ANNEX III
Table 1
Data to be provided to ESMA for fees received for subscription or investor-pays based rating services
This is to be provided on a per client basis for:
|
(i) |
the top 100 Clients in revenue terms for this type of credit rating service; |
|
(ii) |
as well as all other Clients who are subscribers or pay for ratings as an investor and are also rated by the credit rating agency group. |
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No. |
Field name |
Description |
Type |
Standard |
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1 |
CRA identifier |
Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration. |
Mandatory. |
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2 |
Client identifier |
Code used internally by the system to identify the client who is paying, being invoiced or otherwise negotiating rates with the credit rating agency to receive the credit rating service. |
Mandatory. |
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3 |
Fees per client |
Total fees billed from the Client for subscription based rating services provided in prior calendar year. |
Mandatory. |
Amount in EUR |
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|
4 |
Identification of pricing policy |
Identification of the pricing policy under which the CRA charged its Client. The pricing policy identifier must match with the identifier set out in the applicable pricing policy set out under Table 1 of Annex I to this RTS. |
Mandatory. If applicable. |
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’ |
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|
5 |
Identification of fee schedule |
Identification of the three main fee schedules under which the CRA charged its Client. The fee schedule identifier must match with the identifier set out in the applicable fee schedule part of the pricing policy set out under Table 3 of Annex I to this RTS. |
Mandatory. If applicable. |
Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’ |
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6 |
Identification of fee programme |
Identification of the three main fee programmes under which the CRA charged its Client. The fee programme identifier must match with the identifier set out in the applicable fee programme part of the pricing policy set out under Table 4 of Annex I to this RTS. |
Mandatory. If applicable. |
Fee programme identifier in format ‘FP_[internal fee programme identifier]’ |
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7 |
Issuer or rated entity |
Indication of whether the Client is also an issuer, rated entity, or otherwise a Client under Table 2 of Annex II. |
Mandatory. |
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8 |
Top client indication |
Indication of whether the Client was one of top 100 subscription clients in revenue terms in the prior calendar year. |
Mandatory. |
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|
9 |
Fees received for ancillary services |
Total fees billed by the CRA group of companies from the client for ancillary services in the prior calendar year. |
Mandatory. |
Amount in EUR |