and potential publication, if any, planned to be undertaken by the notifying competent authority; |
(c) |
the evidence upon which they have based their decision. |
The notified competent authority and EIOPA, as applicable, may request from the notifying competent authority any other information they consider necessary for their assessment and action.
3. Where the notifying competent authority considers the information should be sent urgently, it may initially notify the notified competent authority and EIOPA, as applicable, verbally, provided that the information is subsequently transmitted by electronic means in accordance with paragraph 1, unless the competent authorities involved agree otherwise.
Article 18
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 4 March 2021.
For the Commission
The President
Ursula VON DER LEYEN
(1) OJ L 198, 25.7.2019, p. 1.
(2) Commission Delegated Regulation (EU) 2021/896 of 24 February 2021 supplementing Regulation (EU) 2019/1238 of the European Parliament and of the Council with regard to additional information for the purposes of the convergence of supervisory reporting (See page 5 of this Official Journal).
(3) Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC (OJ L 331, 15.12.2010, p. 48).
ANNEX I
REPORTING TEMPLATES
PP.01.01.33
CONTENT OF THE SUBMISSION
|
|
|
|
|
C0010 |
Template Code - Template name |
|
|
PP.01.02.33 - Basic Information - General |
R0010 |
|
PP.52.01.33 – PEPP and PEPP saver information |
R0020 |
|
PP.06.02.33 - List of assets |
R0030 |
|
PP.06.03.33 - Collective investment undertakings - look - through approach |
R0040 |
|
PP.08.03.33 – Aggregate information on open derivatives |
R0050 |
|
PP.01.02.33
BASIC INFORMATION – GENERAL
|
|
|
|
|
C0010 |
PEPP name |
R0010 |
|
PEPP registration number |
R0020 |
|
Language of reporting |
R0030 |
|
Reporting submission date |
R0040 |
|
Financial year end |
R0050 |
|
Reporting reference date |
R0060 |
|
Regular/Ad hoc submission |
R0070 |
|
Currency used for reporting |
R0090 |
|
Product still commercialised? |
R0260 |
|
Type of entity |
R0270 |
|
Use of common pool of assets for all investments options |
R0280 |
|
PP.52.01.33
PEPP AND PEPP SAVER INFORMATION (1)
|
|
|||||
|
|
Costs |
||||
|
|
Administration costs |
Distribution costs |
Investment costs |
Costs of capital guarantees, if any |
|
|
|
|
Costs of advice |
|||
|
|
C0020 |
C0040 |
C0050 |
C0060 |
C0100 |
Basic PEPP |
R0010 |
|
|
|
|
|
Alternative investment options |
R0040 |
|
|
|
|
|
PEPP AND PEPP SAVER INFORMATION (2)
Country |
|
|
|
|
|
||
|
Number of PEPP savers |
Financial and saver flows |
… |
||
|
Total gross contributions received |
Total gross investment returns |
|
||
|
C0150 |
C0160 |
C0170 |
|
|
Basic PEPP |
R0010 |
|
|
|
|
Commercialised in the country |
R0020 |
|
|
|
|
In run-off |
R0030 |
|
|
|
|
Alternative investment options |
R0040 |
|
|
|
|
Commercialised in the country |
R0050 |
|
|
|
|
In run-off |
R0060 |
|
|
|
|
|
|
|
Financial and saver flows |
|
|
… |
|
|
|
|
|
|
Number of notifications in accordance with Article 20(1) received from PEPP savers that have changed their residence to another Member State |
||
|
|
Benefit payments not related to retirement |
|||||
|
|
|
|
||||
Total benefit payments |
Benefit payments related to retirement |
Benefit payments related to retirement paid through annuities |
Benefit payments related to retirement paid through lump sum |
Benefit payments related to retirement paid through drawdown payments |
|
||
C0190 |
C0200 |
C0210 |
C0220 |
C0230 |
C0240 |
C0250 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Financial and saver flows |
|
|
Assets |
Obligations |
|
Number of requests for opening a sub-account in accordance with Article 20(2) of Regulation (EU) 2019/1238 |
Number of sub-accounts opened in accordance with Article 20(2) of Regulation (EU) 2019/1238 |
Number of requests from PEPP savers for switching in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 |
Actual transfers made in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 |
Number of requests from PEPP savers for switching made in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
Actual transfers made in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
||
C0260 |
C0270 |
C0280 |
C0290 |
C0300 |
C0310 |
C0320 |
C0330 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number of complaints |
C0340 |
|
|
|
|
|
PP.06.02.33
LIST OF ASSETS
INFORMATION ON POSITIONS HELD
Asset ID Code and Type of code |
Basic PEPP/alternative investment options |
Country of custody |
Custodian |
Quantity |
… |
C0011 |
C0010 |
C0040 |
C0050 |
C0060 |
|
|
|
|
|
|
|
Par amount |
Valuation method |
Acquisition value |
Accrued interest |
Market asset value |
C0070 |
C0075 |
C0080 |
C0090 |
C0100 |
|
|
|
|
|
INFORMATION ON ASSETS
Asset ID Code and Type of code |
Item title |
Issuer name |
Issuer code and Type of issuer code |
Issuer sector |
… |
C0011 |
C0130 |
C0140 |
C0150 |
C0170 |
|
|
|
|
|
|
|
Issuer group |
Issuer Group Code and Type of issuer group code |
Issuer country |
Currency |
CIC |
… |
C0180 |
C0190 |
C0210 |
C0220 |
C0230 |
|
|
|
|
|
|
|
Alternative investment |
External rating |
Nominated ECAI |
Unit price |
Unit percentage of par amount price |
Duration |
Maturity date |
C0240 |
C0250 |
C0260 |
C0370 |
C0380 |
C0270 |
C0280 |
|
|
|
|
|
|
|
PP.06.03.33
COLLECTIVE INVESTMENT UNDERTAKINGS – LOOK-THROUGH APPROACH
Collective Investments Undertaking ID Code and Type of code |
Underlying asset category |
Country of issue |
Currency |
Total amount |
C0010 |
C0030 |
C0040 |
C0050 |
C0060 |
|
|
|
|
|
PP.08.03.33
INFORMATION ON POSITIONS HELD – NOTIONAL AMOUNT
|
|
|
||
|
|
Notional amount |
||
Basic PEPP |
Alternative investment |
PEPP assets |
||
C0010 |
C0030 |
C0050 |
||
Interest rate swaps (D1) |
R0010 |
|
|
|
Forward exchange rate agreement (F2) |
R0020 |
|
|
|
Other derivatives |
R0030 |
|
|
|
INFORMATION ON POSITIONS HELD – VALUE
|
|
|
||
|
|
Value |
||
|
|
Basic PEPP |
Alternative investment options |
PEPP assets |
|
|
C0020 |
C0040 |
C0060 |
Interest rate swaps (D1) |
R0010 |
|
|
|
Forward exchange rate agreement (F2) |
R0020 |
|
|
|
Other derivatives |
R0030 |
|
|
|
ANNEX II
INSTRUCTIONS ON REPORTING TEMPLATES
This Annex contains additional instructions in relation to the templates set out in Annex I.
Templates which shall be filled in accordance with the instructions of the different sections of this Annex are referred to as ‘this template’ throughout the text of this Annex.
PP.01.01.33 – Content of the submission
General comments:
This section relates to annual submission of information for the pan-European Personal Pension Products (PEPP).
When a special justification is needed, the explanation shall not be submitted within the reporting template but shall be part of the dialogue between the undertaking providing the PEPP and competent authorities.
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
||||||
C0010/R0010 |
PP.01.02.33 – Basic Information – General |
This template shall always be reported. The only possible option is: 1 – Reported |
||||||
C0010/R0020 |
PP.52.01.33 – PEPP and PEPP saver information |
One of the options in the following closed list shall be used:
|
||||||
C0010/R0030 |
PP.06.02.33 – List of assets |
One of the options in the following closed list shall be used:
|
||||||
C0010/R0040 |
PP.06.03.33 – Collective investment undertakings – look-through approach |
One of the options in the following closed list shall be used:
|
||||||
C0010/R0050 |
PP.08.03.33– Aggregate information on open derivatives |
One of the options in the following closed list shall be used:
|
PP.01.02 – Basic information – General
General comments:
This section relates to annual submission of basic information about the PEPP.
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
||||||||||||
C0010/R0010 |
PEPP name |
Commercial name of PEPP (undertaking-specific). |
||||||||||||
C0010/R0020 |
PEPP registration number |
Registration number for the PEPP, which is attributed by the EIOPA. |
||||||||||||
C0010/R0030 |
Language of reporting |
Identify the 2-letter code of ISO 639-1 code of the language used in the submission of information. |
||||||||||||
C0010/R0040 |
Reporting submission date |
Identify the ISO 8601 (yyyy-mm-dd) code of the date when the reporting to the supervisory authority is made. |
||||||||||||
C0010/R0050 |
Financial year end |
Identify the ISO 8601 (yyyy-mm-dd) code of the financial year end of the undertaking, e.g. 2017-12-31. |
||||||||||||
C0010/R0060 |
Reporting reference date |
Identify the ISO 8601 (yyyy-mm-dd) code of the date identifying the last day of the reporting period. |
||||||||||||
C0010/R0070 |
Regular/Ad hoc submission |
Identify if the submission of information relates to regular submission of information or ad-hoc. The following closed list of options shall be used:
|
||||||||||||
C0010/R0090 |
Currency used for reporting |
Identify the ISO 4217 alphabetic code of the currency of the monetary amounts used in each report. |
||||||||||||
C0010/R0260 |
PEPP still commercialised? |
Specify if product is still for sale or if it is just in runoff. The following closed list shall be used:
|
||||||||||||
C0010/R0270 |
Type of entity |
Specify the type of entity to which PEPP provider submitting the data for its PEPP is falling into. The following closed list shall be used:
|
||||||||||||
C0010/R0280 |
Use of common pool of assets for all investments options |
Specify if the common pool of assets for all investment options is used. The following closed list shall be used:
2 – No |
PP.52.01 – PEPP and PEPP saver
Information – General comments:
This section relates to annual submission of detailed information about a particular PEPP. In addition, some information for a particular PEPP investment option, i.e. Basic PEPP or alternative investment options, shall be further described, by country in which this product is commercialised and by sub-accounts opened. In case the alternative investment options become, individually or on aggregate, significant in relation to the savings in the Basic PEPP, the information shall be reported at a more granular level or at the level of each investment option.
All values shall be provided as if it would be reported in accordance with the prudential framework under which remit the entity falls.
Information regarding all alternative investment options shall be aggregated.
PEPP and PEPP saver information (1)
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
C0020/R0010 |
Administration costs of Basic PEPP |
Total amount of administrative costs related to the administration of the PEPP, charged to the PEPP saver during the reporting period. The amount relates to one-off and recurring costs of Basic PEPP. |
C0040/R0010 |
Distribution costs of Basic PEPP |
Total amount of costs related to the distribution of the PEPP, The amount relates to one-off and recurring costs of Basic PEPP. |
C0050/R0010 |
Costs of advice of Basic PEPP |
Total amount of costs related to the costs of advice of the PEPP, charged during the reporting period. The amount relates to one-off and recurring costs of Basic PEPP. |
C0060/R0010 |
Investment costs of Basic PEPP |
Total amount of investment costs related to the PEPP, charged during the reporting period. These costs cover the charges related to safekeeping of assets, activities stemming from performing transaction operations and other costs related to the investment activities but not attributable to two categories mentioned above. The amount relates to one-off and recurring costs of Basic PEPP. |
C0100/R0010 |
Costs of the capital guarantees, if any, of Basic PEPP |
Total amount of costs of the capital guarantees of the PEPP, charged during the reporting period. The amount relates to one-off and recurring costs of Basic PEPP. |
C0020/R0040 |
Administration costs of alternative investment options |
Total amount of administrative costs related to the administration of the PEPP, charged to the PEPP saver during the reporting period. The amount relates to one-off and recurring costs of alternative investment options. |
C0040/R0040 |
Distribution costs of alternative investment options |
Total amount of costs related to the distribution of the PEPP. The amount relates to one-off and recurring costs of alternative investment options. |
C0050/R0040 |
Costs of advice of alternative investment options |
Total amount of costs related to the costs of advice of the PEPP, charged during the reporting period. The amount relates to one-off and recurring costs of alternative investment options. |
C0060/R0040 |
Investment costs of alternative investment options |
Total amount of investment costs related to the PEPP, charged during the reporting period. These costs cover the charges related to safekeeping of assets, activities stemming from performing transaction operations and other costs related to the investment activities but not attributable to two categories mentioned above. The amount relates to one-off and recurring costs of alternative investment options. |
PEPP and PEPP saver information (2)
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
Z0010 |
Country |
ISO 3166 1 alpha 2 code of the home or host Member States of the PEPP. This item shall be filled for each country where a sub-account is available or where the PEPP is provided. |
C0150/R0020 |
Number of PEPP savers in Basic PEPP commercialised in the country |
Number of PEPP savers in Basic PEPP commercialised in the country |
C0160/R0020 |
Total gross contributions received for Basic PEPP commercialised in the country |
Total amount of contributions over the reporting period paid by PEPP savers of Basic PEPP commercialised in the country. |
C0170/R0020 |
Total gross investment returns for Basic PEPP commercialised in the country |
Total amount of gross investment returns allocated to PEPP savers. The value is gross of investment costs of Basic PEPP commercialised in the country. |
C0190/R0020 |
Total benefit payments for Basic PEPP commercialised in the country |
Total amount of benefit payments over the reporting period to PEPP savers for the Basic PEPP commercialised in the country. This amount includes all benefits paid out, i.e. including biometric risks and other possible options included in particular product. |
C0200/R0020 |
Benefit payments related to retirement for Basic PEPP commercialised in the country |
Amount of benefit payment over the reporting period to PEPP savers of Basic PEPP commercialised in the country. This amount includes only benefits related to retirement. |
C0210/R0020 |
Benefit payments related to retirement paid through annuities for Basic PEPP commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP commercialised in the country. This amount includes only benefits related to retirement paid through annuities. |
C0220/R0020 |
Benefit payments related to retirement paid through lump sum for Basic PEPP commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP commercialised in the country. This amount includes only benefits related to retirement paid through a lump sum. |
C0230/R0020 |
Benefit payments related to retirement paid through drawdown payments for Basic PEPP commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP commercialised in the country. This amount includes only benefits related to retirement paid through drawdown payments. |
C0240/R0020 |
Benefit payments not related to retirement for Basic PEPP commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP commercialised in the country. This amount includes only benefits related to non-retirement covers, i.e. biometric risks and other possible options. |
C0250/R0020 |
Number of notifications in accordance with Article 20(1) of Regulation (EU) 2019/1238 received from PEPP savers that have changed their residence to another Member State for Basic PEPP commercialised in the country |
Number of notifications received from PEPP savers of Basic PEPP commercialised in the country related to PEPP saver’s change of residence to another Member State. |
C0260/R0020 |
Number of requests for opening a sub-account in accordance with Article 20(2) of Regulation (EU) 2019/1238 for Basic PEPP commercialised in the country |
Number of requests to open a new sub-account of the Basic PEPP commercialised in the country, received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0270/R0020 |
Number of sub-accounts opened in accordance with Article 20(2) of Regulation (EU) 2019/1238 for Basic PEPP commercialised in the country |
Number of actual sub-accounts opened of the Basic PEPP commercialised in the country related to requests received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0280/R0020 |
Number of requests from PEPP savers for switching in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for Basic PEPP commercialised in the country |
Number of requests to switch to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of Basic PEPP commercialised in the country changing the residence to another Member State. |
C0290/R0020 |
Actual transfers made in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for Basic PEPP commercialised in the country |
Amount of actual transfers to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of Basic PEPP commercialised in the country changing the residence to another Member State. |
C0300/R0020 |
Number of requests from PEPP savers for switching in accordance with Article 52(3) of Regulation (EU) 2019/1238 for Basic PEPP commercialised in the country |
Number of requests to switch to another PEPP provider upon request from PEPP savers of Basic PEPP commercialised in the country provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0310/R0020 |
Actual transfers made in accordance with Article 52(3) of Regulation (EU) 2019/1238 for Basic PEPP commercialised in the country |
Amount of actual transfers to another PEPP provider upon request from PEPP savers of Basic PEPP commercialised in the country provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0320/R0020 |
Assets of Basic PEPP commercialised in the country |
Total amount of assets related to Basic PEPP commercialised in the country. |
C0330/R0020 |
Obligations of Basic PEPP commercialised in the country |
Total amount of technical provisions and other liabilities, where relevant, related to Basic PEPP commercialised in the country. |
C0340/R0020 |
Number of complaints for Basic PEPP commercialised in the country |
The total number of complaints received for the Basic PEPP commercialised in the country over the reporting period. |
C0150/R0030 |
Number of PEPP savers in Basic PEPP in run-off |
Number of PEPP savers in Basic PEPP in run-off |
C0160/R0030 |
Total gross contributions received for Basic PEPP in run-off |
Total amount of contributions over the reporting period paid by PEPP savers of Basic PEPP in run-off. |
C0170/R0030 |
Total gross investment returns for Basic PEPP in run-off |
Total amount of gross investment returns allocated to PEPP savers. The value is gross of investment costs of Basic PEPP in run-off. |
C0190/R0030 |
Total benefit payments for Basic PEPP in run-off |
Total amount of benefit payments over the reporting period to PEPP savers for the Basic PEPP in run-off. This amount includes all benefits paid out, i.e. including biometric risks and other possible options included in particular product. |
C0200/R0030 |
Benefit payments related to retirement for Basic PEPP in run-off |
Amount of benefit payment over the reporting period to PEPP savers of Basic PEPP in run-off. This amount includes only benefits related to retirement. |
C0210/R0030 |
Benefit payments related to retirement paid through annuities for Basic PEPP in run-off |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP in run-off. This amount includes only benefits related to retirement paid through annuities. |
C0220/R0030 |
Benefit payments related to retirement paid through lump sum for Basic PEPP in run-off |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP in run-off. This amount includes only benefits related to retirement paid through a lump sum. |
C0230/R0030 |
Benefit payments related to retirement paid through drawdown payments for Basic PEPP in run-off |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP in run-off. This amount includes only benefits related to retirement paid through drawdown payments. |
C0240/R0030 |
Benefit payments not related to retirement for Basic PEPP in run-off |
Amount of benefit payments over the reporting period to PEPP savers of Basic PEPP in run-off. This amount includes only benefits related to non-retirement covers, i.e. biometric risks and other possible options. |
C0250/R0030 |
Number of notifications in accordance with Article 20(1) of Regulation (EU) 2019/1238 received from PEPP savers that have changed their residence to another Member State for Basic PEPP in run-off |
Number of notifications received from PEPP savers of Basic PEPP in run-off related to PEPP saver’s change of residence to another Member State. |
C0260/R0030 |
Number of requests for opening a sub-account in accordance with Article 20(2) of Regulation (EU) 2019/1238 for Basic PEPP in run-off |
Number of requests to open a new sub-account of the Basic PEPP in run-off, received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0270/R0030 |
Number of sub-accounts opened in accordance with Article 20(2) of Regulation (EU) 2019/1238 for Basic PEPP in run-off |
Number of actual sub-accounts opened of the Basic PEPP in run-off related to requests received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0280/R0030 |
Number of requests from PEPP savers for switching in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for Basic PEPP in run-off |
Number of requests to switch to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of Basic PEPP in run-off changing the residence to another Member State. |
C0290/R0030 |
Actual transfers made in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for Basic PEPP in run-off |
Amount of actual transfers to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of Basic PEPP in run-off changing the residence to another Member State. |
C0300/R0030 |
