(a)

the corporate name of the third party and its legal form;

(b)

the third party's Legal Entity Identifier (LEI) or, where not available, another identifier required by the applicable national law;

(c)

the third party's legal address as well as the addresses of any of its offices within the Union;

(d)

the Uniform Resource Locator (URL) of the third party's website;

(e)

an excerpt from a relevant commercial or court register, or another form of certified evidence, valid at the date of application, confirming the place of incorporation and the scope of business activity of the third party;

(f)

the articles of incorporation of the third party, or other statutory documentation, stating that the third party is to assess the compliance of securitisations against the criteria provided for in Articles 19 to 22 or Articles 23 to 26 of Regulation (EU) 2017/2402 (‘STS compliance’);

(g)

the most recent annual financial statements of the third party, including individual and consolidated financial statements, where available, and where the financial statements of the third party are subject to a statutory audit as defined in Article 2(1) of Directive 2006/43/EC of the European Parliament and of the Council (4), the audit report on these financial statements;

(h)

the name, title, address, email address and the telephone number(s) of the contact person for the purposes of the application;

(i)

the list of Member States in which the third party intends to provide STS compliance services;

(j)

the list of types of securitisation for which the third party intends to provide STS compliance services, distinguishing between non ABCP securitisations and ABCP securitisations/programmes;

(k)

a description of any services, other than providing STS compliance services, that the third party provides or intends to provide;

(l)

a list of parties to whom the third party provides advisory, audit or equivalent services.

(a)

a list containing the name and business address of each person or entity that holds 10 % or more of the third party's capital or 10 % or more of its voting rights, or the holding of which makes it possible to exercise a significant influence over the third party, together with:

(b)

a list containing the name and business address of any entity in which a person or entity referred to in point (a) holds 20 % or more of the capital or voting rights and a description of that entity's activities.

(c)

a completed copy of the table set out in Annex 1.

(a)

a copy of each member's curriculum vitae, including:

(b)

details of any criminal convictions, in particular in the form of an official criminal record certificate;

(c)

a declaration signed by the member, stating whether he or she:

(d)

a signed declaration of any potential conflict of interest that the member may have in performing his or her duties and how those conflicts will be managed, including an inventory of any positions held in other undertakings;

(e)

where not already included in point (a), a description of the member's knowledge of and experience in the tasks relevant for the third party's provision of STS compliance services, and in particular, knowledge of and experience in different types of securitisation or securitisations of different underlying exposures.

(a)

evidence of the director's independence within the management body;

(b)

disclosures of any past or present business, employment or other relationship that creates or might create a potential conflict of interest;

(c)

disclosures of any business, family or other relationship with the third party, its controlling shareholder or the management of either, that creates or might create a conflict of interest.

(a)

a description of any actual or potential conflicts of interest involving the third party, shareholders, owners or members of the third party, members of the management body, managers, staff of the third party or any other natural person whose services are placed at the disposal or under the control of the third party;

(b)

a description of any actual or potential conflicts of interest arising from existing or envisaged business relationships of the third party, including any existing or envisaged outsourcing arrangements or from the third party's other activities.

(a)

revenue from other non-STS related services provided by the third party, disaggregated into the revenue from non-securitisation-related services and the revenue from securitisation-related services, over each of the three annual reporting periods preceding the date of submission of the application, or where not available, since the incorporation of the third party;

(b)

the projected proportion of revenue from STS compliance services compared with the total projected revenue for the forthcoming three years' reference period.

(a)

information identifying any undertaking, or any group of economically connected undertakings, that provided more than 10 % of the third party's total revenue over each of the three annual reporting periods preceding the date of the submission of the application, or, where not available, since the incorporation of the third party;

(b)

a statement whether an undertaking, or a group of economically connected undertakings, is projected to provide at least 10 % of the third party's projected revenue from the provision of STS compliance services over each of the next three years.

(a)

pricing criteria and a fee structure or a fee schedule for the STS compliance services for each type of securitisation for which such services are offered (distinguishing non ABCP securitisations from ABCP securitisations and programmes), including any internal guidelines or procedures governing how the pricing criteria are used in order to determine or set individual fees;

(b)

details of the methods used to record any specific costs incurred when providing STS compliance services, including additional incidental expenses related to the provision of STS compliance services, including transport and accommodation, and, where the third party intends to outsource parts of its provision of STS compliance services, a description as to how that outsourcing is to be taken into account in the pricing criteria;

(c)

a detailed description of any established procedures for the modification of fees or for departing from the fee schedule, including under any frequent use programme;

(d)

a detailed description of any established procedures or internal controls which ensure and monitor compliance with the pricing policies, including any procedures or internal controls which monitor the development of individual fees over time and across different customers to which STS compliance services are provided;

(e)

a detailed description of any processes for reviewing and updating both the costing system and pricing policies;

(f)

a detailed description of any procedures and internal controls for maintaining records relating to fee schedules, individual fees applied, or modifications to the third party's pricing policies.

(a)

whether the fees are set in advance of the provision of the STS compliance service;

(b)

whether prepaid fees are non-refundable;

(c)

any operational safeguards aimed at ensuring that contractual agreements between the third party and an originator, sponsor or SSPE for the provision of STS compliance services do not include a contractual termination clause or provide for breach of the contract or non-performance of the contract where the result of the STS compliance assessment demonstrates that the securitisation does not comply with the STS criteria.

(a)

the number of staff, calculated on a full-time equivalent basis, disaggregated into types of positions within the third party;

(b)

details on the policies and procedures established by the third party regarding:

(c)

a description of any measures established by the third party to mitigate the risk of over-reliance on any individual staff members for providing STS compliance services;

(d)

the following information where the third party relies, in any STS assessment, on outsourcing or external experts:

(e)

a description of any measures to be used in the event of a breach of any of the policies or procedures referred to in point (b) of paragraph 2 and point (i) of point (d) of paragraph 2;

(f)

a description of any policies on the reporting to the competent authority of any material breach of the policies or procedures referred to in point (b) of paragraph 2 and point (i) of point (d) of paragraph 2 or any other fact, event or circumstance which is likely to amount to a breach of the conditions of the authorisation of the third party;

(g)

a description of any arrangements established to ensure that the relevant persons are aware of the policies and procedures referred to in point (b) of paragraphs 2 and point (i) of point (d) of paragraph 2, and a description of any arrangement relating to the monitoring, review and updating of those policies and procedures.

(a)

a description of the STS assessment methodology to be applied, including any procedures and methodology for the quality assurance of that assessment;

(b)

a template of the STS verification report to be provided to the originator, sponsor or the SSPE.

(a)

the submitted information is accurate and complete to the best of his or her knowledge, as of the date of the submission of the application;

(b)

the applicant is neither a regulated entity as defined in point (4) of Article 2 of Directive 2002/87/EC (5), nor a credit rating agency as defined in point (b) of Article 3(1) of Regulation (EC) No 1060/2009. (6)