Items of information

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Date of application

Corporate name of the legal entity

Registered address

Name of the person assuming the responsibility for the application

Contact details of the person assuming the responsibility for the application

Name of other person(s) responsible for the compliance of the third-country CSD with Regulation (EU) No 909/2014

Contact details of the person(s) responsible for the compliance of the third-country CSD with Regulation (EU) No 909/2014

Identities of the shareholders or members that hold participations in the capital of the third-country CSD

Identification of the group structure, including any subsidiary and parent company of the third-country CSD

List of the Member States in which the third-country CSD intends to provide services

Information regarding core services listed in Section A of the Annex to Regulation (EU) No 909/2014 that the third-country CSD intends to provide in the Union per Member State

Information regarding ancillary services listed in Section B of the Annex to Regulation (EU) No 909/2014 that the third-country CSD intends to provide in the Union per Member State

Information regarding any other services permitted under, but not explicitly listed in Section B of the Annex to Regulation (EU) No 909/2014 that the third-country CSD intends to provide in the Union per Member State

Currency or currencies that the third-country CSD processes or intends to process

Statistical data regarding the services that the third-country CSD intends to provide in the Union per Member State

Assessment of the measures that the third-country CSD intends to take to allow its users to comply with any specific national laws of the Member State(s) in which the third-country CSD intends to provide its services

Where the third country CSD intends to provide the core services referred to in points (1) and (2) of Section A of the Annex to Regulation (EU) No 909/2014, a description of the measures that the third-country CSD intends to take to allow its users to comply with the relevant law of the Member State in which the third-country CSD intends to provide such services as referred to in point (d) of Article 25(4) of Regulation (EU) No 909/2014.

Rules and procedures that facilitate the settlement of transactions in financial instruments on the intended settlement date

Third-country CSD's financial resources, form and methods in which they are maintained and arrangements to secure them

Evidence that rules and procedures of the third-country CSD are fully compliant with the requirements applicable in the third country where it is established, including the rules concerning prudential, organisational, business continuity, disaster recovery and conduct of business aspects

Details of any outsourcing arrangements

Rules governing the finality of transfers of securities and cash

Information regarding the participation in the securities settlement system operated by the third-country CSD, including the criteria for participation and the procedures for the suspension and orderly exit of participants that no longer meet its criteria

Rules and procedures for ensuring the integrity of the securities issues

Information on mechanisms established to ensure the protection of participants' and their clients' securities

Information on third-country CSD links and links with other market infrastructures and on how the related risks are monitored and managed

Information on rules and procedures put in place to manage the default of a participant

Recovery plan

Investment policy of the third-country CSD

Information on procedures ensuring the timely and orderly settlement and transfer of the assets of clients and participants to another CSD in case of the CSD's default

Information on all pending judicial or extrajudicial proceedings, including administrative, civil or arbitration proceedings, which may cause significant financial and other costs to the third-country CSD

Information on any final decisions resulting from the proceedings referred to above

Information regarding the handling of conflicts of interest by the third-country CSD

Information to be published on the ESMA website in accordance with Article 21(3) of Regulation (EU) No 909/2014, as regards Article 25 of that Regulation