Number of requests from PEPP savers for switching in accordance with Article 52(3) of Regulation (EU) 2019/1238 for Basic PEPP in run-off |
Number of requests to switch to another PEPP provider upon request from PEPP savers of Basic PEPP in run-off provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0310/R0030 |
Actual transfers made in accordance with Article 52(3) f of Regulation (EU) 2019/1238 or Basic PEPP in run-off |
Amount of actual transfers to another PEPP provider upon request from PEPP savers of Basic PEPP in run-off provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0320/R0030 |
Assets of Basic PEPP in run-off |
Total amount of assets related to Basic PEPP in run-off. |
C0330/R0030 |
Obligations of Basic PEPP in run-off |
Total amount of technical provisions and other liabilities, where relevant, related to Basic PEPP in run-off. |
C0340/R0030 |
Number of complaints for Basic PEPP in run-off |
The total number of complaints received for the Basic PEPP in run-off over the reporting period. |
C0150/R0050 |
Number of PEPP savers in alternative investment options commercialised in the country |
Number of PEPP savers in alternative investment options commercialised in the country |
C0160/R0050 |
Total gross contributions received for alternative investment options commercialised in the country |
Total amount of contributions over the reporting period paid by PEPP savers of alternative investment options commercialised in the country. |
C0170/R0050 |
Total gross investment returns for alternative investment options commercialised in the country |
Total amount of gross investment returns allocated to PEPP savers. The value is gross of investment costs of alternative investment options commercialised in the country. |
C0190/R0050 |
Total benefit payments for alternative investment options commercialised in the country |
Total amount of benefit payments over the reporting period to PEPP savers for the alternative investment options commercialised in the country. This amount includes all benefits paid out, i.e. including biometric risks and other possible options included in particular product. |
C0200/R0050 |
Benefit payments related to retirement for alternative investment options commercialised in the country |
Amount of benefit payment over the reporting period to PEPP savers of alternative investment options commercialised in the country. This amount includes only benefits related to retirement. |
C0210/R0050 |
Benefit payments related to retirement paid through annuities for alternative investment options commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options commercialised in the country. This amount includes only benefits related to retirement paid through annuities. |
C0220/R0050 |
Benefit payments related to retirement paid through lump sum for alternative investment options commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options commercialised in the country. This amount includes only benefits related to retirement paid through a lump sum. |
C0230/R0050 |
Benefit payments related to retirement paid through drawdown payments for alternative investment options commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options commercialised in the country. This amount includes only benefits related to retirement paid through drawdown payments. |
C0240/R0050 |
Benefit payments not related to retirement for alternative investment options commercialised in the country |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options commercialised in the country. This amount includes only benefits related to non-retirement covers, i.e. biometric risks and other possible options. |
C0240/R0050 |
Number of notifications in accordance with Article 20(1) of Regulation (EU) 2019/1238 received from PEPP savers that have changed their residence to another Member State for alternative investment options commercialised in the country |
Number of notifications received from PEPP savers of alternative investment options commercialised in the country related to PEPP saver’s change of residence to another Member State. |
C0260/R0050 |
Number of requests for opening a sub-account in accordance with Article 20(2) of Regulation (EU) 2019/1238 for alternative investment options commercialised in the country |
Number of requests to open a new sub-account of the alternative investment options commercialised in the country, received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0270/R0050 |
Number of sub-accounts opened in accordance with Article 20(2) of Regulation (EU) 2019/1238 for alternative investment options commercialised in the country |
Number of actual sub-accounts opened of the alternative investment options commercialised in the country related to requests received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0280/R0050 |
Number of requests from PEPP savers for switching in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for alternative investment options commercialised in the country |
Number of requests to switch to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of alternative investment options commercialised in the country changing the residence to another Member State. |
C0290/R0050 |
Actual transfers made in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for alternative investment options commercialised in the country |
Amount of actual transfers to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of alternative investment options commercialised in the country changing the residence to another Member State. |
C0300/R0050 |
Number of requests from PEPP savers for switching in accordance with Article 52(3) of Regulation (EU) 2019/1238 for alternative investment options commercialised in the country |
Number of requests to switch to another PEPP provider upon request from PEPP savers of alternative investment options commercialised in the country provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0310/R0050 |
Actual transfers made in accordance with Article 52(3) of Regulation (EU) 2019/1238 for alternative investment options commercialised in the country |
Amount of actual transfers to another PEPP provider upon request from PEPP savers of alternative investment options commercialised in the country provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0320/R0050 |
Assets of alternative investment options commercialised in the country |
Total amount of assets related to alternative investment options commercialised in the country. |
C0330/R0050 |
Obligations of alternative investment options commercialised in the country |
Total amount of technical provisions and other liabilities, where relevant, related to alternative investment options commercialised in the country. |
C0340/R0050 |
Number of complaints for alternative investment options commercialised in the country |
The total number of complaints received for the alternative investment options commercialised in the country over the reporting period. |
C0149/R0060 |
Number of alternative investment options offered for PEPP product in run-off |
Number of alternative investment options offered for PEPP product in run-off |
C0150/R0060 |
Number of PEPP savers in alternative investment options in run-off |
Number of PEPP savers in alternative investment options in run-off |
C0160/R0060 |
Total gross contributions received for alternative investment options in run-off |
Total amount of contributions over the reporting period paid by PEPP savers of alternative investment options in run-off. |
C0170/R0060 |
Total gross investment returns for alternative investment options in run-off |
Total amount of gross investment returns allocated to PEPP savers. The value is gross of investment costs of alternative investment options in run-off. |
C0190/R0060 |
Total benefit payments for alternative investment options in run-off |
Total amount of benefit payments over the reporting period to PEPP savers for the alternative investment options in run-off. This amount includes all benefits paid out, i.e. including biometric risks and other possible options included in particular product. |
C0200/R0060 |
Benefit payments related to retirement for alternative investment options in run-off |
Amount of benefit payment over the reporting period to PEPP savers of alternative investment options in run-off. This amount includes only benefits related to retirement. |
C0210/R0060 |
Benefit payments related to retirement paid through annuities for alternative investment options in run-off |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options in run-off. This amount includes only benefits related to retirement paid through annuities. |
C0220/R0060 |
Benefit payments related to retirement paid through lump sum for alternative investment options in run-off |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options in run-off. This amount includes only benefits related to retirement paid through a lump sum. |
C0230/R0060 |
Benefit payments related to retirement paid through drawdown payments for alternative investment options in run-off |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options in run-off. This amount includes only benefits related to retirement paid through drawdown payments. |
C0240/R0060 |
Benefit payments not related to retirement for alternative investment options in run-off |
Amount of benefit payments over the reporting period to PEPP savers of alternative investment options in run-off. This amount includes only benefits related to non-retirement covers, i.e. biometric risks and other possible options. |
C0250/R0060 |
Number of notifications in accordance with Article 20(1) of Regulation (EU) 2019/1238 received from PEPP savers that have changed their residence to another Member State for alternative investment options in run-off |
Number of notifications received from PEPP savers of alternative investment options in run-off related to PEPP saver’s change of residence to another Member State. |
C0260/R0060 |
Number of requests for opening a sub-account in accordance with Article 20(2) of Regulation (EU) 2019/1238 for alternative investment options in run-off |
Number of requests to open a new sub-account of the alternative investment options in run-off, received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0270/R0060 |
Number of sub-accounts opened in accordance with Article 20(2) of Regulation (EU) 2019/1238 for alternative investment options in run-off |
Number of actual sub-accounts opened of the alternative investment options in run-off related to requests received from PEPP savers which informed the PEPP provider about their intention to change the residence to another Member State. |
C0280/R0060 |
Number of requests from PEPP savers for switching in accordance with Article 20(5)(a) of Regulation (EU) 2019/1238 for alternative investment options in run-off |
Number of requests to switch to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of alternative investment options in run-off changing the residence to another Member State. |
C0290/R0060 |
Actual transfers made in accordance with Article 20(5) of Regulation (EU) 2019/1238 for alternative investment options in run-off |
Amount of actual transfers to another PEPP provider, due to the current PEPP provider not being able to create a sub-account related to PEPP savers of alternative investment options in run-off changing the residence to another Member State. |
C0300/R0060 |
Number of requests from PEPP savers for switching in accordance with Article 52(3) of Regulation (EU) 2019/1238 for alternative investment options in run-off |
Number of requests to switch to another PEPP provider upon request from PEPP savers of alternative investment options in run-off provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0310/R0060 |
Actual transfers made in accordance with Article 52(3) of Regulation (EU) 2019/1238 for alternative investment options in run-off |
Amount of actual transfers to another PEPP provider upon request from PEPP savers of alternative investment options in run-off provided in accordance with Article 52(3) of Regulation (EU) 2019/1238 |
C0320/R0060 |
Assets of alternative investment options in run-off |
Total amount of assets related to alternative investment options in run-off. |
C0330/R0060 |
Obligations of alternative investment options in run-off |
Total amount of technical provisions and other liabilities, where relevant, related to alternative investment options in run-off. |
C0340/R0060 |
Number of complaints for alternative investment options in run-off |
The total number of complaints received for the alternative investment options in run-off over the reporting period. |
PP.06.02 – List of assets – General comments:
This section relates to annual submission of information for PEPPs with further division by Basic PEPP and alternative investment options. In case the alternative investment options become, individually or on aggregate, significant in relation to the savings in the Basic PEPP, the information shall be reported at a more granular level or at the level of each investment option.
The asset categories referred to in this template are the ones defined in Annex IV – Definitions of the CIC Table and references to Complementary Identification Code (‘CIC’) refer to Annex III – CIC table.
This template contains an item-by-item list of assets related to the PEPP (i.e. not on a look-through basis), classifiable as asset categories 0 to 9, with the following exceptions:
(a) |
cash shall be reported in one row per currency, for each combination of items C0060, C0070, C0080 and C0090; |
(b) |
transferable deposits (cash equivalents) and other deposits with maturity of less than one year shall be reported in one row per pair of bank and currency, for each combination of items C0060, C0070, C0080, C0090 and C0290; |
(c) |
deposits to cedants shall be reported in one single line, for each combination of items C0060, C0070, C0080 and C0090. |
This template comprises two tables: Information on positions held and Information on assets.
On the table Information on positions held, each asset shall be reported separately in as many lines as needed in order to properly fill in all non-monetary variables with the exception of item ‘Quantity’, requested in that table. If for the same asset two values can be attributed to one variable, then this asset needs to be reported in more than one line.
On the table Information on assets, each asset shall be reported separately, with one row for each asset, filling in all applicable variables requested in that table. The assets shall be earmarked by PEPP investment option (Basic PEPP and alternative investment options), unless all PEPP investment options share in the same pool of assets, where the assets shall be earmarked as ‘PEPP common assets’. In case the alternative investment options become, individually or on aggregate, significant in relation to the savings in the Basic PEPP, the information shall be reported at a more granular level or at the level of each investment option.
All values shall be reported in accordance with the prudential framework under which remit the entity falls. If a PEPP provider is exempted from reporting an External Rating and External Credit Rating Institution[s] (‘ECAI’) in its sectoral legislation the information regarding field (C0250) and field (C0260) may be limited (not reported). Otherwise, this information shall be reported.
Information on positions held
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
||||||||||||||
C0011 |
Asset ID Code and Type of code |
This information combines data about Asset ID code (columns C0010 and C0110 from BoS decision) and Asset ID Code Type (columns C0020 and C0120 from BoS decision) Asset ID code using:
Only if ISIN code is not available:
Type of ID Code used for the ‘Asset ID Code’ item:
|
||||||||||||||
|
|
99 – Code attributed When the same Asset ID code needs to be reported for one asset that is issued in two or more different currencies, it is necessary to specify the Asset ID code and the ISO 4217 alphabetic code of the currency, as in the following example: ‘code+EUR’. In this case, Asset ID Code Type shall refer to option 99 and the option of the original Asset ID code, as in the following example for which the code reported was ISIN code+currency: ‘99/1’. |
||||||||||||||
C0010 |
Basic PEPP/alternative investment options |
Type of PEPP investment option. The differentiation used in this field, is between the basic PEPP and an alternative investment options. Option 3, PEPP assets shall be used in case all PEPP investment options share in the same pool of assets. The following closed list shall be used:
|
||||||||||||||
C0040 |
Country of custody |
ISO 3166-1 alpha-2 code of the country where assets are held in custody. For identifying international custodians, such as Euroclear, the country of custody will be the one corresponding to the legal establishment where the custody service was contractually defined. In case the same type of asset is held in custody in more than one country, each asset shall be reported separately in as many lines as needed in order to properly identify all countries of custody. Regarding property, the issuer country is assessed by the address of the property. |
||||||||||||||
C0050 |
Custodian |
LEI code or, if LEI code is not available, name of the financial institution that is the custodian. In case the same type of asset is held in custody in more than one custodian, each asset shall be reported separately in as many lines as needed in order to properly identify all custodians. |
||||||||||||||
C0060 |
Quantity |
Number of assets, for relevant assets. This item shall not be reported if item Par amount (C0070) is reported. |
||||||||||||||
C0070 |
Par amount |
Principle amount outstanding measured at par amount, for all assets where this item is relevant, and at nominal amount for cash and cash equivalents. This item shall not be reported if item Quantity (C0060) is reported. |
||||||||||||||
C0075 |
Valuation method |
Financial instrument is valued by:
|
||||||||||||||
C0080 |
Acquisition value |
Total acquisition value for assets held, clean value without accrued interest. |
||||||||||||||
C0090 |
Accrued interest |
Quantify the amount of accrued interest after the last coupon date for interest bearing securities. |
||||||||||||||
C0100 |
Market Asset Value |
Market value of the assets. |
Information on assets
TABLE ORDINATE |
ITEM |
INSTRUCTION |
||||||||||||||||||||||||
C0011 |
Asset ID Code and Type of code |
This information combines data about Asset ID code (columns C0010 and C0110 from BoS decision) and Asset ID Code Type (columns C0020 and C0120 from BoS decision) Asset ID code using:
Only if ISIN code is not available:
Type of ID Code used for the ‘Asset ID Code’ item:
99 – Code attributed When the same Asset ID code needs to be reported for one asset that is issued in two or more different currencies, it is necessary to specify the Asset ID code and the ISO 4217 alphabetic code of the currency, as in the following example: ‘code+EUR’. In this case Asset ID Code Type shall refer to option 99 and the option of the original Asset ID code, as in |
||||||||||||||||||||||||
|
|
the following example for which the code reported was ISIN code+currency: ‘99/1’. |
||||||||||||||||||||||||
C0130 |
Item Title |
Name of the asset (or the address in case of property). |
||||||||||||||||||||||||
|
Issuer Name |
Name of the issuer, defined as the entity that issues assets to investors. When available, this item corresponds to the entity name in the LEI database. When this is not available corresponds to the legal name. Regarding Investment fund/shares in investment funds, the issuer name is the name of the fund manager. |
||||||||||||||||||||||||
C0150 |
Issuer code and Type of issuer code |
This information combines data about Issuer Code (column C0150 from BoS decision) and Type of issuer code (column C0160 from BoS decision). Issuer code is using the LEI. If LEI code is not available this item shall not be reported. Regarding Investment fund/shares in investment funds, the issuer code is the code of the fund manager. Identification of the type of code used for the ‘Issuer Code’ item. One of the options in the following closed list shall be used: 1 – LEI 9 – None This item is not applicable to CIC category 8 – Mortgages and Loans, when relating to mortgage and loans to natural persons. This item is not applicable for CIC 71, CIC 75 and CIC category 9 – Property. |
||||||||||||||||||||||||
C0170 |
Issuer Sector |
Economic sector of issuer based on the latest version of NACE code (as published in Annex I to Regulation (EC) No 1893/2006 of the European Parliament and of the Council (7)). The letter reference of the NACE code identifying the Section shall be used as a minimum for identifying sectors (e.g. ‘A’ or ‘A0111’ would be acceptable) except for the NACE relating to Financial and Insurance activities, for which the letter identifying the Section followed by the 4 digits code for the class shall be used (e.g. ‘K6411’). Regarding investment funds, the issuer sector is the sector of the fund manager. |
||||||||||||||||||||||||
C0180 |
Issuer Group |
Name of issuer’s ultimate parent entity. For investment funds the group relation relates to the fund manager. When available, this item corresponds to the entity name in the LEI database. When this is not available corresponds to the legal name. |
||||||||||||||||||||||||
C0190 |
Issuer Group Code and Type of issuer group code |
This information combines data about Issuer Group Code (column C0190 from BoS decision) and Type of issuer group code (column C0200 from BoS decision). Issuer group’s identification using the Legal Entity Identifier (LEI). If LEI code is not available, this item shall not be reported. Regarding investment funds, the group relation relates to the fund manager. Code used for the ‘Issuer Group Code’ item:
|
||||||||||||||||||||||||
|
|
9 – None |
||||||||||||||||||||||||
C0210 |
Issuer Country |
ISO 3166-1 alpha-2 code of the country of localisation of the issuer. The localisation of the issuer is assessed by the address of the entity issuing the asset. Regarding investment funds, the group relation relates to the fund manager.
