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Field

Sub-fields

1a

Reporting period

The reporting start date for the calendar year

(YYYY-MM-DD)

1b

The reporting end date for the calendar year

(YYYY-MM-DD)

2a

Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, and of the authorities of the third country responsible for the supervision of the third-country firm

Full corporate name of the branch and the Legal Entity Identifier code (LEI)

2b

Address of the branch

(to be provided in case of any change to the information previously reported to the competent authority)

2c

Contact details of the branch including email address, phone number and website details

2d

Full legal name of the third-country firm and, where available, the Legal Entity Identifier (LEI)

(to be provided in case of any change to the information previously reported to the competent authority)

2e

Registered address for the head office of the third-country firm

(to be provided in case of any change to the information previously reported to the competent authority)

2f

Contact details of the third-country firm including email address, phone number, and website details

2g

Country of the head office of the third-country firm

(to be provided in case of any change to the information previously reported to the competent authority)

2h

Name, address and country of the authority responsible for the supervision of the third-country firm in the third country. When more than one authority is responsible for the supervision of the third-country firm, the details and the respective areas of competence per authority shall be provided

(to be provided in case of any change to the information previously reported to the competent authority)

2i

Contact person full name

2j

Contact person address

2k

Contact person phone number

2l

Contact person email address

2m

Contact person function/title

3a

Investment services, investment activities and ancillary services provided by the branch in the Member State where the branch is established, during the reporting period

The list of investment services, investment activities and ancillary services (as specified in Sections A and B of Annex I to Directive 2014/65/EU) provided by the branch in the Member State where it is established

3b

The list of categories of financial instruments (as specified in Section C of Annex I to Directive 2014/65/EU) in relation to which such services and activities have been performed

3c

Where the branch provides portfolio management, the total value of the assets under management for clients in the Member State where the branch is established at the end of the reporting period

3d

Where the branch provides portfolio management, the average value of the assets under management for clients in the Member State where the branch is established over the reporting period

3e

Where the branch provides investment advice, the total value of the assets in relation to which investment advice has been provided to clients in the Member State where the branch is established at the end of the reporting period

3f

Where the branch provides investment advice, the average value of the assets in relation to which investment advice has been provided to clients in the Member State where the branch is established during the reporting period

3g

Where the branch provides the ancillary service of safekeeping and administration on financial instruments for the account of clients or is holding client funds, the total value of the assets (including cash) held by the branch for clients in the Member State where the branch is established at the end of the reporting period

3h

Where the branch provides the ancillary service of safekeeping and administration on financial instruments for the account of clients or is holding client funds, the average value of the assets (including cash) held by the branch for clients in the Member State where the branch is established during the reporting period

4a

Number of clients and counterparties and number of staff of the branch in the Member State where the branch is established, during the reporting period

The total number of clients and counterparties of the branch in the Member State where it is established

4b

The breakdown of the total number of clients and counterparties of the branch in the Member State where it is established per investment service, investment activity or ancillary service provided in that Member State

4c

The numbers of retail clients, professional clients and eligible counterparties (as set out in Directive 2014/65/EU) to whom the branch is providing investment services, investment activities or ancillary services in the Member State where it is established.

4d

The breakdown of the number of staff of the branch in the Member State where it is established per investment service, investment activity or ancillary service provided in the Member State.

5a

Turnover and aggregated value of the assets of the branch in the Member State where the branch is established, during the reporting period

The turnover generated by the branch and the aggregated value of the assets corresponding to the investment services, investment activities and ancillary services provided in the Member State where the branch is established

5b

The breakdown of the turnover of the branch in the Member State where it is established per investment service, investment activity and ancillary service provided in that Member State

5c

The breakdown of the turnover of the branch in the Member State where it is established per category of client as set out in Directive 2014/65/EU

6

Where the branch deals on own account, information on the exposure of the third-country firm during the reporting period to counterparties in the Member State where the branch is established

The monthly minimum, average and maximum exposure to counterparties in the Member State where the branch is established

7

Where the branch underwrites financial instruments and/or places financial instruments on a firm commitment basis, information about the value of the financial instruments originating from counterparties in the Member State where the branch is established and is underwritten or placed on a firm commitment basis, during the reporting period

The total value and number of financial instruments originating from counterparties in the Member State where the branch is established and underwritten or placed on a firm commitment basis by the branch

8a

Composition of the management body of the third-country firm

The list of members of the management body of the third-country firm

8b

For each member of the management body, the member’s full name, country of domicile and contact details

8c

The position at which each member of the management body is appointed

9a

Key function holders for the activities of the branch

The list of key function holders for the activities of the branch

9b

For each key function holder, the person’s full name, country of domicile and contact details

9c

The position at which each key function holder is appointed

9d

The reporting lines between the key function holders and the third-country firm’s management body

10

Information about complaints received by the branch or by the third-country firm in relation to the activities of the branch in the Member State where the branch is established and during the reporting period

The number of complaints received by the branch or by the third-country firm in relation to the activities of the branch in the Member State where it is established, together with:

11a

Description of the marketing activities of the branch or of the third-country firm in relation to the activities of the branch in the Member State where the branch is established and during the reporting period

A description of the marketing strategy of the branch or of the third-country firm used in the Member State where the branch is established in relation to the activities of the branch, including details about its geographical scope and the marketing means the third-country firm used (such as any agents, roadshows, telephone calls, websites)

