ANNEX III
Forms and templates for the cooperation between authorities of the home Member State and of the host Member State
(Article 24(8) of Regulation (EU) No 909/2014)
Table 1
Template for the exchange of information between the competent authority of the home Member State and the competent authority of the host Member State where a CSD has set up a branch
|
Field |
Content |
Frequency |
|
Details concerning the review and evaluation of the CSD referred to in Article 22(1) of Regulation (EU) No 909/2014 |
||
|
Information to be provided by the competent authority of the home Member State |
||
|
Corporate name of the CSD |
name |
when changes occur |
|
Legal address of the CSD |
address |
when changes occur |
|
List of services that the CSD provides in accordance with the Annex of Regulation (EU) No 909/2014 |
list |
when changes occur |
|
Structure and ownership of the group to which the CSD belongs |
schema |
when significant changes occur |
|
Level of the capital of the CSD (where relevant, Tier 1 capital and total capital) |
table |
when significant changes occur |
|
Organisation, management body and senior management of the CSD (including CVs) |
description |
when changes occur |
|
Processes and arrangements for governance |
description |
when changes significantly impact the governance of the CSD |
|
Details of the authorities involved in the supervision/oversight of the CSD |
name/function |
advance notification, where practicable, or as soon as possible |
|
Information on any material threats to the CSD's ability to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations |
description |
advance notification, where practicable, or without undue delay |
|
Sanctions and exceptional supervisory measures which may impact the activities of the CSD's branch |
description |
advance notification, where practicable, or without undue delay |
|
Repo on major problems of performance or incidents and remedial actions taken which may impact the activities of the branch |
description |
when it occurs |
|
Difficulties in the CSD's operations that have potentially significant spill-over effects on the branch |
Description |
as soon as possible |
|
Factors which suggest a potentially high risk of contagion from the operations of the CSD to the branch |
description |
as soon as possible |
|
Extension of services or withdrawal of the authorisation |
description |
advance notification, where practicable, or as soon as possible |
|
Headcount statistics |
table |
yearly basis |
|
Financial data, such as balance sheet, profit and loss accounts |
table |
yearly basis |
|
Size of the operations (assets under custody, revenues) |
table |
yearly basis |
|
Risk Management Policy |
description |
when changes significantly impact the governance or risk management of the CSD |
|
Where relevant for the branch, outsourcing agreements concerning the services provided by the branch |
schema |
when changes significantly impact the governance or risk management of the CSD |
|
Other information for the purpose of fulfilling its mandate |
|
Upon the request of the competent authority of the host Member State |
|
Information to be provided by the competent authority of the host Member State |
||
|
Corporate name of the branch |
name |
when changes occur |
|
Legal address of the branch |
address |
when changes occur |
|
List of services provided through the branch in accordance with the Annex of Regulation (EU) No 909/2014 |
list |
when changes occur |
|
Organisation, senior management of the branch |
description |
when changes occur |
|
Processes and arrangements specific to the governance of the branch |
description |
when changes significantly impact the governance or risk management of the CSD |
|
Details of the authorities involved in the supervision/oversight of the branch |
name/function |
advance notification, where practicable, or as soon as possible |
|
Information on any material threats to the ability of the CSD's branch to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations |
description |
advance notification, where practicable, or as soon as possible |
|
Sanctions and exceptional supervisory measures applied to the branch |
description |
advance notification, where practicable, or as soon as possible |
|
Repo on major performance problems or incidents and remedial actions taken |
description |
when it occurs |
|
Difficulties in the branch's operations that have potentially significant spill-over effects on the CSD |
description |
as soon as possible |
|
Factors which suggest a potentially high risk of contagion from the operations of the branch to the operations of the CSD |
description |
as soon as possible |
|
Headcount statistics of the branch |
table |
yearly basis |
|
Financial data, such as balance sheet, profit and loss accounts concerning the branch |
table |
yearly basis |
|
Other information for the purpose of fulfilling its mandate |
|
Upon the request of the competent authority of the home Member State |
Table 2
Template to be filled in by the competent authority carrying out on-site inspections of a branch of the CSD
|
Field |
Content |
|
Name of the competent authority requesting the on-site inspection |
Name |
|
Primary and secondary contact person of the competent authority requesting the on-site inspection |
name, telephone number, email address, role |
|
Name of the branch of the CSD where the on-site inspection will take place |
name and address |
|
Name of the CSD that has established the branch |
Name |
|
Where available, contact person of the CSD or the branch in charge of the on-site inspection |
name, telephone number, email address, role |
|
Name of the other competent authority |
name |
|
Primary and secondary contact person of the other competent authority |
name, telephone number, email address, role |
|
Scheduled date of the on-site inspection |
YYYY/MM/DD — YYYY/MM/DD |
|
Rationale for the on-site inspection |
text |
|
Underlying documents that are planned to be used in the context of the on-site inspection |
list of documents |
Table 3
Template to be filled in by the competent authority of the home Member State following the request FOR information by the competent authority of the host Member State
|
Field |
Content |
|
Corporate name of the CSD |
name |
|
Legal address of the CSD |
address |
|
List of services the CSD provides in accordance with the Annex to Regulation (EU) No 909/2014 |
list |
|
Corporate name of the CSD participants as Legal Entities |
list |
|
Home country of the CSD participants (ISO 2-digit country code) |
list |
|
LEI of the issuers whose securities issues are recorded in securities accounts centrally or not centrally maintained by the CSD |
list |
|
Home country of issuers (ISO 2-digit country) |
list |
|
ISIN code of the issued securities constituted under the law of the host Member State initially recorded in the CSD of the home Member State |
list |
|
Market value or, if not available, nominal value of securities issued by issuers from the host Member State for which the CSD of the home Member State provides the core services referred to in point 1 or 2 of Section A of the Annex to of Regulation (EU) No 909/2014 |
figure |
|
Market value or, if not available, nominal value of securities recorded in securities accounts not centrally maintained by the CSD of the home Member State for participants and other holders of securities accounts of the host Member State |
figure |
|
Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State in relation to transactions in securities issued by issuers from the host Member State |
figure |
|
Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State from participants as well as for other holders of securities accounts of the host Member State |
figure |
|
Other information for the purpose of fulfilling its mandate |
|
Table 4
Template to be filled in by the competent authority of the host Member State having clear and demonstrable grounds for believing that a CSD providing services within its territory in accordance with Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014
|
Field |
Content |
|
Name of the competent authority of the host Member State |
Name |
|
Primary and secondary contact person of the competent authority of the host Member State |
name, telephone number, email address, role |
|
Name of the CSD that provides services in the host Member State considered to be in breach of its obligations |
name and address |
|
Contact person of the CSD that provides services in the host Member State considered to be in breach of its obligations |
name, telephone number, email address, role |
|
Name of the competent authority of the home Member State |
name |
|
Primary and secondary contact person of the competent authority of the home Member State |
name, telephone number, email address, role |
|
Where relevant, primary and secondary contact person of ESMA |
name, telephone number, email address, role |
|
Description of the grounds for believing that the CSD established in the home Member State providing services in the territory of the host Member State according to Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014 |
text |