|
||||||||||||||||||||||||
C0220 |
Currency |
ISO 4217 alphabetic code of the currency of the issue. |
||||||||||||||||||||||||
C0230 |
CIC |
Complementary Identification Code used to classify assets. |
||||||||||||||||||||||||
C0240 |
Alternative investment |
A financial instrument, as listed in Section C of Annex I of Directive 2014/65/EU, issued by a legal person authorised under Directive 2011/61/EU (8) to manage alternative investment funds:
|
||||||||||||||||||||||||
C0250 |
External rating |
Rating of the asset at the reporting reference date issued by the nominated credit assessment institution (ECAI). |
||||||||||||||||||||||||
C0270 |
Duration |
Asset duration, defined as the ‘residual modified duration’ (modified duration calculated based on the remaining time for maturity of the security, counted from the reporting reference date). For assets without fixed maturity the first call date shall be used. The duration shall be calculated based on economic value. |
||||||||||||||||||||||||
C0280 |
Maturity date |
ISO 8601 (yyyy-mm-dd) code of the maturity date. For perpetual securities use ‘9999 - 12-31’ |
||||||||||||||||||||||||
C0370 |
Unit price |
Market price per unit. |
||||||||||||||||||||||||
C0380 |
Unit percentage of par amount price |
Percentage of the aggregated nominal amount. |
PP.06.03 – Collective investment undertakings – look-through
approach General comments:
This section relates to annual submission of information for PEPPs with further division by Basic PEPP and alternative investment options. In case the alternative investment options become, individually or on aggregate, significant in relation to the savings in the Basic PEPP, the information shall be reported at a more granular level or at the level of each investment option.
This template contains information on the look through of collective investment undertakings or investments packaged as funds, including when they are participations, by underlying asset category, country of issue and currency. Considering proportionality and specific instructions of the template, the look through shall be performed until the asset categories, countries and currencies are identified. In case of funds of funds, the look-through shall follow the same approach.
The template shall include information corresponding to 100 % of the value invested in collective investment undertakings. However, for the identification of countries the look-through shall be implemented in order to identify the exposures of 80 % of the total value of the funds minus the amounts relating to CIC 8 and CIC 9, and for the identification of currencies the look-through shall be implemented in order to identify the exposures of 80 % of the total value of the funds. PEPP providers shall ensure that the 20 % not identified by country is diversified across geographical areas, for example that not more than 5 % is in one single country. The look-through shall be applied by PEPP providers starting from the major, considering the amount invested, to the lowest single fund and the approach shall be kept consistent over time.
Items shall be reported with positive values unless otherwise stated in the respective instructions.
All values shall be reported in accordance with the prudential framework under which remit the entity falls.
The asset categories referred to in this template are the ones defined in Annex IV – Definitions of the CIC Table and references to CIC codes refer to Annex III – CIC table.
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
||||||||||||||||||||||||||||||||||||
C0010 |
Collective investments undertaking ID Code |
Asset ID code using the following priority:
|
||||||||||||||||||||||||||||||||||||
C0020 |
Collective investments undertaking ID Code type |
Type of ID Code used for the ‘Asset ID Code’ item. One of the options in the following closed list shall be used:
99 – Code attributed by the undertaking |
||||||||||||||||||||||||||||||||||||
C0030 |
Underlying asset category |
Identify the assets categories, receivables and derivatives within the collective investment undertaking. One of the options from the following closed list shall be used:
Category ‘4 – Collective investment undertakings’ shall be used only for non-material residual values for both ‘funds of funds’ and any other fund. |
||||||||||||||||||||||||||||||||||||
C0040 |
Country of issue |
Breakdown of each asset category identified in C0030 by issuer country. Identify the country of localisation of the issuer. The localisation of the issuer is assessed by the address of the entity issuing the asset. |
||||||||||||||||||||||||||||||||||||
|
|
One of the options shall be used:
This item is not applicable to Categories 8 and 9 as reported in C0030. |
||||||||||||||||||||||||||||||||||||
C0050 |
Currency |
Identify whether the currency of the asset category is the reporting currency or a foreign currency. All other currencies than the reporting currency are referred to as foreign currencies. One of the options in the following closed list shall be used:
|
||||||||||||||||||||||||||||||||||||
C0060 |
Total amount |
Total amount invested by asset category, country and currency through collective investment undertakings. For liabilities a positive amount shall be reported, unless the item is a derivative liability. For derivatives, the total amount can be positive (if an asset) or negative (if a liability). |
PP.08.03. Aggregate information on open derivatives
General comments:
This section relates to annual submission of information for PEPP with further division by Basic PEPP and alternative investment options. In case the alternative investment options become, individually or on aggregate, significant in relation to the savings in the Basic PEPP, the information shall be reported at a more granular level or at the level of each investment option.
The derivatives categories referred to in this template are the ones defined in Annex IV – Definitions of the CIC Table and references to CIC codes refer to Annex III – CIC table.
Derivatives are considered assets if their value is positive or zero. They are considered liabilities if their value is negative. Both derivatives considered as assets or considered as liabilities shall be included.
Information shall include all derivatives contracts that existed during the reporting period and were not closed prior to the reporting reference date.
If there are frequent trades on the same derivative, resulting in multiple open positions, the derivative can be reported on an aggregated or net basis, as long as all the relevant characteristics are common and following the specific instruction for each relevant item.
Items shall be reported with positive values unless otherwise stated in the respective instructions.
A derivative is a financial instrument or other contract having all of the following characteristics:
(a) |
its value changes in response to the change in a specified interest rate, financial instrument price, commodity price, foreign exchange rate, index of prices or rates, credit rating or credit index, or other variable, provided in the case of a non-financial variable that the variable is not specific to a party to the contract (sometimes called the ‘underlying’); |
(b) |
it requires no initial net investment or an initial net investment that is smaller than would be required for other types of contracts that would be expected to have a similar response to changes in market factors; |
(c) |
it is settled at a future date. |
All values shall be reported in accordance with the prudential framework under which remit the entity falls.
Information on positions held
TABLE ORDINATE |
ITEM |
INSTRUCTIONS |
C0010/R0010 |
Interest rate swaps (D1) for notional amount of Basic PEPP |
The amount covered or exposed to the Interest rate swap (D1) for the Basic PEPP. For swaps, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0020/R0010 |
Interest rate swaps (D1) for Market value of Basic PEPP |
Monetary value of the Interest rate swap (D1) as of the reporting date for the Basic PEPP. It can be positive, negative or zero. |
C0030/R0010 |
Interest rate swaps (D1) for notional amount of alternative investment options |
The amount covered or exposed to the Interest rate swap (D1) for any alternative investment option. For swaps, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0040/R0010 |
Interest rate swaps (D1) for market value of alternative investment options |
Monetary value of the Interest rate swap (D1) as of the reporting date for the alternative investment option. It can be positive, negative or zero. |
C0050/R0010 |
Interest rate swaps (D1) for notional amount of PEPP common assets |
The amount covered or exposed to the Interest rate swap (D1) for all PEPP investment options that share the same pool of assets. For swaps, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0060/R0010 |
Interest rate swaps (D1) for market value of PEPP common assets |
Monetary value of the Interest rate swap (D1) as of the reporting date for all PEPP investment options that share the same pool of assets. It can be positive, negative or zero. |
C0010/R0020 |
Forward exchange rate agreement (F2) for notional amount of Basic PEPP |
The amount covered or exposed to the Forward exchange rate agreement (F2) for the Basic PEPP. For forwards, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0020/R0020 |
Forward exchange rate agreement (F2) for Market value of Basic PEPP |
Monetary value of the Forward exchange rate agreement (F2) as of the reporting date for the Basic PEPP. It can be positive, negative or zero. |
C0030/R0020 |
Forward exchange rate agreement (F2) for notional amount of alternative investment options |
The amount covered or exposed to the Forward exchange rate agreement (F2) for any alternative investment option. For forwards, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0040/R0020 |
Forward exchange rate agreement (F2) for market value of alternative investment options |
Monetary value of the Forward exchange rate agreement (F2) as of the reporting date for the alternative investment option. It can be positive, negative or zero. |
C0050/R0020 |
Forward exchange rate agreement (F2) for notional amount of PEPP common assets |
The amount covered or exposed to the Forward exchange rate agreement (F2) for all PEPP investment options that share the same pool of assets. For forwards, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0060/R0020 |
Forward exchange rate agreement (F2) for market value of PEPP common assets |
Monetary value of the Forward exchange rate agreement (F2) as of the reporting date for all PEPP investment options that share the same pool of assets. It can be positive, negative or zero. |
C0010/R0030 |
Other derivatives for notional amount of Basic PEPP |
The amount covered or exposed to derivatives other than Interest rate swaps (D1) Forward exchange rate agreements (F2) and for the Basic PEPP. For futures and options corresponds to contract size multiplied by the trigger value and by the number of contracts reported in that line. For swaps and forwards, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0020/R0030 |
Other derivatives for Market value of Basic PEPP |
Monetary value of the derivatives other than Interest rate swaps (D1) Forward exchange rate agreements (F2) as of the reporting date for the Basic PEPP. It can be positive, negative or zero. |
C0030/R0030 |
Other derivatives for notional amount of alternative investment options |
The amount covered or exposed to the derivatives other than Interest rate swaps (D1) Forward exchange rate agreements (F2) for the alternative investment options. For futures and options corresponds to contract size multiplied by the trigger value and by the number of contracts reported in that line. For swaps and forwards, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0040/R0030 |
Other derivatives for market value of alternative investment options |
Monetary value of the derivatives other than Interest rate swaps (D1) Forward exchange rate agreements (F2) as of the reporting date for alternative investment options. It can be positive, negative or zero. |
C0050/R0030 |
Other derivates for notional amount of PEPP common assets |
The amount covered or exposed to derivatives other than Interest rate swaps (D1) and Forward exchange rate agreements (F2) all PEPP investment options that share the same pool of assets. For futures and options corresponds to contract size multiplied by the trigger value and by the number of contracts reported in that line. For swaps and forwards, it corresponds to the contract amount of the contracts reported in that line. When the trigger value corresponds to a range, the average value of the range shall be used. The notional amount refers to the amount that is being hedged/invested (when not covering risks). If several trades occur, it shall be the net amount at the reporting date. |
C0060/R0030 |
Other derivatives for market value of PEPP common assets |
Monetary value of the derivatives other than Interest rate swaps (D1) Forward exchange rate agreements (F2) as of the reporting date for all PEPP investment options that share the same pool of assets. It can be positive, negative or zero. |
(1) Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).
(2) Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1).
(3) 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).
(4) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).
(5) Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).
(6) Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ L 174, 1.7.2011, p. 1).
(7) Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains (OJ L 393, 30.12.2006, p. 1).
(8) Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 ( OJ L 174, 1.7.2011, p. 1 ).
