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No
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Ancillary services under Regulation (EU) No 909/2014
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Types of records
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A. CSD's non-banking-type ancillary services that do not entail credit or liquidity risks
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1
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Organising a securities lending mechanism, as agent among participants of a securities settlement system
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(a)
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Identification of delivering/receiving parties;
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(b)
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Details regarding each securities lending/borrowing operation, including volume and value of securities and ISIN;
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(c)
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Purpose of each securities lending/borrowing operations;
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(e)
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Collateral valuation.
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2
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Providing collateral management services, as agent for participants in a securities settlement system
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(a)
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Identification of delivering/receiving parties;
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(b)
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Details regarding each operation, including volume and value of securities and ISIN;
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(d)
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Purpose of collateral use;
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(e)
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Collateral valuation.
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3
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Settlement matching, instruction routing, trade confirmation, trade verification
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities and ISIN.
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4
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Services related to shareholders' registers
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities and ISIN.
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5
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Supporting the processing of corporate actions, including tax, general meetings and information services
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities/cash, beneficiaries of the operation and ISIN.
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6
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New issue services, including allocation and management of ISIN codes and similar codes
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including ISIN.
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7
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Instruction routing and processing, fee collection and processing and related reporting
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities/cash, beneficiaries of the operation, ISIN and purpose of the operation.
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8
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Establishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services
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(a)
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Details regarding the CSD links, including identification of CSDs;
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9
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Providing general collateral management services as agent
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(a)
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Identification of delivering/receiving parties;
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(b)
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Details regarding each operation, including volume and value of securities, ISIN;
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(d)
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Purpose of collateral use;
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(e)
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Collateral valuation.
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10
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Providing regulatory reporting
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(a)
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Identification of the entities for which the CSD provides the reporting;
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(c)
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Details regarding the data provided, including the legal basis and the purpose.
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11
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Providing information, data and statistics to market/census bureaus or other governmental or inter-governmental entities
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding the data provided, including the legal basis and the purpose.
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12
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Providing IT services
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(a)
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Identification of the entities for which the CSD provides the services;
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(c)
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Details regarding IT services.
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B. CSD's banking-type services directly related to core or ancillary services listed in Sections A and B of the Annex to Regulation (EU) No 909/2014
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13
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Providing cash accounts to, and accepting deposits from, participants in a securities settlement system and holders of securities accounts, within the meaning of point 1 of Annex I to Directive 2013/36/EU of the European Parliament and of the Council (1)
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(a)
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Identification of the entities for which the CSD provides such services;
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(b)
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Cash accounts details;
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14
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Providing cash credit for reimbursement no later than the following business day, cash lending to pre-finance corporate actions and lending securities to holders of securities accounts, within the meaning of point 2 of Annex I to Directive 2013/36/EU.
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities/cash, ISIN;
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(e)
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Collateral valuation;
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(f)
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Purpose of operations;
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(g)
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Information about any incidents in relation to such services and remediating actions including follow-up.
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15
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Payment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume of cash, and purpose of operation.
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16
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Guarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities/cash and purpose of operation.
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17
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Treasury activities involving foreign exchange and transferable securities related to managing participants' long balances, within the meaning of points 7(b) and (e) of Annex I to Directive 2013/36/EU
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(a)
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Identification of the entities for which the CSD provides such services;
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(c)
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Details regarding each operation, including volume and value of securities/cash and purpose of operation.
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