11b

The list of trading names used by the branch of the third-country firm in the Member State where the branch is established, together with, for each trading name:

11c

For any agents or similar entities used by the branch of the third-country firm in that Member State, the name of the individual or entity together with the address and contact details

11d

The list of websites used by the branch in the Member State where the branch is established, together with, for each website, its URL

12a

Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Member State where the branch is established, including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f), of Directive 2014/65/EU

(to be provided in case of any change to the information previously reported to the competent authority)

Information and reporting to clients

Description of the arrangements set up by the third-country firm as regards its information and reporting obligations to clients and implementing measures for the operations of the branch in the Member State where it is established

12b

The language(s) the branch will use with its clients in the Member State where the branch is established

12c

Suitability and appropriateness

Description of the arrangements of the third-country firm to assess suitability or appropriateness, as the case may be, when the branch provides services to clients in the Member State where it is established

12d

Best execution

Where the branch executes orders for its clients in the Member State where it is established, description of the arrangements set up to execute client orders on terms most favourable to the clients

12e

Client order handling rules

Where the branch handles client orders, description of the arrangements set up by the branch for the prompt, fair and expeditious execution of client orders with a focus on the operations of the branch in the Member State where the branch is established

12f

Product governance arrangements

Where the third-country firm manufactures and/or distributes, via its branch, financial instruments, description of the product governance arrangements set up by the third-country firm for the operations of the branch in the Member State where the branch is established

12g

The arrangements of the third-country firm to identify, prevent and manage conflicts of interest

Description of the measures set up by the third-country firm, acting through its branch, to identify and to prevent or manage conflicts of interest that arise in the course of providing investment and ancillary services, including those arising from the remuneration policy of the persons involved in the provision of investment services, investment activities and ancillary services provided in the Member State where the branch is established

12h

The arrangements of the third-country firm to handle complaints

Description of the procedure set up by the third-country firm acting through its branch, and to be followed by clients of the branch for lodging a complaint

12i

The department responsible for handling the complaints of clients of the branch

12j

The language(s) clients must lodge their complaints

12k

The relevant courts (in case of litigation) referred to in any contractual arrangements between the third-country firm acting through its branch and its clients in the Member State where the branch is established

12l

The alternative dispute resolution entity/ies competent to deal with disputes involving clients in the Member State where the branch is established and the third-country firm

12m

The third-country firm’s membership of an investor compensation scheme

The description of the third-country firm’s membership of an investor compensation scheme including whether clients and counterparties of the branch will be eligible to such scheme, its scope, a description of the eligibility conditions and the amounts and financial instruments covered by the scheme

12n

The arrangements of the third-country firm to protect and manage client funds and assets

The description of any client fund or client asset safeguarding arrangements (in particular, where financial instruments and funds are held in a custodian, the name of the custodian, and related contracts) put in place in the Member State where the branch is established

12o

Other arrangements

The description of any other arrangements that the third-country firm may deem relevant to the provision of services and performance of the activities of the branch in the Member State where the branch is established in an honest, fair and professional manner that promotes the interests of clients

13a

Information on the outsourcing arrangements of the third-country firm applicable to the operations of the branch

(to be provided in case of any change to the information previously reported to the competent authority)

The list and description of the outsourced functions (or those intended to be outsourced)

13b

The description of the resources (in particular, human and technical, and the internal control system) allocated to the control of the outsourced functions, services or activities insofar as they are related to the operations of the branch in the Member State where it is established

14

Information on the arrangements (including IT arrangements) set up by the third-country firm applicable to the activities of the branch for algorithmic trading, for high frequency trading and for direct electronic access

(to be provided in case of any change to the information previously reported to the competent authority)

Description of any arrangements and resources (in particular human and IT resources) that the third-country firm may have put in place and/or allocated for the activities of its branch in the Member State where the branch is established for algorithmic trading, high frequency trading and direct electronic access and for the control of such activities

15a

Information on the activities of the compliance function (or equivalent)

Regulatory changes

Description of the management and implementation of material changes and developments in regulatory requirements during the reporting period which impact the investor protection arrangements for the activities of the branch of the third-country firm

15b

Findings

The number of controls performed on-site and outsourced and a summary of major findings of the compliance function on the operations of the third-country firm insofar as they are relevant to the operations of the branch

15c

Actions taken or to be taken (including following complaints or deviation from compliance function’s recommendations addressed to senior management) to address identified failures or risks of failures by the third-country firm insofar as they relate to the operations of the branch

15d

Other

Any other information that the branch may find relevant to mention

16a

Information on the activities of the internal audit function (or equivalent)

Findings

A summary of major findings of the internal audit function on the operations of the third-country firm insofar as they are relevant to the operations of the branch

16b

Actions taken or to be taken globally (including timeline and organisational units of the third-country firm involved) to address identified failures or risks of failures by the third-country firm insofar as they relate to the operations of the branch

17a

Information on the activities of the risk management function (or equivalent) and the risk management policy of the third-country firm

Risk management policy

A summary of the risk management policy of the third-country firm insofar as it relates to the operations of the branch and the arrangements applied by the branch for the services and activities carried out by the branch

(to be provided in case of any change to the information previously reported to the competent authority)

17b

Findings

A summary of major findings of the risk management function on the operations of the third-country firm globally and actions taken or to be taken to address those findings

18

Any other information that the branch of a third-country firm may find relevant to communicate to the competent authority of the Member State where it is established.