ANNEX III
CIC table
First 2 positions |
Asset listed in |
ISO 3166-1-alpha-2 country code or XL (for not listed) or XT (for not exchange tradable) |
|||||||||||||||
|
|||||||||||||||||
Third position |
Category |
1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
9 |
0 |
A |
B |
C |
D |
E |
F |
Government bonds |
Corporate bonds |
Equity |
Investment funds Collective investment undertakings |
Structured notes |
Collateralised securities |
Cash and deposits |
Mortgages and loans |
Property |
Other investments |
Futures |
Call Options |
Put Options |
Swaps |
Forwards |
Credit derivatives |
||
Fourth position |
Sub-category or main risk |
1 |
1 |
1 |
1 |
1 |
1 |
1 |
1 |
1 |
|
1 |
1 |
1 |
1 |
1 |
1 |
Central Government bonds |
Corporate bonds |
Common equity |
Equity funds |
Equity risk |
Equity risk |
Cash |
Uncollateralised loans made |
Property (office and commercial) |
|
Equity and index futures |
Equity and index options |
Equity and index options |
Interest rate swaps |
Forward interest rate agreement |
Credit default swap |
||
2 |
2 |
2 |
2 |
2 |
2 |
2 |
2 |
2 |
|
2 |
2 |
2 |
2 |
2 |
2 |
||
Supra-national bonds |
Convertible bonds |
Equity of real estate related corporation |
Debt funds |
Interest rate risk |
Interest rate risk |
Transferable deposits (cash equivalents) |
Loans made collateralised with securities |
Property (residential) |
|
Interest rate futures |
Bond options |
Bond options |
Currency swaps |
Forward exchange rate agreement |
Credit spread option |
||
3 |
3 |
3 |
3 |
3 |
3 |
3 |
|
3 |
|
3 |
3 |
3 |
3 |
|
3 |
||
Regional government bonds |
Commercial paper |
Equity rights |
Money market funds |
Currency risk |
Currency risk |
Other deposits short term (less than or equal to one year) |
|
Property (for own use) |
|
Currency futures |
Currency options |
Currency options |
Interest rate and currency swaps |
|
Credit spread swap |
||
4 |
4 |
4 |
4 |
4 |
4 |
4 |
4 |
4 |
|
|
4 |
4 |
|
|
4 |
||
Municipal government bonds |
Money market instruments |
Preferred equity |
Asset allocation funds |
Credit risk |
Credit risk |
Other deposits with term longer than one year |
Mortgages |
Property (under construction) |
|
|
Warrants |
Warrants |
|
|
Total return swap |
||
5 |
5 |
|
5 |
5 |
5 |
5 |
5 |
5 |
|
5 |
5 |
5 |
5 |
|
|
||
Treasury bonds |
Hybrid bonds |
|
Real estate funds |
Real estate risk |
Real estate risk |
Deposits to cedants |
Other collateralised loans made |
Plant and equipment (for own use) |
|
Commodity futures |
Commodity options |
Commodity options |
Security swaps |
|
|
||
6 |
6 |
|
6 |
6 |
6 |
|
6 |
|
|
|
6 |
6 |
|
|
|
||
Covered bond |
Common covered bonds |
|
Alternative funds |
Commodity risk |
Commodity risk |
|
Loans on policies |
|
|
|
Swaptions |
Swaptions |
|
|
|
||
7 |
7 |
|
7 |
7 |
7 |
|
|
|
|
7 |
7 |
7 |
7 |
7 |
|
||
National Central Banks |
Covered bonds subject to specific law |
|
Private equity funds |
Catastrophe and Weather risk |
Catastrophe and Weather risk |
|
|
|
|
Catastrophe and Weather risk |
Catastrophe and Weather risk |
Catastrophe and Weather risk |
Catastrophe and Weather risk |
Catastrophe and Weather risk |
|
||
|
8 |
|
8 |
8 |
8 |
|
|
|
|
8 |
8 |
8 |
8 |
8 |
|
||
|
Subordinated bonds |
|
Infrastructure funds |
Mortality risk |
Mortality risk |
|
|
|
|
Mortality risk |
Mortality risk |
Mortality risk |
Mortality risk |
Mortality risk |
|
||
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
9 |
||
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
Other |
ANNEX IV
Definitions of the CIC table
First two positions – Assets listed in |
Definition |
|
Country |
ISO 3166-1-alpha-2 country code |
Identify the ISO 3166-1-alpha-2 country code where the asset is listed in. An asset is considered as being listed if it is negotiated on a regulated market or on a multilateral trading facility, as defined in Directive 2014/65/EU of the European Parliament and of the Council (1). If the asset is listed in more than one country or the undertaking uses for valuation purposes a price provider which is one of the regulated markets or multilateral trading facility where the asset is listed in, the country shall be the one of that regulated market or multilateral trading facility used as the reference for valuation purposes. |
XV |
Assets listed in one or more than one country |
Identify assets that are listed in one or more countries but when the undertaking uses for valuation purposes a price provider which is not one of the regulated markets or multilateral trading facility where the asset is listed in. |
XL |
Assets that are not listed in a stock exchange |
Identify assets that are not negotiated on a regulated market or on a multilateral trading facility, as defined in Directive 2014/65/EU. |
XT |
Assets that are not exchange tradable |
Identify assets that by their nature are not subject to negotiation on a regulated market or on a multilateral trading facility, as defined in Directive 2014/65/EU. |
Third and fourth position – Category |
Definition |
|
1 |
Government bonds |
Bonds issued by public authorities, whether by central governments supra-national government institutions, regional governments or local authorities, and bonds that are fully, unconditionally and irrevocably guaranteed by the European Central Bank, Member States’ central government and central banks, denominated and funded in the domestic currency of that central government and the central bank, multilateral development banks referred to in Article 117(2) of Regulation (EU) No 575/2013 (2) or international organisations referred to in Article 118 of Regulation (EU) No 575/2013, where the guarantee meets the requirements set out in Article 215 of Commission Delegated Regulation (EU) 2015/35 (3). Regarding bonds with a qualifying guarantee, the third and fourth position shall be attributed by reference to the entity providing the guarantee. |
11 |
Central Government bonds |
Bonds issued by central governments. |
12 |
Supra-national bonds |
Bonds issued by public institutions established by a commitment between national states, e.g. issued by a multilateral development bank referred to in Article 117(2) of Regulation (EU) No 575/2013 or issued by an international organisation referred to in Article 118 of Regulation (EU) No 575/2013. |
13 |
Regional government bonds |
Regional government or autonomous community debt instruments offered to the public in a public offering on the capital market. |
14 |
Local authorities bonds |
Bonds issued by local authorities, including cities, provinces, districts and other municipal authorities |
15 |
Treasury bonds |
Short term government bonds, issued by central governments (issued with a maturity term up to 1 year). |
16 |
Covered bonds |
Government bonds which have a pool of assets that secures or ‘covers’ the bond. Those assets remain on the issuer balance sheet. |
17 |
National Central banks |
Bonds issued by national central banks. |
19 |
Other |
Other government bonds, not classified under the above categories. |
2 |
Corporate bonds |
Bonds issued by corporations |
21 |
Corporate bonds |
Bonds issued by corporations, with simple characteristics, usually covering the ones referred to as ‘plain vanilla’, and that do not have any special feature described in the categories 22 to 28. |
22 |
Convertible bonds |
Corporate bonds that the holder can convert into shares of common stock in the issuing company or cash of equal value, having debt and equity-like features. |
23 |
Commercial paper |
Unsecured, short-term debt instrument issued by a corporation, typically for the financing of accounts receivable, inventories and meeting short-term liabilities, usually with original maturity lesser than 270 days. |
24 |
Money market instruments |
Very short term debt securities (usually with maturities ranging from 1 day up to 1 year), consisting mainly of negotiable certificates of deposit (CDs), bankers acceptances and other highly liquid instruments. Commercial paper is excluded from this category. |
25 |
Hybrid bonds |
Corporate bonds that have debt and equity-like features, but are not convertible. |
26 |
Common covered bonds |
Corporate bonds which have a pool of assets that secures or ‘covers’ the bond. Those assets remain on the issuer balance sheet. Covered bonds subject to specific law are excluded from this category. |
27 |
Covered bonds subject to specific law |
Corporate bonds which have a pool of assets that secures or ‘covers’ the bond if the originator becomes insolvent and are subject by law to special public supervision designed to protect bond-holders, as defined in point (1) of Article 3 of Directive (EU) 2019/2162 of the European Parliament and of the Council (4). An example of this category is Pfandbrief: ‘Covered bonds which are issued on the basis of the Pfandbrief Act. They are used to refinance loans for which collateral is furnished in the form of loans secured by real estate liens (Mortgage Pfandbriefe), public-sector loans (Public Pfandbriefe), ship mortgages (Ship Pfandbriefe) or aircraft mortgages (Aircraft Pfandbriefe). Thus, the distinction made between these Pfandbrief types refers to the cover pool created for each type of Pfandbrief.’ |
28 |
Subordinated bonds |
Corporate bonds which have a lower priority than other bonds of the issuer in case of liquidation. |
29 |
Other |
Other corporate bonds, with other characteristics than the ones identified in the above categories. |
3 |
Equity |
Shares and other securities equivalent to shares representing corporations’ capital, i.e., representing ownership in a corporation. |
31 |
Common equity |
Equity that represents basic property rights on corporations. |
32 |
Equity of real estate related corporation |
Equity representing capital from real estate related corporations. |
33 |
Equity rights |
Rights to subscribe to additional shares of equity at a set price. |
34 |
Preferred equity |
Equity security that is senior to common equity, having a higher claim on the assets and earnings than common equity, but is subordinate to bonds. |
39 |
Other |
Other equity, not classified under the above categories. |
4 |
Collective investment undertakings |
Collective investment undertaking’ means an undertaking for collective investment in transferable securities (UCITS) as defined in Article 1(2) of Directive 2009/65/EC or an alternative investment fund (AIF) as defined in Article 4(1)(a) of Directive 2011/61/EU. |
41 |
Equity funds |
Collective investment undertakings mainly invested in equity. |
42 |
Debt funds |
Collective investment undertakings mainly invested in bonds. |
43 |
Money market funds |
Collective investment undertakings under the definition provided by ESMA (CESR/10-049). |
44 |
Asset allocation funds |
Collective investment undertakings which invests its assets pursuing a specific asset allocation objective, e.g. primarily investing in the securities of companies in countries with nascent stock markets or small economies, specific sectors or group of sectors, specific countries or other specific investment objective. |
45 |
Real estate funds |
Collective investment undertakings mainly invested in real estate. |
46 |
Alternative funds |
Collective investment undertakings whose investment strategies include such as hedging, event driven, fixed income directional and relative value, managed futures, commodities etc. |
47 |
Private equity funds |
Collective investment undertakings used for making investments in equity securities following strategies associated with private equity. |
48 |
Infrastructure funds |
Collective investment undertakings that invest in utilities such as toll roads, bridges, tunnels, ports and airports, oil and gas distribution, electricity distribution and social infrastructure such as healthcare and educational facilities. |
49 |
Other |
Other collective investment undertakings, not classified under the above categories |
5 |
Structured notes |
Hybrid securities, combining a fixed income (return in the form of fixed payments) instrument with a series of derivative components. Excluded from this category are fixed income securities that are issued by sovereign governments. Concerns securities that have embedded one or a combination of categories of derivatives, including Credit Default Swaps (CDS), Constant Maturity Swaps (CMS), Credit Default Options (CDOp). Assets under this category are not subject to unbundling. |
51 |
Equity risk |
Structured notes mainly exposed to equity risk. |
52 |
Interest rate risk |
Structured notes mainly exposed to interest rate risk. |
53 |
Currency risk |
Structured notes mainly exposed to currency risk. |
54 |
Credit risk |
Structured notes mainly exposed to credit risk. |
55 |
Real estate risk |
Structured notes mainly exposed to real estate risk. |
56 |
Commodity risk |
Structured notes mainly exposed to commodity risk. |
57 |
Catastrophe and Weather risk |
Structured notes mainly exposed to catastrophe or weather risk. |
58 |
Mortality risk |
Structured notes mainly exposed to mortality risk. |
59 |
Other |
Other structured notes, not classified under the above categories. |
6 |
Collateralised securities |
Securities whose value and payments are derived from a portfolio of underlying assets. Includes Asset Backed Securities (ABS), Mortgage Backed securities (MBS), Commercial Mortgage Backed securities (CMBS), Collateralised Debt Obligations (CDO), Collateralised Loan Obligations (CLO), Collateralised Mortgage Obligations (CMO). Assets under this category are not subject to unbundling. |
61 |
Equity risk |
Collateralised securities mainly exposed to equity risk. |
62 |
Interest rate risk |
Collateralised securities mainly exposed to interest rate risk. |
63 |
Currency risk |
Collateralised securities mainly exposed to currency risk. |
64 |
Credit risk |
Collateralised securities mainly exposed to credit risk. |
65 |
Real estate risk |
Collateralised securities mainly exposed to real estate risk. |
66 |
Commodity risk |
Collateralised securities mainly exposed to commodity risk. |
67 |
Catastrophe and Weather risk |
Collateralised securities mainly exposed to catastrophe or weather risk. |
68 |
Mortality risk |
Collateralised securities mainly exposed to mortality risk. |
69 |
Other |
Other collateralised securities, not classified under the above categories. |
7 |
Cash and deposits |
Money in the physical form, cash equivalent, bank deposits and other money deposits. |
71 |
Cash |
Notes and coins in circulation that are commonly used to make payments. |
72 |
Transferable deposits (cash equivalents) |
Deposits exchangeable for currency on demand at par and which are directly usable for making payments by cheque, draft, giro order, direct debit/credit, or other direct payment facility, without penalty or restriction. |
73 |
Other deposits short term (less than or equal to one year) |
Deposits other than transferable deposits, with remaining maturity inferior or equal to 1 year that cannot be used to make payments at any time and that are not exchangeable for currency or transferable deposits without any kind of significant restriction or penalty. |
74 |
Other deposits with term longer than one year |
Deposits other than transferable deposits, with remaining maturity superior to 1 year that cannot be used to make payments at any time and that are not exchangeable for currency or transferable deposits without any kind of significant restriction or penalty. |
75 |
Deposits to cedants |
Deposits relating to reinsurance accepted. |
79 |
Other |
Other cash and deposits, not classified under the above categories |
8 |
Mortgages and loans |
Financial assets created when creditors lend funds to debtors, with collateral or not, including cash pools. |
81 |
Uncollateralised loans made |
Loans made without collateral. |
82 |
Loans made collateralised with securities |
Loans made with collateral in the form of financial securities. |
84 |
Mortgages |
Loans made with collateral in the form of real estate. |
85 |
Other collateralised loans made |
Loans made with collateral in any other form. |
86 |
Loans on policies |
Loans made with insurance policies as collateral. |
89 |
Other |
Other mortgages and loans, not classified under the above categories. |
9 |
Property |
Buildings, land, other constructions that are immovable and equipment. |
91 |
Property (office and commercial) |
Office and commercial building used for investment. |
92 |
Property (residential) |
Residential buildings used for investment. |
93 |
Property (for own use) |
Real estate for the own use of the undertaking. |
94 |
Property (under construction for investment) |
Real estate that is under construction, for future usage as investment. |
95 |
Plant and equipment (for own use) |
Plant and equipment for the own use of the undertaking. |
96 |
Property (under construction for own use) |
Real estate that is under construction, for future own usage. |
99 |
Other |
Other real estate, not classified under the above categories. |
0 |
Other investments |
Other assets reported in ‘Other investments’. |
A |
Futures |
Standardised contract between two parties to buy or sell a specified asset of standardised quantity and quality at a specified future date at a price agreed today. |
A1 |
Equity and index futures |
Futures with equity or stock exchange indices as underlying. |
A2 |
Interest rate futures |
Futures with bonds or other interest rate dependent security as underlying. |
A3 |
Currency futures |
Futures with currencies or other currencies dependent security as underlying. |
A5 |
Commodity futures |
Futures with commodities or other commodities dependent security as underlying. |
A7 |
Catastrophe and Weather risk |
Futures mainly exposed to catastrophe or weather risk. |
A8 |
Mortality risk |
Futures mainly exposed to mortality risk. |
A9 |
Other |
Other futures, not classified under the above categories. |
B |
Call Options |
Contract between two parties concerning the buying of an asset at a reference price during a specified time frame, where the buyer of the call option gains the right, but not the obligation, to buy the underlying asset. |
B1 |
Equity and index options |
Call options with equity or stock exchange indices as underlying. |
B2 |
Bond options |
Call options with bonds or other interest rate dependent security as underlying. |
B3 |
Currency options |
Call options with currencies or other currencies dependent security as underlying. |
B4 |
Warrants |
Call options that entitles the holder to buy stock of the issuing company at a specified price. |
B5 |
Commodity options |
Call options with commodities or other commodities dependent security as underlying. |
B6 |
Swaptions |
Call options granting its owner the right but not the obligation to enter into a long position in an underlying swap, i.e., enter into a swap where the owner pays the fixed leg and receive the floating leg. |
B7 |
Catastrophe and Weather risk |
Call options mainly exposed to catastrophe or weather risk. |
B8 |
Mortality risk |
Call options mainly exposed to mortality risk. |
B9 |
Other |
Other call options, not classified under the above categories. |
C |
Put Options |
Contract between two parties concerning the selling of an asset at a reference price during a specified time frame, where the buyer of the put option gains the right, but not the obligation, to sell the underlying asset. |
C1 |
Equity and index options |
Put options with equity or stock exchange indices as underlying. |
C2 |
Bond options |
Put options with bonds or other interest rate dependent security as underlying. |
C3 |
Currency options |
Put options with currencies or other currencies dependent security as underlying. |
C4 |
Warrants |
Put options that entitles the holder to sell stock of the issuing company at a specified price. |
C5 |
Commodity options |
Put options with commodities or other commodities dependent security as underlying. |
C6 |
Swaptions |
Put options granting its owner the right but not the obligation to enter into a short position in an underlying swap, i.e., enter into a swap in which the owner will receive the fixed leg, and pay the floating leg. |
C7 |
Catastrophe and Weather risk |
Put options mainly exposed to catastrophe or weather risk. |
C8 |
Mortality risk |
Put options mainly exposed to mortality risk. |
C9 |
Other |
Other put options, not classified under the above categories. |
D |
Swaps |
Contract in which counterparties exchange certain benefits of one party’s financial instrument for those of the other party’s financial instrument, and the benefits in question depend on the type of financial instruments involved. |
D1 |
Interest rate swaps |
Swap that exchange interest flows. |
D2 |
Currency swaps |
Swap that exchange currency. |
D3 |
Interest rate and currency swaps |
Swap that exchange interest and currency flows. |
D4 |
Total return swap |
A swap in which the non-floating rate side is based on the total return of an equity or fixed income instrument with the life longer that the swap. |
D5 |
Security swaps |
Swap that exchange securities. |
D7 |
Catastrophe and Weather risk |
Swaps mainly exposed to catastrophe or weather risk. |
D8 |
Mortality risk |
Swaps mainly exposed to mortality risk. |
D9 |
Other |
Other swaps, not classified under the above categories. |
E |
Forwards |
Non-standardised contract between two parties to buy or sell an asset at a specified future time at a price agreed today. |
E1 |
Forward interest rate agreement |
Forward contract in which typically one party pays a fixed interest rate, and receives a variable interest rate usually based on an underlying index rate, at the predefined forward date. |
E2 |
Forward exchange rate agreement |
Forward contract in which one party pays an amount in one currency, and receives an equivalent amount in a different currency resulting from the conversion using the contractual exchange rate, at the predefined forward date. |
E7 |
Catastrophe and Weather risk |
Forwards mainly exposed to catastrophe or weather risk. |
E8 |
Mortality risk |
Forwards mainly exposed to mortality risk. |
E9 |
Other |
Other forwards, not classified under the above categories. |
F |
Credit derivatives |
Derivative whose value is derived from the credit risk on an underlying bond, loan or any other financial asset. |
F1 |
Credit default swap |
Credit derivative transaction in which two parties enter into an agreement whereby one party pays the other a fixed periodic coupon for the specified life on the agreement and the other party makes no payments unless a credit event relating to a predetermined reference asset occurs. |
F2 |
Credit spread option |
Credit derivative that will generate cash flows if a given credit spread between two specific assets or benchmarks changes from its current level. |
F3 |
Credit spread swap |
A swap in which one party makes a fixed payment to the other on the swap’s settlement date and the second party pays the first an amount based on the actual credit spread. |
F4 |
Total return swap |
A swap in which the non-floating rate side is based on the total return of an equity or fixed income instrument with the life longer that the swap. |
F9 |
Other |
Other credit derivatives, not classified under the above categories. |
(1) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (recast) (OJ L 173, 12.6.2014, p. 349).
(2) 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).
(3) Commission Delegated Regulation (EU) 2015/35 of 10 October 2014 supplementing Directive 2009/138/EC of the European Parliament and of the Council on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 12, 17.1.2015, p. 1).
(4) Directive (EU) 2019/2162 of the European Parliament and of the Council of 27 November 2019 on the issue of covered bonds and covered bond public supervision and amending Directives 2009/65/EC and 2014/59/EU (OJ L 328, 18.12.2019, p. 29).
ANNEX V
Template for registration
1.
