Article 3
Group resolution reporting – resolution groups
1. A Union parent undertaking shall submit to the group-level resolution authority the information specified in templates Z 01.01, Z 01.02 and Z 08.01 to Z 09.04 set out in Annex I in relation to all group entities.
2. A Union parent undertaking shall submit to the group-level resolution authority the information on financial interconnections between all group entities, as specified in template Z 04.00 set out in Annex I.
3. A Union parent undertaking shall submit to the group-level resolution authority the information specified in templates Z 02.00 set out in Annex I as follows:
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(a) |
on an individual basis for all the group’s resolution entities, including the Union parent undertaking, and for all the relevant legal entities that are institutions; |
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(b) |
on a consolidated basis or, where applicable, on sub-consolidated basis, for all the group’s resolution entities, including the Union parent undertaking, and for all the relevant legal entities for which the resolution authority has determined a requirement as referred to in Article 45(1) of Directive 2014/59/EU on a consolidated or sub-consolidated basis, regardless of whether those entities are subject to Part One, Title II, Chapter 2, of Regulation (EU) No 575/2013. |
4. A Union parent undertaking shall submit to the group-level resolution authority the information specified in templates Z 03.01 or Z 03.02 set out in Annex I as follows:
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(a) |
on an individual basis, for all the group’s resolution entities, including the Union parent undertaking, and for all the relevant legal entities that are institutions for which the resolution authority has determined a requirement as referred to in Article 45(1) of Directive 2014/59/EU; |
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(b) |
on a consolidated or sub-consolidated basis, for all the group’s resolution entities, including the Union parent undertaking, and for all relevant legal entities that are institutions for which the resolution authority has determined a requirement as referred to in Article 45(1) of Directive 2014/59/EU regardless of whether those entities are subject to Part One, Title II, Chapter 2, of Regulation (EU) No 575/2013. |
5. A Union parent undertaking shall submit to the group-level resolution authority the information referred to in templates Z 07.01.1, Z 07.01.2, Z 07.01.3, Z 07.01.4 and Z 07.01.5 set out in Annex I at the level of each Member State in which the group operates.
6. A Union parent undertaking shall submit to the group-level resolution authority the information referred to in templates Z 07.02, Z 07.03 and Z 07.04 set out in Annex I in relation to the critical functions and core business lines provided by any group entity.
7. A Union parent undertaking shall submit to the group-level resolution authority, on an individual basis, the information specified in templates Z 05.01, Z 05.02, Z 06.00, Z 07.01.1 to Z 07.01.5, Z 07.04 and Z 11.00 to Z 17.00 set out in Annex I for all the group’s resolution entities, including the Union parent undertaking.
8. The Union parent undertaking shall submit to the group-level resolution authority, on an individual basis, the information specified in templates Z 05.01, Z 05.02, Z 06.00, Z 07.01.1 to Z 07.01.5 and Z 07.04 set out in Annex I for all the relevant legal entities that are institutions.
9. Paragraph 2, paragraph 3, point (a), and paragraphs 4, 5 and 6 of this Article shall apply notwithstanding any derogation from the application of prudential requirements granted in accordance with Article 7(1) or (3) of Regulation (EU) No 575/2013 or Article 8 of Regulation (EU) 2019/2033 of the European Parliament and of the Council (7) or any waiver of the application of the minimum requirement for own funds and eligible liabilities granted in accordance with Article 45f of Directive 2014/59/EU.
(7) Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014 (OJ L 314, 5.12.2019, p. 1, ELI: http://data.europa.eu/eli/reg/2019/2033/oj).