Date of the completion of the registration template
2.
Member State
3.
The name of the competent authority;
4.
Single contact point (name/telephone/email);
5.
Type of application (first application/change to previous application/closure of activities)
6.
PEPP registration number (if not first application)
7.
The date when a decision was taken;
8.
The name, address and, where applicable, the authorisation number of the PEPP provider in the home Member State;
9.
Where available, the legal entity identifier of the PEPP provider;
10.
The type of PEPP provider to be selected from a drop-down menu in accordance with the list in Article 6(1) of Regulation (EU) 2019/1238);
11.
The Member States where the PEPP provider intends to market the PEPP (and nature: FOS/FOE);
12.
The Member States for which the PEPP provider has opened or plans to open a sub-account;
13.
The standard contract terms, as referred to in Article 4 of Regulation (EU) 2019/1238:
— |
a description of the Basic PEPP, including any guarantees offered on the investment performance, a given level of benefits etc. and the risk-mitigating technique |
— |
a description of the alternative investment options, where applicable, including any guarantees offered on the investment performance, a given level of benefits etc. and the risk-mitigating technique |
14.
Describe the conditions related to the modification of the investment option;
15.
Biometric risk coverage, where relevant:
— |
Describe the details of the biometric risk coverage |
— |
Describe the triggers of the biometric risk coverage |
16.
PEPP retirement benefits;
— |
Describe the types of benefits offered; |
— |
Describe the possible forms of pay-outs; |
— |
Where applicable, describe the additional coverage offered (e.g. long-term care, additional biometric risks etc.) and who provides the additional coverage; |
— |
Describe the right to change the form of pay-out; |
17.
Describe the conditions related to the portability service;
18.
Describe the conditions related to the switching service;
19.
Describe the categories of costs and total aggregate costs expressed in percentage terms and in monetary terms, where applicable;
20.
Describe the conditions related to the accumulation phase for the respective sub-account(s);
21.
Describe the conditions related to the decumulation phase for the respective sub-account(s);
22.
Where applicable, describe the conditions under which advantages or incentives granted are to be repaid to the Member State of residence of the PEPP saver;
23.
Every PEPP KID related to this PEPP, as an attachment in machine-readable format.
ANNEX VI
Template for notification of registration
1.
Date of the completion of the registration;
2.
Designated contact point of EIOPA (name/telephone/email);
3.
PEPP registration number;
ANNEX VII
Template for deregistration
1.
Date of the completion of the deregistration template;
2.
Member State;
3.
The name of the Competent Authority;
4.
Designated contact point (name/telephone/email);
5.
PEPP registration number;
6.
The date when a decision was taken;
7.
Reason for deregistration.
ANNEX VIII
Template for notification of deregistration
1 Date of the completion of the deregistration notification; 2 PEPP registration number.
ANNEX IX
Template for opening a sub-account
Date;
From:
|
Member State; |
|
Requesting competent authority; |
|
Designated contact point (telephone/email); |
To:
|
Member State; |
|
Competent authority; |
|
Designated contact point (name/telephone/email); |
Type of application (first application/change to previous application)
|
The date of receipt of complete and accurate request to open a new sub-account in accordance with Article 21(2) of Regulation (EU) 2019/1238; |
|
The planned start date of the activities; |
|
The name, address and, where applicable, the authorisation number of the PEPP provider in the home Member State; |
|
Where available, the legal entity identifier of the PEPP provider; |
The type of PEPP provider;
The PEPP registration number;
The generic benefit statement;
The PEPP KID for the sub-account.
Description of the contractual arrangements referred to in Article 19(2) of Regulation (EU) 2019/1238, where applicable;
Description of compliance of the PEPP provider with the requirements referred to in Article 6(1) of Regulation (EU) 2019/1238, where applicable.
ANNEX X
Template for notification of opening of a sub-account
Date;
From:
|
Member State; |
|
Requesting competent authority; |
|
Designated contact point (telephone/email); |
To:
|
Member State; |
|
Competent authority; |
|
Designated contact point (name/telephone/email); |
The date of receipt of complete and accurate request to open a new sub-account template;
Acknowledgement of receipt.
ANNEX XI
Template for request for information/cooperation
Reference number;
Date;
From:
|
Member State; Requesting competent authority; Designated contact point (telephone/email); |
To:
|
Member State; |
|
Competent authority; |
|
Designated contact point (name/telephone/email); |
Reasons for the request;
The actual request;
References;
Registration number of the PEPP;
Exchange of information, where applicable;
Confidentiality;
Additional information;
Urgency.
ANNEX XII
Template for reply to request for information/cooperation
Reference number of the request;
Date;
Date of receipt of the request for information/cooperation;
From:
|
Member State; |
|
Requesting competent authority; |
|
Designated contact point (telephone/email); |
To:
|
Member State; |
|
Competent authority; |
|
Designated contact point (name/telephone/email); |
Registration number of the PEPP;
Reply to the request;
Reasons for not making the deadline for the request and estimated deadline;
Confidentiality;
Additional information.
ANNEX XIII
Template for notification of infringement
Reference number of the notification;
Date;
From:
|
Member State; |
|
Requesting competent authority; |
|
Designated contact point (telephone/email); |
To:
|
Member State; |
|
Competent authority; |
|
Designated contact point (name/telephone/email); |
Subject matter:
|
Notification to a competent authority pursuant to Article 8(1)(b) of Regulation (EU) 2019/1238; |
|
Notification to EIOPA pursuant to Article 8(1)(b) of Regulation (EU) 2019/1238; |
|
Notification to a competent authority pursuant to Article 8(1)(c) of Regulation (EU) 2019/1238; |
|
Notification to EIOPA pursuant to Article 8(1)(c) of Regulation (EU) 2019/1238; |
|
Notification to a competent authority pursuant to Article 8(1)(d) of Regulation (EU) 2019/1238; |
|
Notification to EIOPA pursuant to Article 8(1)(d) of Regulation (EU) 2019/1238; |
|
Notification to a competent authority pursuant to Article 16 of Regulation (EU) 2019/1238; |
|
Notification to EIOPA pursuant to Article 16 of Regulation (EU) 2019/1238; |
|
Notification to a competent authority pursuant to Article 63 of Regulation (EU) 2019/1238; |
|
Notification to EIOPA pursuant to Article 63 of Regulation (EU) 2019/1238; |
|
Notification to a competent authority pursuant to Article 65 of Regulation (EU) 2019/1238; |
|
Notification to a competent authority pursuant to Article 67 of Regulation (EU) 2019/1238; |
|
Notification to EIOPA pursuant to Article 67 of Regulation (EU) 2019/1238; |
Product number of the PEPP;
Country(ies) where the infringement took place;
Type of infringement:
|
Nature; |
|
Materiality; |
|
Duration; |
Suggested actions:
|
Type of action; |
|
Planned implementation/effect of action; |
|
Country(ies) where the actions will have effect; |
Evidence to justify the decision;
Urgency;
References;
Intended publication.
ANNEX XIV
Template for information regarding national provisions
Date of the completion of the template for information regarding national provisions;
Member State;
The name of the competent authority;
Designated contact point (name/telephone/email);
Type of application (first application/change to previous application);
Link to the information relevant for the competent authority.
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/67 |
COMMISSION IMPLEMENTING REGULATION (EU) 2021/898
of 28 May 2021
entering a name in the register of protected designations of origin and protected geographical indications (‘Salată cu icre de știucă de Tulcea’ (PGI))
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs (1), and in particular Article 52(2) thereof,
Whereas:
(1) |
Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Romania’s application to register the name ‘Salată cu icre de știucă de Tulcea’ was published in the Official Journal of the European Union (2). |
(2) |
As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Salată cu icre de știucă de Tulcea’ should therefore be entered in the register, |
HAS ADOPTED THIS REGULATION:
Article 1
The name ‘Salată cu icre de știucă de Tulcea’ (PGI) is hereby entered in the register.
The name specified in the first paragraph denotes a product in Class 1.7. – Fresh fish, molluscs and crustaceans and products derived therefrom, as listed in Annex XI to Commission Implementing Regulation (EU) No 668/2014 (3).
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 28 May 2021.
For the Commission,
On behalf of the President,
Janusz WOJCIECHOWSKI
Member of the Commission
(1) OJ L 343, 14.12.2012, p. 1.
(3) Commission Implementing Regulation (EU) No 668/2014 of 13 June 2014 laying down rules for the application of Regulation (EU) No 1151/2012 of the European Parliament and of the Council on quality schemes for agricultural products and foodstuffs (OJ L 179, 19.6.2014, p. 36).
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/68 |
COMMISSION REGULATION (EU) 2021/899
of 3 June 2021
amending Regulation (EU) No 142/2011 as regards transitional measures for the export of meat-and-bone meal as a fuel for combustion
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 laying down health rules as regards animal by-products and derived products not intended for human consumption and repealing Regulation (EC) No 1774/2002 (1), and in particular the first subparagraph of Article 43(3) thereof,
Whereas:
(1) |
Commission Regulation (EU) No 142/2011 (2) lays down public and animal health rules for placing on the market and export of animal by-products and derived products. |
(2) |
Article 12 of Regulation (EC) No 1069/2009 in conjunction with Article 7(2) of that Regulation stipulate that Category 1 meat-and-bone meal (MBM) is to be disposed of by incineration, co-incineration or landfill or may be used as a fuel for combustion to prevent the re-entry into and the contamination of the feed chain. |
(3) |
The competent authorities of Ireland communicated their plans to have established own combustion capacities for MBM of Category 1 materials by the end of 2023, and requested that during a transitional period traditional trade flows of MBM of Category 1 materials intended for disposal in the United Kingdom be authorised. |
(4) |
After assessing Ireland’s request, the Commission, given the particular geographical situation of that Member State, considers it necessary to establish rules in Chapter V of Annex XIV to Regulation (EU) No 142/2011 on the basis of which Ireland may authorise the export to the United Kingdom of MBM of Category 1 materials complying with the requirements for the placing on the market for the purpose of combustion until 31 December 2023, without prejudice to the application of Union law to and in the United Kingdom in respect of Northern Ireland in accordance with the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community, and in particular Article 5(4) of the Protocol on Ireland/Northern Ireland in conjunction with Annex 2 to that Protocol, and subject to Article 6(1) of that Protocol, which allows movements of MBM of Category 1 materials for combustion to other parts of the United Kingdom than Northern Ireland. |
(5) |
Annex XIV to Regulation (EU) No 142/2011 should therefore be amended accordingly. |
(6) |
In order to ensure the continuity of existing trade flows after the end of the transition period, this Regulation should apply from 1 January 2021 and should therefore, as a matter of urgency, enter into force on the third day following that of its publication in the Official Journal of the European Union. |
(7) |
The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed, |
HAS ADOPTED THIS REGULATION:
Article 1
Chapter V of Annex XIV to Regulation (EU) No 142/2011 is amended in accordance with the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 June 2021.
For the Commission
The President
Ursula VON DER LEYEN
(1) OJ L 300, 14.11.2009, p. 1.
(2) Commission Regulation (EU) No 142/2011 of 25 February 2011 implementing Regulation (EC) No 1069/2009 of the European Parliament and of the Council laying down health rules as regards animal by-products and derived products not intended for human consumption and implementing Council Directive 97/78/EC as regards certain samples and items exempt from veterinary checks at the border under that Directive (OJ L 54, 26.2.2011, p. 1).
ANNEX
In the table in Chapter V of Annex XIV to Regulation (EU) No 142/2011, a new row is added as follows:
‘3 |
Meat-and-bone meal of Category 1 materials. |
Meat-and-bone meal (MBM) of Category 1 material intended as a fuel for combustion shall only be exported from Ireland to the United Kingdom (*), under the following conditions:
|
(*) In accordance with the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community, and in particular Article 5(4) of the Protocol on Ireland/Northern Ireland in conjunction with Annex 2 to that Protocol, for the purposes of this Annex references to the United Kingdom do not include Northern Ireland.
(**) Regulation (EU) 2017/625 of the European Parliament and of the Council of 15 March 2017 on official controls and other official activities performed to ensure the application of food and feed law, rules on animal health and welfare, plant health and plant protection products, amending Regulations (EC) No 999/2001, (EC) No 396/2005, (EC) No 1069/2009, (EC) No 1107/2009, (EU) No 1151/2012, (EU) No 652/2014, (EU) 2016/429 and (EU) 2016/2031 of the European Parliament and of the Council, Council Regulations (EC) No 1/2005 and (EC) No 1099/2009 and Council Directives 98/58/EC, 1999/74/EC, 2007/43/EC, 2008/119/EC and 2008/120/EC, and repealing Regulations (EC) No 854/2004 and (EC) No 882/2004 of the European Parliament and of the Council, Council Directives 89/608/EEC, 89/662/EEC, 90/425/EEC, 91/496/EEC, 96/23/EC, 96/93/EC and 97/78/EC and Council Decision 92/438/EEC (Official Controls Regulation) (OJ L 95, 7.4.2017, p. 1).’
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/71 |
COMMISSION IMPLEMENTING REGULATION (EU) 2021/900
of 3 June 2021
authorising a change of the conditions of use of the novel food ‘galacto-oligosaccharide’ under Regulation (EU) 2015/2283 of the European Parliament and of the Council and amending Commission Implementing Regulation (EU) 2017/2470
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2015/2283 of the European Parliament and of the Council of 25 November 2015 on novel foods, amending Regulation (EU) No 1169/2011 of the European Parliament and of the Council and repealing Regulation (EC) No 258/97 of the European Parliament and of the Council and Commission Regulation (EC) No 1852/2001 (1), and in particular Article 12 thereof,
Whereas:
(1) |
Regulation (EU) 2015/2283 provides that only novel foods authorised and included in the Union list may be placed on the market within the Union. |
(2) |
Pursuant to Article 8 of Regulation (EU) 2015/2283, Commission Implementing Regulation (EU) 2017/2470 (2) establishing a Union list of authorised novel foods was adopted. |
(3) |
On 20 January 2014, the company Yakult Pharmaceutical Industry Co., Ltd. informed the Commission, pursuant to Article 5 of Regulation (EC) No 258/97 of the European Parliament and of the Council (3), of its intention to place on the market ‘galacto-oligosaccharide’ as a novel food to be used in a number of foods, including infant formula and follow-on formula as defined in Regulation (EU) No 609/2013 of the European Parliament and of the Council (4). Therefore, galacto-oligosaccharide was included in the Union list of novel foods. |
(4) |
On 3 March 2020, the company Yakult Pharmaceutical Industry Co., Ltd. (‘the applicant’) submitted an application to the Commission pursuant to Article 10(1) of Regulation (EU) 2015/2283 to change the conditions of use of the novel food ‘galacto-oligosaccharide’. The applicant requested to increase the maximum use level of the novel food galacto-oligosaccharide in food supplements from 0,333 kg GOS/kg food supplement (33,3 %) to 0,450 kg GOS/kg food supplement (45,0 %) for the general population. During the application process, the applicant agreed to exclude infants and young children from the request. |
(5) |
In accordance with Article 10(3) of Regulation (EU) 2015/2283, the Commission consulted the European Food Safety Authority (‘the Authority’) on 18 June 2020, requesting it to provide a scientific opinion by carrying out an assessment for the change of the conditions of use of galacto-oligosaccharide as a novel food. |
(6) |
On 17 December 2020, the Authority adopted its scientific opinions on the ‘Safety of a change in the conditions of use of galacto-oligosaccharides as a novel food ingredient in food supplements pursuant to Regulation (EU) 2015/2283’ (5). This opinion is in line with the requirements of Article 11 of Regulation (EU) 2015/2283. |
(7) |
In its opinion, the Authority concluded that the proposed increase in the maximum use level of galacto-oligosaccharide as a novel food in food supplements is safe under the proposed changes of the conditions of use. |
(8) |
The opinion of the Authority gives sufficient grounds to establish that galacto-oligosaccharide under the proposed conditions of use for the general population, excluding infants and young children, complies with Article 12(1) of Regulation (EU) 2015/2283. |
(9) |
The Annex to Implementing Regulation (EU) 2017/2470 should therefore be amended accordingly. |
(10) |
The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed, |
HAS ADOPTED THIS REGULATION:
Article 1
1. The entry in the Union list of authorised novel foods as provided for in Article 6 of Regulation (EU) 2015/2283 and included in the Annex to Implementing Regulation (EU) 2017/2470, referring to the novel food galacto-oligosaccharide, shall be amended as specified in the Annex to this Regulation.
2. The entry in the Union list referred to in paragraph 1 shall include the conditions of use and labelling requirements laid down in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 June 2021.
For the Commission
The President
Ursula VON DER LEYEN
(1) OJ L 327, 11.12.2015, p. 1.
(2) Commission Implementing Regulation (EU) 2017/2470 of 20 December 2017 establishing the Union list of novel foods in accordance with Regulation (EU) 2015/2283 of the European Parliament and of the Council on novel foods (OJ L 351, 30.12.2017, p. 72).
(3) Regulation (EC) No 258/97 of the European Parliament and of the Council of 27 January 1997 concerning novel foods and novel foods ingredients (OJ L 43, 14.2.1997, p. 1).
(4) Regulation (EU) No 609/2013 of the European Parliament and of the Council of 12 June 2013 on food intended for infants and young children, food for special medical purposes, and total diet replacement for weight control and repealing Council Directive 92/52/EEC, Commission Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC, Directive 2009/39/EC of the European Parliament and of the Council and Commission Regulations (EC) No 41/2009 and (EC) No 953/2009 (OJ L 181, 29.6.2013, p. 35).
(5) EFSA Journal 2021;19(1):6384.
ANNEX
In Table 1 (Authorised novel foods) of the Annex to Implementing Regulation (EU) 2017/2470, the entry for the novel food ‘Galacto-oligosaccharide’ is replaced by the following:
Authorised novel food |
Conditions under which the novel food may be used |
Additional specific labelling requirements |
Other requirements |
|
‘Galacto-oligosaccharide |
Specified food category |
Maximum levels (expressed as ratio kg galacto-oligosaccharide/kg final food) |
|
|
Food Supplements as defined in Directive 2002/46/EC |
0,333 |
|||
Food supplements as defined in Directive 2002/46/EC, excluding infants and young children |
0,450 (corresponding to 5,4 g galacto-oligosaccharide/serving; maximum 3 servings/day up to a maximum of 16,2 g/day) |
|||
Milk |
0,020 |
|||
Milk drinks |
0,030 |
|||
Meal replacement for weight control (as drinks) |
0,020 |
|||
Dairy analogue drinks |
0,020 |
|||
Yoghurt |
0,033 |
|||
Dairy based desserts |
0,043 |
|||
Frozen dairy desserts |
0,043 |
|||
Fruit drinks and energy drinks |
0,021 |
|||
Infant meal replacement drinks |
0,012 |
|||
Baby juice |
0,025 |
|||
Baby yogurt drink |
0,024 |
|||
Baby dessert |
0,027 |
|||
Baby snack |
0,143 |
|||
Baby cereals |
0,027 |
|||
Drinks intended to meet the expenditure of intense muscular effort especially for sportsmen |
0,013 |
|||
Juice |
0,021 |
|||
Fruit pie filling |
0,059 |
|||
Fruit preparations |
0,125 |
|||
Bars |
0,125 |
|||
Cereals |
0,125 |
|||
Infant formula and follow-on formula as defined in Regulation (EU) No 609/2013 |
0,008’ |
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/75 |
COMMISSION IMPLEMENTING REGULATION (EU) 2021/901
of 3 June 2021
correcting the Swedish language version of Implementing Regulation (EU) 2019/2072 establishing uniform conditions for the implementation of Regulation (EU) 2016/2031 of the European Parliament of the Council, as regards protective measures against pests of plants
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2016/2031 of the European Parliament of the Council of 26 October 2016 on protective measures against pests of plants, amending Regulations (EU) No 228/2013, (EU) No 652/2014 and (EU) No 1143/2014 of the European Parliament and of the Council and repealing Council Directives 69/464/EEC, 74/647/EEC, 93/85/EEC, 98/57/EC, 2000/29/EC, 2006/91/EC and 2007/33/EC (1), and in particular Article 41(2) and Article 72(1) thereof,
Whereas:
(1) |
The Swedish language version of Commission Implementing Regulation (EU) 2019/2072 (2) contains errors in points 65 and 68 of Annex VII as regards conditions that have to be fulfilled for introducing certain plants or plant products in the Union and in point 12 of Part A of Annex XI as regards the indication of a plant. |
(2) |
The Swedish language version of Implementing Regulation (EU) 2019/2072 should therefore be corrected accordingly. The other language versions are not affected. |
(3) |
The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed, |
HAS ADOPTED THIS REGULATION:
Article 1
(does not concern the English language)
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 June 2021.
For the Commission
The President
Ursula VON DER LEYEN
(1) OJ L 317, 23.11.2016, p. 4.
(2) Commission Implementing Regulation (EU) 2019/2072 of 28 November 2019 establishing uniform conditions for the implementation of Regulation (EU) 2016/2031 of the European Parliament and the Council, as regards protective measures against pests of plants, and repealing Commission Regulation (EC) No 690/2008 and amending Commission Implementing Regulation (EU) 2018/2019 (OJ L 319, 10.12.2019, p. 1).
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/76 |
COMMISSION IMPLEMENTING REGULATION (EU) 2021/902
of 3 June 2021
amending Implementing Regulation (EU) 2021/605 laying down special control measures for African swine fever
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2016/429 of the European Parliament and of the Council of 9 March 2016 on transmissible animal diseases and amending and repealing certain acts in the area of animal health (‘Animal Health Law’) (1), and in particular Article 71(3) thereof,
Whereas:
(1) |
African swine fever is an infectious viral disease affecting kept and wild porcine animals and can have a severe impact on the concerned animal population and the profitability of farming causing disturbance to movements of consignments of those animals and products thereof within the Union and exports to third countries. |
(2) |
Commission Implementing Regulation (EU) 2021/605 (2) was adopted within the framework of Regulation (EU) 2016/429, and it lays down special disease control measures regarding African swine fever to be applied for a limited period of time by the Member States listed in Annex I thereto (the Member States concerned), in restricted zones I, II and III listed in that Annex. |
(3) |
Implementing Regulation (EU) 2021/605 lays down, inter alia, certain obligations on operators with regard to movements of consignments of meat products obtained from porcine animals, including casings, from restricted zones I, II and II. In particular, Article 19(4), point (a), of that Regulation provides that operators are only to move consignments of processed meat products, including casings, obtained from porcine animals kept in areas outside restricted zones I, II and III and processed in restricted zones I, II and III outside those zones provided that those products of animals origin have undergone the relevant risk-mitigating treatment set out in Annex VII to Commission Delegated Regulation (EU) 2020/687 (3). However, movements of such consignments outside restricted zones I, II and III represent a much lower risk for the spread of African swine fever than movements of consignments of processed meat products obtained from porcine animal kept in restricted zones I, II and III. Therefore, the relevant risk-mitigating treatments set out in Annex VII to Delegated Regulation (EU) 2020/687 should not be required for movements outside restricted zones I, II and III of consignments of meat products, including casings, obtained from porcine animals that have been kept in areas outside those restricted zones, as it not proportionate to the animal health risks involved. Therefore, Article 19(4) of Regulation (EU) 2021/605 should be amended accordingly. |
(4) |
Furthermore, the areas listed as restricted zones I, II and III in Annex I to Implementing Regulation (EU) 2021/605 are based on the epidemiological situation of African swine fever in the Union. Annex I to Implementing Regulation (EU) 2021/605 was last amended by Commission Implementing Regulation (EU) 2021/811 (4) following changes in the epidemiological situation as regards that disease in Poland and Slovakia. |
(5) |
Any amendments to restricted zones I, II and III in Annex I to Implementing Regulation (EU) 2021/605 should be based on the epidemiological situation as regards African swine fever in the areas affected by that disease and the overall epidemiological situation of African swine fever in the Member State concerned, the level of risk for the further spread of that disease, as well as scientifically based principles and criteria for geographically defining zoning due to African swine fever and the Union’s guidelines agreed with the Member States at the Standing Committee on Plants, Animals, Food and Feed and publicly available on Commission’s website (5). Such amendments should also take account of international standards, such as the Terrestrial Animal Health Code (6) of the World Organisation for Animal Health and justifications for zoning provided by the competent authorities of the Member States concerned. |
(6) |
There have been new outbreaks of African swine fever in wild porcine animals in Slovakia and Poland. |
(7) |
In May 2021, several outbreaks of African swine fever in wild porcine animals were observed in the kaliski and gryfiński districts in Poland in areas currently listed as restricted zones I in Annex I to Implementing Regulation (EU) 2021/605. These new outbreaks of African swine fever in wild porcine animals constitute an increased level of risk, which should be reflected in that Annex. Accordingly, those areas of Poland currently listed as restricted zones I in that Annex affected by those recent outbreaks of African swine fever, should now be listed as restricted zones II in that Annex instead of as restricted zones I. |
(8) |
In May 2021, one outbreak of African swine fever in a wild porcine animals was observed in the żagański district in Poland in an area listed as restricted zone II in Annex I to Implementing Regulation (EU) 2021/605, located in close proximity to an area currently listed in restricted zone I. This new outbreak of African swine fever in a wild porcine animal constitutes an increased level of risk, which should be reflected in that Annex. Accordingly, this area of Poland currently listed as restricted zone I in that Annex, that is in close proximity to the area listed in restricted zone II affected by this recent outbreak of African swine fever, should now be listed as restricted zone II in that Annex instead of as restricted zone I thereof and the current boundaries of restricted zone I also need to be redefined and enlarged to take account of this recent case. |
(9) |
In April and May 2021, several outbreaks of African swine fever in wild porcine animals were observed in the detva, velký krtíš, revúca and michalovce districts in Slovakia in areas listed as restricted zone II in Annex I to Implementing Regulation (EU) 2021/605, located in close proximity to areas currently listed in restricted zone I. Those new outbreaks of African swine fever in wild porcine animals constitute an increased level of risk, which should be reflected in that Annex. Accordingly, these areas of Slovakia currently listed as restricted zone I in that Annex, that are in close proximity to the areas listed in restricted zone II affected by those recent outbreaks of African swine fever, should now be listed as restricted zones II in that Annex instead of as restricted zones I thereof and the current boundaries of restricted zones I also need to be redefined and enlarged to take account of this recent case. |
(10) |
Following these recent outbreaks of African swine fever in wild porcine animals in Poland and Slovakia and taking into account the current epidemiological situation as regards African swine fever in the Union, zoning in those Member States has been reassessed and updated. In addition, the risk management measures in place have also been reassessed and updated. These changes should be reflected in Annex I to Implementing Regulation (EU) 2021/605. |
(11) |
In order to take account of recent developments in the epidemiological situation of African swine fever in the Union, and in order to combat the risks associated with the spread of that disease in a proactive manner, new restricted zones of a sufficient size should be demarcated for Poland and Slovakia and duly listed as restricted zones I and II in Annex I to Implementing Regulation (EU) 2021/605. As the situation as regards African swine fever is very dynamic in the Union, when demarcating those new restricted zones, account has been taken of the situation in the surrounding areas. |
(12) |
Given the urgency of the epidemiological situation in the Union as regards the spread of African swine fever and in order to avoid unnecessary disruptions of movements of certain products of animals origin from restricted zones I, II and III, it is important that the amendments to be made to Implementing Regulation (EU) 2021/605 by this Implementing Regulation take effect as soon as possible. |
(13) |
The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed, |
HAS ADOPTED THIS REGULATION:
Article 1
Implementing Regulation (EU) 2021/605 is amended as follows:
(1) |
in Article 19, paragraph 4 is replaced by the following: ‘4. Operators shall only move consignments of meat products, including casings, obtained from porcine animals kept in areas outside restricted zones I, II and III and processed in restricted zones I, II and III outside those zones within the same Member State concerned or to another Member State if those consignments are accompanied by an animal health certificate as provided for in Article 167(1) of Regulation (EU) 2016/429 that contains:
|
(2) |
Annex I to Implementing Regulation (EU) 2021/605 is replaced by the text set out in the Annex to this Regulation. |
Article 2
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 June 2021.
For the Commission
The President
Ursula VON DER LEYEN
(2) Commission Implementing Regulation (EU) 2021/605 of 7 April 2021 laying down special control measures for African swine fever (OJ L 129, 15.4.2021, p. 1).
(3) Commission Delegated Regulation (EU) 2020/687 of 17 December 2019 supplementing Regulation (EU) 2016/429 of the European Parliament and the Council, as regards rules for the prevention and control of certain listed disease (OJ L 174, 3.6.2020, p. 64).
(4) Commission Implementing Regulation (EU) 2021/811 of 20 May 2021 amending Annex I to Implementing Regulation (EU) 2021/605 laying down special control measures for African swine fever (OJ L 180, 21.5.2021, p. 114).
(5) Working Document SANTE/7112/2015/Rev. 3 ‘Principles and criteria for geographically defining ASF regionalisation’. https://ec.europa.eu/food/animals/animal-diseases/control-measures/asf_en
(6) OIE Terrestrial Animal Health Code, 28th Edition, 2019. ISBN of volume I: 978-92-95108-85-1; ISBN of volume II: 978-92-95108-86-8. https://www.oie.int/standard-setting/terrestrial-code/access-online/
ANNEX
Annex I to Implementing Regulation (EU) 2021/605 is replaced by the following:
‘ANNEX I
RESTRICTED ZONES
PART I
1. Germany
The following restricted zones I in Germany:
Bundesland Brandenburg:
|
Bundesland Sachsen:
|
2. Estonia
The following restricted zones I in Estonia:
— |
Hiiu maakond. |
3. Greece
The following restricted zones I in Greece:
— |
in the regional unit of Drama:
|
— |
in the regional unit of Xanthi:
|
— |
in the regional unit of Rodopi:
|
— |
in the regional unit of Evros:
|
— |
in the regional unit of Serres:
|
4. Latvia
The following restricted zones I in Latvia:
— |
Pāvilostas novada Vērgales pagasts, |
— |
Stopiņu novada daļa, kas atrodas uz rietumiem no autoceļa V36, P4 un P5, Acones ielas, Dauguļupes ielas un Dauguļupītes, |
— |
Grobiņas novada Medzes, Grobiņas un Gaviezes pagasts. Grobiņas pilsēta, |
— |
Rucavas novada Rucavas pagasts, |
— |
Nīcas novads. |
5. Lithuania
The following restricted zones I in Lithuania:
— |
Klaipėdos rajono savivaldybė: Agluonėnų, Dovilų, Gargždų, Priekulės, Vėžaičių, Kretingalės ir Dauparų-Kvietinių seniūnijos, |
— |
Palangos miesto savivaldybė. |
6. Hungary
The following restricted zones I in Hungary:
— |
Békés megye 950950, 950960, 950970, 951950, 952050, 952750, 952850, 952950, 953050, 953150, 953650, 953660, 953750, 953850, 953960, 954250, 954260, 954350, 954450, 954550, 954650, 954750, 954850, 954860, 954950, 955050, 955150, 955250, 955260, 955270, 955350, 955450, 955510, 955650, 955750, 955760, 955850, 955950, 956050, 956060, 956150 és 956160 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Bács-Kiskun megye 600150, 600850, 601550, 601650, 601660, 601750, 601850, 601950, 602050, 603250, 603750 és 603850 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Budapest 1 kódszámú, vadgazdálkodási tevékenységre nem alkalmas területe, |
— |
Csongrád-Csanád megye 800150, 800160, 800250, 802220, 802260, 802310 és 802450 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Fejér megye 400150, 400250, 400351, 400352, 400450, 400550, 401150, 401250, 401350, 402050, 402350, 402360, 402850, 402950, 403050, 403250, 403350, 403450, 403550, 403650, 403750, 403950, 403960, 403970, 404570, 404650, 404750, 404850, 404950, 404960, 405050, 405750, 405850, 405950, |
— |
406050, 406150, 406550, 406650 és 406750 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Győr-Moson-Sopron megye 100550, 100650, 100950, 101050, 101350, 101450, 101550, 101560 és 102150 kódszámú vadgazdálkodási egységeinek telejs területe, |
— |
Jász-Nagykun-Szolnok megye 750150, 750160, 750260, 750350, 750450, 750460, 754450, 754550, 754560, 754570, 754650, 754750, 754950, 755050, 755150, 755250, 755350 és 755450 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Komárom-Esztergom megye 250150, 250250, 250450, 250460, 250550, 250650, 250750, 251050, 251150, 251250, 251350, 251360, 251650, 251750, 251850, 252250, kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Pest megye 571550, 572150, 572250, 572350, 572550, 572650, 572750, 572850, 572950, 573150, 573250, 573260, 573350, 573360, 573450, 573850, 573950, 573960, 574050, 574150, 574350, 574360, 574550, 574650, 574750, 574850, 574860, 574950, 575050, 575150, 575250, 575350, 575550, 575650, 575750, 575850, 575950, 576050, 576150, 576250, 576350, 576450, 576650, 576750, 576850, 576950, 577050, 577150, 577350, 577450, 577650, 577850, 577950, 578050, 578150, 578250, 578350, 578360, 578450, 578550, 578560, 578650, 578850, 578950, 579050, 579150, 579250, 579350, 579450, 579460, 579550, 579650, 579750, 580250 és 580450 kódszámú vadgazdálkodási egységeinek teljes területe. |
7. Poland
The following restricted zones I in Poland:
w województwie warmińsko-mazurskim:
|
w województwie podlaskim:
|
w województwie mazowieckim:
|
w województwie podkarpackim:
|
w województwie świętokrzyskim:
|
w województwie łódzkim:
|
w województwie pomorskim:
|
w województwie lubuskim:
|
w województwie dolnośląskim:
|
w województwie wielkopolskim:
|
w województwie zachodniopomorskim:
|
8. Slovakia
The following restricted zones I in Slovakia:
— |
the whole district of Humenné, except municipalities included in part II, |
— |
the whole district of Snina, |
— |
the whole district of Medzilaborce |
— |
the whole district of Stropkov |
— |
the whole district of Svidník, except municipalities included in part II, |
— |
the whole district of whole Kežmarok, |
— |
the whole district of Poprad, |
— |
in the district of Veľký Krtíš, the municipalities of Čebovce, Horné Príbelce, Dolné Príbelce, Nenince, Bátorová, Opatovská Nova Ves, Kosihovce, Seľany, Kamenné Kosihy, Trebušovce, Lesenice, Chrastice, Slovenské Ďarmoty, Malá Čalomia, Koláre, Veľká Čalomia, Kosihy nad Ipľom, Dolinka, Ďurkovce, Širakov, Opava, Čelovce, Vieska, Vinica, Kleňany, Sečianky, Veľká nad Ipľom, Balog nad Ipľom, Hrušov, |
— |
the whole district of Krupina, except municipalities included in part II, |
— |
the whole district of Banska Bystrica, except municipalities included in part II, |
— |
in the district of Liptovský Mikuláš, the municipalities of Východná, Kráľova Lehota, Nižná Boca, Vyšná Boca, Malužiná, Liptovská Porúbka, Liptovský Ján, Uhorská Ves, Podtureň, Iľanovo, Závažná Poruba, Benice, Palúdzka, Bodice, Demänová, Ploštín, Pavčina Lehota, Demänovská Dolina, Gôtovany, Galovany, Svätý Kríž, Lazisko, Dúbrava, Bendice, Malatíny, Vlachy, Krmeš, Sokolče, Liptovské Kľačany, Partizánska Ľupča, |
— |
In the district of Ružomberok, the municipalities of Liptovská Lužná, Liptovská Osada, Podsuchá, Ludrová, Štiavnička, Liptovská Štiavnica, Nižný Sliač, Liptovské Sliače, |
— |
the whole district of Banska Stiavnica, |
— |
the whole district of Žiar nad Hronom. |
PART II
1. Bulgaria
The following restricted zones II in Bulgaria:
— |
the whole region of Haskovo, |
— |
the whole region of Yambol, |
— |
the whole region of Stara Zagora, |
— |
the whole region of Pernik, |
— |
the whole region of Kyustendil, |
— |
the whole region of Plovdiv, |
— |
the whole region of Pazardzhik, |
— |
the whole region of Smolyan, |
— |
the whole region of Dobrich, |
— |
the whole region of Sofia city, |
— |
the whole region of Sofia Province, |
— |
the whole region of Blagoevgrad, |
— |
the whole region of Razgrad, |
— |
the whole region of Kardzhali, |
— |
the whole region of Burgas excluding the areas in Part III, |
— |
the whole region of Varna excluding the areas in Part III, |
— |
the whole region of Silistra, excluding the areas in Part III, |
— |
the whole region of Ruse, excluding the areas in Part III, |
— |
the whole region of Veliko Tarnovo, excluding the areas in Part III, |
— |
the whole region of Pleven, excluding the areas in Part III, |
— |
the whole region of Targovishte, excluding the areas in Part III, |
— |
the whole region of Shumen, excluding the areas in Part III, |
— |
the whole region of Sliven, excluding the areas in Part III, |
— |
the whole region of Vidin, excluding the areas in Part III. |
2. Germany
The following restricted zones II in Germany:
Bundesland Brandenburg:
|
Bundesland Sachsen:
|
3. Estonia
The following restricted zones II in Estonia:
— |
Eesti Vabariik (välja arvatud Hiiu maakond). |
4. Latvia
The following restricted zones II in Latvia:
— |
Ādažu novads, |
— |
Aizputes novada Aizputes, Cīravas un Lažas pagasts, Kalvenes pagasta daļa uz rietumiem no ceļa pie Vārtājas upes līdz autoceļam A9, uz dienvidiem no autoceļa A9, uz rietumiem no autoceļa V1200, Kazdangas pagasta daļa uz rietumiem no ceļa V1200, P115, P117, V1296, Aizputes pilsēta, |
— |
Aglonas novads, |
— |
Aizkraukles novads, |
— |
Aknīstes novads, |
— |
Alojas novads, |
— |
Alsungas novads, |
— |
Alūksnes novads, |
— |
Amatas novads, |
— |
Apes novads, |
— |
Auces novads, |
— |
Babītes novads, |
— |
Baldones novads, |
— |
Baltinavas novads, |
— |
Balvu novads, |
— |
Bauskas novads, |
— |
Beverīnas novads, |
— |
Brocēnu novads, |
— |
Burtnieku novads, |
— |
Carnikavas novads, |
— |
Cēsu novads |
— |
Cesvaines novads, |
— |
Ciblas novads, |
— |
Dagdas novads, |
— |
Daugavpils novads, |
— |
Dobeles novads, |
— |
Dundagas novads, |
— |
Durbes novads, |
— |
Engures novads, |
— |
Ērgļu novads, |
— |
Garkalnes novads, |
— |
Grobiņas novada Bārtas pagasts, |
— |
Gulbenes novads, |
— |
Iecavas novads, |
— |
Ikšķiles novads, |
— |
Ilūkstes novads, |
— |
Inčukalna novads, |
— |
Jaunjelgavas novads, |
— |
Jaunpiebalgas novads, |
— |
Jaunpils novads, |
— |
Jēkabpils novads, |
— |
Jelgavas novads, |
— |
Kandavas novads, |
— |
Kārsavas novads, |
— |
Ķeguma novads, |
— |
Ķekavas novads, |
— |
Kocēnu novads, |
— |
Kokneses novads, |
— |
Krāslavas novads, |
— |
Krimuldas novads, |
— |
Krustpils novads, |
— |
Kuldīgas novada, Laidu pagasta daļa uz ziemeļiem no autoceļa V1296, Padures, Rumbas, Rendas, Kabiles, Vārmes, Pelču, Ēdoles, Īvandes, Kurmāles, Turlavas, Gudenieku un Snēpeles pagasts, Kuldīgas pilsēta, |
— |
Lielvārdes novads, |
— |
Līgatnes novads, |
— |
Limbažu novads, |
— |
Līvānu novads, |
— |
Lubānas novads, |
— |
Ludzas novads, |
— |
Madonas novads, |
— |
Mālpils novads, |
— |
Mārupes novads, |
— |
Mazsalacas novads, |
— |
Mērsraga novads, |
— |
Naukšēnu novads, |
— |
Neretas novads, |
— |
Ogres novads, |
— |
Olaines novads, |
— |
Ozolnieku novads, |
— |
Pārgaujas novads, |
— |
Pāvilostas novada Sakas pagasts, Pāvilostas pilsēta, |
— |
Pļaviņu novads, |
— |
Preiļu novads, |
— |
Priekules novads, |
— |
Priekuļu novads, |
— |
Raunas novads, |
— |
republikas pilsēta Daugavpils, |
— |
republikas pilsēta Jelgava, |
— |
republikas pilsēta Jēkabpils, |
— |
republikas pilsēta Jūrmala, |
— |
republikas pilsēta Rēzekne, |
— |
republikas pilsēta Valmiera, |
— |
Rēzeknes novads, |
— |
Riebiņu novads, |
— |
Rojas novads, |
— |
Ropažu novads, |
— |
Rucavas novada Dunikas pagasts, |
— |
Rugāju novads, |
— |
Rundāles novads, |
— |
Rūjienas novads, |
— |
Salacgrīvas novads, |
— |
Salas novads, |
— |
Salaspils novads, |
— |
Saldus novads, |
— |
Saulkrastu novads, |
— |
Sējas novads, |
— |
Siguldas novads, |
— |
Skrīveru novads, |
— |
Skrundas novada Raņķu pagasta daļa uz ziemeļiem no autoceļa V1272 līdz robežai ar Ventas upi, Skrundas pagasta daļa no Skrundas uz ziemeļiem no autoceļa A9 un austrumiem no Ventas upes, |
— |
Smiltenes novads, |
— |
Stopiņu novada daļa, kas atrodas uz austrumiem no autoceļa V36, P4 un P5, Acones ielas, Dauguļupes ielas un Dauguļupītes, |
— |
Strenču novads, |
— |
Talsu novads, |
— |
Tērvetes novads, |
— |
Tukuma novads, |
— |
Vaiņodes novada Vaiņodes pagasts un Embūtes pagasta daļa uz dienvidiem autoceļa P116, P106, |
— |
Valkas novads, |
— |
Varakļānu novads, |
— |
Vārkavas novads, |
— |
Vecpiebalgas novads, |
— |
Vecumnieku novads, |
— |
Ventspils novads, |
— |
Viesītes novads, |
— |
Viļakas novads, |
— |
Viļānu novads, |
— |
Zilupes novads. |
5. Lithuania
The following restricted zones II in Lithuania:
— |
Alytaus miesto savivaldybė, |
— |
Alytaus rajono savivaldybė, |
— |
Anykščių rajono savivaldybė, |
— |
Akmenės rajono savivaldybė, |
— |
Birštono savivaldybė, |
— |
Biržų miesto savivaldybė, |
— |
Biržų rajono savivaldybė, |
— |
Druskininkų savivaldybė, |
— |
Elektrėnų savivaldybė, |
— |
Ignalinos rajono savivaldybė, |
— |
Jonavos rajono savivaldybė, |
— |
Joniškio rajono savivaldybė, |
— |
Jurbarko rajono savivaldybė: Eržvilko, Girdžių, Jurbarko miesto, Jurbarkų, Raudonės, Šimkaičių, Skirsnemunės, Smalininkų, Veliuonos ir Viešvilės seniūnijos, |
— |
Kaišiadorių rajono savivaldybė, |
— |
Kalvarijos savivaldybė, |
— |
Kauno miesto savivaldybė, |
— |
Kauno rajono savivaldybė: Akademijos, Alšėnų, Batniavos, Ežerėlio, Domeikavos, Garliavos, Garliavos apylinkių, Karmėlavos, Kulautuvos, Lapių, Linksmakalnio, Neveronių, Raudondvario, Ringaudų, Rokų, Samylų, Taurakiemio, Vandžiogalos, Užliedžių, Vilkijos, ir Zapyškio seniūnijos, Babtų seniūnijos dalis į rytus nuo kelio A1, ir Vilkijos apylinkių seniūnijos dalis į vakarus nuo kelio Nr. 1907, |
— |
Kazlų rūdos savivaldybė, |
— |
Kelmės rajono savivaldybė, |
— |
Kėdainių rajono savivaldybė: Dotnuvos, Gudžiūnų, Kėdainių miesto, Krakių, Pelėdnagių, Surviliškio, Šėtos, Truskavos, Vilainių ir Josvainių seniūnijos dalis į šiaurę ir rytus nuo kelio Nr. 229 ir Nr. 2032, |
— |
Klaipėdos rajono savivaldybė: Judrėnų, Endriejavo ir Veiviržėnų seniūnijos, |
— |
Kupiškio rajono savivaldybė, |
— |
Kretingos rajono savivaldybė, |
— |
Lazdijų rajono savivaldybė, |
— |
Marijampolės savivaldybė, |
— |
Mažeikių rajono savivaldybė, |
— |
Molėtų rajono savivaldybė, |
— |
Pagėgių savivaldybė, |
— |
Pakruojo rajono savivaldybė, |
— |
Panevėžio rajono savivaldybė, |
— |
Panevėžio miesto savivaldybė, |
— |
Pasvalio rajono savivaldybė, |
— |
Radviliškio rajono savivaldybė, |
— |
Rietavo savivaldybė, |
— |
Prienų rajono savivaldybė, |
— |
Plungės rajono savivaldybė: Žlibinų, Stalgėnų, Nausodžio, Plungės miesto, Šateikių ir Kulių seniūnijos, |
— |
Raseinių rajono savivaldybė: Betygalos, Girkalnio, Kalnujų, Nemakščių, Pagojukų, Paliepių, Raseinių miesto, Raseinių, Šiluvos, Viduklės seniūnijos, |
— |
Rokiškio rajono savivaldybė, |
— |
Skuodo rajono savivaldybės: Aleksandrijos, Ylakių, Lenkimų, Mosėdžio, Skuodo ir Skuodo miesto seniūnijos, |
— |
Šakių rajono savivaldybė, |
— |
Šalčininkų rajono savivaldybė, |
— |
Šiaulių miesto savivaldybė, |
— |
Šiaulių rajono savivaldybė, |
— |
Šilutės rajono savivaldybė, |
— |
Širvintų rajono savivaldybė, |
— |
Šilalės rajono savivaldybė, |
— |
Švenčionių rajono savivaldybė, |
— |
Tauragės rajono savivaldybė, |
— |
Telšių rajono savivaldybė, |
— |
Trakų rajono savivaldybė, |
— |
Ukmergės rajono savivaldybė, |
— |
Utenos rajono savivaldybė, |
— |
Varėnos rajono savivaldybė, |
— |
Vilniaus miesto savivaldybė, |
— |
Vilniaus rajono savivaldybė, |
— |
Vilkaviškio rajono savivaldybė, |
— |
Visagino savivaldybė, |
— |
Zarasų rajono savivaldybė. |
6. Hungary
The following restricted zones II in Hungary:
— |
Békés megye 950150, 950250, 950350, 950450, 950550, 950650, 950660, 950750, 950850, 950860, 951050, 951150, 951250, 951260, 951350, 951450, 951460, 951550, 951650, 951750, 952150, 952250, 952350, 952450, 952550, 952650, 953250, 953260, 953270, 953350, 953450, 953550, 953560, 953950, 954050, 954060, 954150, 956250, 956350, 956450, 956550, 956650 és 956750 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Borsod-Abaúj-Zemplén megye valamennyi vadgazdálkodási egységének teljes területe, |
— |
Fejér megye 403150, 403160, 403260, 404250, 404550, 404560, 405450, 405550, 405650, 406450 és 407050 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Hajdú-Bihar megye valamennyi vadgazdálkodási egységének teljes területe, |
— |
Heves megye valamennyi vadgazdálkodási egységének teljes területe, |
— |
Jász-Nagykun-Szolnok megye 750250, 750550, 750650, 750750, 750850, 750970, 750980, 751050, 751150, 751160, 751250, 751260, 751350, 751360, 751450, 751460, 751470, 751550, 751650, 751750, 751850, 751950, 752150, 752250, 752350, 752450, 752460, 752550, 752560, 752650, 752750, 752850, 752950, 753060, 753070, 753150, 753250, 753310, 753450, 753550, 753650, 753660, 753750, 753850, 753950, 753960, 754050, 754150, 754250, 754360, 754370, 754850, 755550, 755650 és 755750 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Komárom-Esztergom megye: 250350, 250850, 250950, 251450, 251550, 251950, 252050, 252150, 252350, 252450, 252460, 252550, 252650, 252750, 252850, 252860, 252950, 252960, 253050, 253150, 253250, 253350, 253450 és 253550 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Nógrád megye valamennyi vadgazdálkodási egységeinek teljes területe, |
— |
Pest megye 570150, 570250, 570350, 570450, 570550, 570650, 570750, 570850, 570950, 571050, 571150, 571250, 571350, 571650, 571750, 571760, 571850, 571950, 572050, 573550, 573650, 574250, 577250, 580050 és 580150 kódszámú vadgazdálkodási egységeinek teljes területe, |
— |
Szabolcs-Szatmár-Bereg megye valamennyi vadgazdálkodási egységének teljes területe. |
7. Poland
The following restricted zones II in Poland:
w województwie warmińsko-mazurskim:
|
w województwie podlaskim:
|
w województwie mazowieckim:
|
w województwie lubelskim:
|
w województwie podkarpackim:
|
w województwie pomorskim:
|
w województwie świętokrzyskim:
|
w województwie lubuskim:
|
w województwie dolnośląskim:
|
w województwie wielkopolskim:
|
w województwie łódzkim:
|
w województwie zachodniopomorskim:
|
8. Slovakia
The following restricted zones II in Slovakia:
— |
the whole district of Gelnica, |
— |
the whole district of Spišská Nová Ves, |
— |
the whole district of Levoča, |
— |
in the whole district of Michalovce, |
— |
the whole district of Košice-okolie, |
— |
the whole district of Rožnava, |
— |
the whole city of Košice, |
— |
the whole district of Sobrance, |
— |
the whole district of Vranov nad Topľou, |
— |
in the district of Humenné the whole municipalities of Hudcovce, Brekov, Jasenov, Ptičie, Chlmec, Porúbka, Hadžim nad Cirochou, Humenné, Kamenica nad Cirochou, Kamienka, Lieskovec, Modra nad Cirochou, Myslina, Valaškovce, Topoľovka, Závadka, |
— |
the whole district of Prešov, |
— |
in the whole district of Sabinov, |
— |
in the district of Svidník, the whole municipalities of Dukovce, Želmanovce, Kuková, Kalnište, Lužany pri Ondave, Lúčka, Giraltovce, Kračúnovce, Železník, Kobylince, Mičakovce, |
— |
the whole district of Bardejov, |
— |
the whole district of Stará Ľubovňa, |
— |
the whole district of Revúca, |
— |
the whole district of Rimavská Sobota, |
— |
in the district of Veľký Krtíš, the whole municipalities not included in part I |
— |
the whole district of Lučenec, |
— |
the whole district of Poltár |
— |
the whole district of Zvolen, |
— |
the whole district of Detva, |
— |
in the district of Krupina the whole municipalities of Senohrad, Horné Mladonice, Dolné Mladonice, Čekovce, Lackov, |
— |
In the district of Banska Bystica, the whole municipalites of Kremnička, Malachov, Badín, Vlkanová, Hronsek, Horná Mičiná, Dolná Mičiná, Môlča Oravce, Čačín, Čerín, Bečov, Sebedín, Dúbravica, Hrochoť, Poniky, Strelníky, Povrazník, Ľubietová, Brusno, Banská Bystrica, |
— |
the whole district of Brezno. |
PART III
1. Bulgaria
The following restricted zones III in Bulgaria:
— |
the whole region of Gabrovo, |
— |
the whole region of Lovech, |
— |
the whole region of Montana, |
— |
the Pleven region:
|
— |
the Ruse region:
|
— |
the Shumen region:
|
— |
the Silistra region:
|
— |
the Sliven region:
|
— |
the Targovishte region:
|
— |
the Vidin region,
|
— |
the Veliko Tarnovo region:
|
— |
the whole region of Vratza, |
— |
in Varna region:
|
— |
in Burgas region:
|
2. Italy
The following restricted zones III in Italy:
— |
tutto il territorio della Sardegna. |
3. Latvia
The following restricted zones III in Latvia:
— |
Aizputes novada Kalvenes pagasta daļa uz austrumiem no ceļa pie Vārtājas upes līdz autoceļam A9, uz ziemeļiem no autoceļa A9, uz austrumiem no autoceļa V1200, Kazdangas pagasta daļa uz austrumiem no ceļa V1200, P115, P117, V1296, |
— |
Kuldīgas novada, Laidu pagasta daļa uz dienvidiem no autoceļa V1296, |
— |
Skrundas novada Rudbāržu, Nīkrāces pagasts, Raņķu pagasta daļa uz dienvidiem no autoceļa V1272 līdz robežai ar Ventas upi, Skrundas pagasts (izņemot pagasta daļa no Skrundas uz ziemeļiem no autoceļa A9 un austrumiem no Ventas upes), Skrundas pilsēta, |
— |
Vaiņodes novada Embūtes pagasta daļa uz ziemeļiem autoceļa P116, P106. |
4. Lithuania
The following restricted zones III in Lithuania:
— |
Jurbarko rajono savivaldybė: Seredžiaus ir Juodaičių seniūnijos, |
— |
Kauno rajono savivaldybė: Čekiškės seniūnija, Babtų seniūnijos dalis į vakarus nuo kelio A1ir Vilkijos apylinkių seniūnijos dalis į rytus nuo kelio Nr. 1907, |
— |
Kėdainių rajono savivaldybė: Pernaravos seniūnija ir Josvainių seniūnijos pietvakarinė dalis tarp kelio Nr. 229 ir Nr. 2032, |
— |
Plungės rajono savivaldybė: Alsėdžių, Babrungo, Paukštakių, Platelių ir Žemaičių Kalvarijos seniūnijos, |
— |
Raseinių rajono savivaldybė: Ariogalos ir Ariogalos miesto seniūnijos, |
— |
Skuodo rajono savivaldybės: Barstyčių, Notėnų ir Šačių seniūnijos. |
5. Poland
The following restricted zones III in Poland:
w województwie warmińsko-mazurskim:
|
w województwie mazowieckim:
|
w województwie lubelskim:
|
w województwie podkarpackim:
|
w województwie lubuskim:
|
w województwie wielkopolskim:
|
w województwie dolnośląskim:
|
w województwie świętokrzyskim:
|
6. Romania
The following restricted zones III in Romania:
— |
Zona orașului București, |
— |
Județul Constanța, |
— |
Județul Satu Mare, |
— |
Județul Tulcea, |
— |
Județul Bacău, |
— |
Județul Bihor, |
— |
Județul Bistrița Năsăud, |
— |
Județul Brăila, |
— |
Județul Buzău, |
— |
Județul Călărași, |
— |
Județul Dâmbovița, |
— |
Județul Galați, |
— |
Județul Giurgiu, |
— |
Județul Ialomița, |
— |
Județul Ilfov, |
— |
Județul Prahova, |
— |
Județul Sălaj, |
— |
Județul Suceava |
— |
Județul Vaslui, |
— |
Județul Vrancea, |
— |
Județul Teleorman, |
— |
Judeţul Mehedinţi, |
— |
Județul Gorj, |
— |
Județul Argeș, |
— |
Judeţul Olt, |
— |
Judeţul Dolj, |
— |
Județul Arad, |
— |
Județul Timiș, |
— |
Județul Covasna, |
— |
Județul Brașov, |
— |
Județul Botoșani, |
— |
Județul Vâlcea, |
— |
Județul Iași, |
— |
Județul Hunedoara, |
— |
Județul Alba, |
— |
Județul Sibiu, |
— |
Județul Caraș-Severin, |
— |
Județul Neamț, |
— |
Județul Harghita, |
— |
Județul Mureș, |
— |
Județul Cluj, |
— |
Județul Maramureş. |
7. Slovakia
The following restricted zones III in Slovakia:
— |
the whole district of Trebišov. |
DIRECTIVES
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/110 |
COMMISSION DIRECTIVE (EU) 2021/903
of 3 June 2021
amending Directive 2009/48/EC of the European Parliament and of the Council as regards specific limit values for aniline in certain toys
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys (1), and in particular Article 46(2) thereof,
Whereas:
(1) |
Directive 2009/48/EC establishes certain requirements for chemical substances that are classified as carcinogenic, mutagenic or toxic for reproduction under Regulation (EC) No 1272/2008 of the European Parliament and of the Council (2). Appendix C to Annex II to Directive 2009/48/EC lays down specific limit values for chemicals used in toys intended for use by children under 36 months or in other toys intended to be placed in the mouth. |
(2) |
Aniline (CAS number 62-53-3) is classified as carcinogenic category 2 and mutagenic category 2 under Regulation (EC) No 1272/2008 (3). According to point 5(a) of Part III of Annex II to Directive 2009/48/EC, carcinogenic substances of category 2, such as aniline, may be used in toys in individual concentrations equal to or smaller than the relevant concentration established in Regulation (EC) No 1272/2008 for the classification of mixtures containing those substances, namely 1 % (4), which corresponds to 10 000 mg/kg (‘content limit’). The same content limit applies to mutagenic substances of category 2 (5). |
(3) |
The Scientific Committee on Health and Environmental Risks (SCHER) considered, in its opinion of 29 May 2007, that compounds that are carcinogenic, mutagenic or toxic for reproduction (CMR) should not be present in toys (6). The European Union Risk Assessment Report on aniline (7) concluded that for consumers there is a need for limiting the health risks associated with the use of products containing aniline. That conclusion was based on ‘concerns for mutagenicity and carcinogenicity as a consequence of exposure arising from use of products containing the substance, as aniline is identified as a non-threshold carcinogen.’ The Committee for Risk Assessment of the European Chemicals Agency (RAC) indicated, in its opinion on restriction of substances in tattoo inks and permanent make-up (8), that aniline is considered a non-threshold carcinogen. Aniline may therefore cause cancer at even the slightest level of exposure. |
(4) |
In order to advise the Commission in the preparation of legislative proposals and policy initiatives in the area of toy safety, the Commission has established the Expert Group on Toys Safety. The mission of its subgroup Working group on Chemicals in Toys (subgroup Chemicals) is to provide advice to the Expert Group on Toys Safety with regard to chemical substances which may be used in toys. |
(5) |
During the meeting of the subgroup Chemicals on 18 February 2015 (9), several of its members indicated that aniline could be found in coloured toy material such as textiles or leather when that material is subjected to the reductive cleavage test provided for in Appendix 10 to Regulation (EC) No 1907/2006 of the European Parliament and of the Council (10). The occurrence of aniline in textiles after reductive cleavage testing was confirmed in a study carried out in Sweden (11) as a follow-up to the meeting of the Expert Group on Toys Safety on 8 June 2015. Out of 23 textile samples, aniline was identified in one red textile (4 % of all samples) at 91 mg/kg. The occurrence of aniline in clothing after reductive cleavage testing was confirmed in a study with 153 samples (12). Aniline was identified in 9 samples (6 % of all samples) at up to 588 mg/kg. Moreover, aniline has been found in a finger paint after reductive cleavage according to a German consumer magazine (13). The subgroup Chemicals also noted, by written correspondence to the Commission in May 2020, that free aniline could be present in finger paints as an impurity of the colourants in such paints. |
(6) |
At the meeting of the Expert Group on Toys Safety on 8 June 2015, Germany presented a position paper providing a scientific assessment of the toxicological properties of aniline (14). According to that assessment, the existing content limit for aniline presents a risk for both the systemic and the cancer effects of that substance. The subgroup Chemicals concluded, at its meeting on 26 September 2017 (15), that a restriction for aniline in toys should target toys and toy components of textile and leather, and finger paints, since too little information was available so far on the need for an aniline restriction in toys or toy materials other than textile, leather and finger paints. The subgroup also indicated that the limit value should be 30 mg/kg after reductive cleavage. That value is the lowest concentration that the reductive cleavage test can reliably identify. As regards finger paints, the subgroup indicated that a limit of 10 mg/kg for free aniline should be set since that is the lowest concentration that can reliably be checked in routine tests of finger paints. |
(7) |
The Expert Group on Toys Safety, at its meeting on 19 December 2017 (16), examined the setting of limit values of 30 mg/kg for aniline after reductive cleavage in toy materials of textile and leather; of 30 mg/kg for aniline after reductive cleavage in finger paints; and of 10 mg/kg for free aniline in finger paints, as indicated earlier by the subgroup Chemicals. |
(8) |
Pursuant to Article 46(2) of Directive 2009/48/EC, the packaging requirements for food laid down in Regulation (EC) No 1935/2004 of the European Parliament and of the Council (17) are to be taken into account when adopting specific limit values for chemicals in Appendix C to that Directive. The basic assumptions behind the migration test methods referred to in Article 11(4) of Commission Regulation (EU) No 10/2011 (18), which is a specific measure within the meaning of Article 5 of Regulation (EC) No 1935/2004 and which establishes specific requirements for the manufacture and marketing of plastic materials and articles intended to come into contact with food, are however different from the basic assumptions behind the content limits for aniline in certain toys in Directive 2009/48/EC. In addition, it is impossible to compare migration limits with content limits. Therefore, further to these conclusions there is no way to take account of the packaging requirements for food when setting content limits for aniline in certain toys. |
(9) |
In light of the classification of aniline as a CMR substance, the European Union Risk Assessment Report on aniline, the opinion of RAC and SCHER and the opinions of the Expert Group in Toys Safety and its subgroup Chemicals as well as the studies on the presence of aniline in textiles, it is necessary to set a limit for aniline in textile toy material and leather toy material of 30 mg/kg after reductive cleavage and a limit for aniline in finger paints of 10 mg/kg as free aniline and 30 mg/kg after reductive cleavage. |
(10) |
Directive 2009/48/EC should therefore be amended accordingly. |
(11) |
The measures provided for in this Directive are in accordance with the opinion of the Toy Safety Committee, |
HAS ADOPTED THIS DIRECTIVE:
Article 1
In Appendix C to Annex II to Directive 2009/48/EC, the following entry is added:
Substance |
CAS No |
Limit value |
||||||
‘Aniline |
62-53-3 |
|
Article 2
1. Member States shall adopt and publish, by 4 December 2022 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions.
They shall apply those provisions from 5 December 2022.
When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.
2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Article 3
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Article 4
This Directive is addressed to the Member States.
Done at Brussels, 3 June 2021.
For the Commission
The President
Ursula VON DER LEYEN
(1) OJ L 170, 30.6.2009, p. 1.
(2) Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 (OJ L 353, 31.12.2008, p. 1).
(3) Table 3 in Annex VI to Regulation (EC) No 1272/2008.
(4) Table 3.6.2 in Annex I to Regulation (EC) No 1272/2008.
(5) Table 3.5.2 in Annex I to Regulation (EC) No 1272/2008.
(6) Scientific Committee on Health and Environmental Risks (SCHER). CEN’s response to the opinion of the CSTEE on the assessment of CEN report on the risk assessment of organic chemicals in toys. Adopted on 29.5.2007.
http://ec.europa.eu/health/archive/ph_risk/committees/04_scher/docs/scher_o_056.pdf
(7) European Chemicals Bureau, Institute for Health and Consumer Protection, 2004. EUR 21092 EN. Section 5.2.1.2, p. 180.
https://echa.europa.eu/documents/10162/6434698/orats_final_rar_aniline_en.pdf/0abd36ad-53de-4b0f-b258-10cf90f90493
(8) Committee for Risk Assessment (RAC), Committee for Socioeconomic Analysis (SEAC), Opinion on an Annex XV dossier proposing restriction on substances used in tattoo inks and permanent make-up. Adopted on 20 November 2018. Appendix 2, section 2, p. 90.
https://echa.europa.eu/documents/10162/2b4533af-f717-4bff-939b-2320fb43b462
(9) See Register of Commission Expert Groups, Expert Group on Toys Safety (E01360).
https://ec.europa.eu/transparency/regexpert/index.cfm?do=groupDetail.groupDetailDoc&id=20916&no=1
(10) Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p. 1).
(11) Meeting document of the subgroup Chemicals: EXP/WG/2015/027/Ann1, Aniline from azodye cleavage, Results from Sweden.
(12) Brüschweiler et al., Identification of non-regulated aromatic amines of toxicological concern which can be cleaved from azo dyes used in clothing textiles, Regulatory Toxicology and Pharmacology 69 (2014) 263–272. Cited in: ANEC – Position paper on aniline. April 2016. Presented to the subgroup ‘Chemicals’ meeting on 1 June 2016 (EXP/WG/2016/027).
(13) Ökotest 2/2015, p. 69.
(14) Discussion paper EXP/2015/029/rev1.
(15) Register of Commission Expert Groups, Expert Group on Toys Safety (E01360).
http://ec.europa.eu/transparency/regexpert/index.cfm?do=groupDetail.groupMeeting&meetingId=4151.
(16) Register of Commission Expert Groups, Expert Group on Toys Safety (E01360), tab ‘Meetings’.
http://ec.europa.eu/transparency/regexpert/index.cfm?do=groupDetail.groupMeeting&meetingId=1485.
(17) Regulation (EC) No 1935/2004 of the European Parliament and of the Council of 27 October 2004 on materials and articles intended to come into contact with food and repealing Directives 80/590/EEC and 89/109/EEC (OJ L 338, 13.11.2004, p. 4).
(18) Commission Regulation (EU) No 10/2011 of 14 January 2011 on plastic materials and articles intended to come into contact with food (OJ L 12, 15.1.2011, p. 1).
DECISIONS
4.6.2021 |
EN |
Official Journal of the European Union |
L 197/114 |
COUNCIL DECISION (CFSP) 2021/904
of 3 June 2021
amending Joint Action 2008/124/CFSP
on the European Union Rule of Law Mission in Kosovo (*) (EULEX KOSOVO)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Articles 42(4) and 43(2) thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
(1) |
On 4 February 2008, the Council adopted Joint Action 2008/124/CFSP (1). |
(2) |
On 11 June 2020, the Council adopted Decision (CFSP) 2020/792 (2), amending Joint Action 2008/124/CFSP and extending the Mission until 14 June 2021. |
(3) |
In the context of the Strategic Review of EULEX KOSOVO, the Political and Security Committee (PSC) agreed that the Mission should be extended until 14 June 2023 and that the task of providing operational support to the EU-facilitated dialogue should be transferred to the European Union Office in Kosovo by 31 December 2022. |
(4) |
Nothing in this Decision should be understood as prejudicing the independence and the autonomy of the judges and prosecutors active in judicial proceedings in the context of EULEX KOSOVO. |
(5) |
Due to the special character of the activities of EULEX KOSOVO in support of the relocated judicial proceedings within a Member State, it is appropriate to identify in this Decision the amount envisaged to cover the support to those relocated judicial proceedings and to provide for the implementation of that part of the budget through a grant. |
(6) |
Joint Action 2008/124/CFSP should be amended accordingly. |
(7) |
EULEX KOSOVO will be conducted in the context of a situation which may deteriorate and could impede the achievement of the objectives of the Union’s external action as set out in Article 21 of the Treaty, |
HAS ADOPTED THIS DECISION:
Article 1
Joint Action 2008/124/CFSP is hereby amended as follows:
(1) |
in Article 3, the following sentence is added: ‘The task of providing operational support to the EU-facilitated Dialogue shall be transferred to the European Union Office in Kosovo by 31 December 2022.’; |
(2) |
Article 16 is amended as follows:
|
(3) |
in Article 20, second paragraph, the first sentence is replaced by the following: ‘It shall expire on 14 June 2023.’. |
Article 2
This Decision shall enter into force on the date of its adoption.
Done at Luxembourg, 3 June 2021.
For the Council
The President
P. N. SANTOS
(*) This designation is without prejudice to positions on status, and is in line with UNSCR 1244 (1999) and the ICJ Opinion on the Kosovo declaration of independence.
(1) Council Joint Action 2008/124/CFSP of 4 February 2008 on the European Union Rule of Law Mission in Kosovo, EULEX KOSOVO (OJ L 42, 16.2.2008, p. 92).
(2) Council Decision (CFSP) 2020/792 of 11 June 2020 amending Joint Action 2008/124/CFSP on the European Union Rule of Law Mission in Kosovo (EULEX KOSOVO) (OJ L 193, 17.6.2020, p. 9).