No

Field

Format

1

Settlement instruction type

2

Transaction type

3

Unique Instruction Reference of the participant

Unique instruction reference of the participant according to the CSD's rules

4

Trade date

ISO 8601 date in the format YYYY-MM-DD

5

Intended Settlement Date

ISO 8601 date in the format YYYY-MM-DD

6

Settlement timestamp

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

7

Timestamp of the moment of entry of the settlement instruction into the securities settlement system

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

8

Timestamp of the moment of irrevocability of the settlement instruction

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

9

Matching timestamp, where applicable

ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ

10

Securities account identifier

Unique securities account identifier provided by the CSD

11

Cash account identifier

Unique cash account identifier provided by the central bank or the CSD authorised in accordance with point (a) of Article 54(2) of Regulation (EU) No 909/2014 or a designated credit institution referred to in point (b) of Article 54(2) of Regulation (EU) No 909/2014

12

Settlement bank identifier

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

13

Identifier of the instructing participant

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

14

Identifier of the instructing participant's counterparty

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) (with the obligation to convert to LEI for the purposes of reporting to authorities)

15

Identifier of the instructing participant's client, where known to the CSD

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons

Where available national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level

16

Identifier of the client of the instructing participant's counterparty, where known to the CSD

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons

Where available, national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level

17

Securities identifiers

ISO 6166 ISIN 12 character alphanumerical code

18

Settlement currency

ISO 4217 Currency Code, 3 alphabetical digits

19

Settlement cash amount

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

20

Quantity or nominal amount of securities

Up to 20 numerical characters reported as whole numbers without decimals

21

Status of settlement instructions

PEND — Pending instruction (settlement at the ISD is still possible)

PENF — Failing instruction (settlement at the ISD is no longer possible)

SETT — Full settlement

PAIN — Partially settled

CANS — Instruction cancelled by the system

CANI — Instruction cancelled by the participant

Remaining part of securities to be settled (if Status of the instruction is PAIN)

Information on the remaining XXX amount of securities against YYY cash to be delivered

Matching status

MACH if matched or

NMAT if the instruction is not matched

Hold status of the instruction

Possible values:

Opt-out of partial settlement

Possible values:

Reason codes for not settled instructions (if Status of the instruction is PEND or PENF)

BLOC AccountBlocked

CDLR ConditionalDeliveryAwaitingRelease

CLAC CounterpartyInsufficientSecurities

CMON CounterpartyInsufficientMoney

CSDH CSDHold

CVAL CSDValidation

FUTU AwaitingSettlementDate

INBC IncompleteNumberCount

LACK LackOfSecurities

LATE MarketDeadlineMissed

LINK PendingLinkedInstruction

MONY InsufficientMoney

OTHR Other

PART TradeSettlesInPartials

PRCY CounterpartyInstructionOnHold

PREA YourInstructionOnHold

SBLO SecuritiesBlocked

CONF AwaitingConfirmation

CDAC ConditionalDeliveryAwaitingCancellation

22

Place of trading

Populated by the MIC (ISO Market Identification Code) (ISO 10383) if the instruction is resulting from a trade concluded on a trading venue or blank for OTC transactions

23

If applicable, place of clearing

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code of the CCP clearing the transaction, or Bank Identifier Code (BIC) of the CCP with the obligation to convert to LEI for the purposes of reporting to authorities

24

Where a buy-in process is initiated for a transaction, the following details regarding:

Buy-in initiated: Y/N

Buy-in successful: Y/N/P

Number of bought-in financial instruments:

Up to 20 numerical characters reported as whole numbers without decimals.

Value of bought-in financial instruments:

Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

Payment of cash compensation: Y/N

Amount of the cash compensation: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

Cancellation of the initial settlement instruction: Y/N

25

For each settlement instruction that fails to settle on ISD, the amount of the penalties referred to in Article 7(2) of Regulation (EU) No 909/2014

Amount of penalties: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character

No

Field

Format

1

Identifiers of issuers for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) for legal persons with the obligation to convert to LEI for the purposes of reporting to authorities

2

Identifier of each securities issue for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014

ISO 6166 ISIN 12 character alphanumerical code

3

Identifier of each securities issue recorded in securities accounts not centrally maintained by the CSD

ISO 6166 ISIN 12 character alphanumerical code

4

Identifier of the issuer CSD or of the relevant third country entity performing similar functions to an issuer CSD for each securities issue referred to in point 3

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

5

For each securities issue referred to in points 2 and 3, the law under which the securities recorded by the CSD are constituted

ISO 3166 2 character country code

6

Country of incorporation of the issuers of each securities issue referred to in points 2 and 3

ISO 3166 2 character country code

7

Issuers' securities accounts identifiers, in the case of issuer CSDs

Unique securities account identifier provided by the issuer CSD

8

Issuers' cash accounts identifiers, in the case of issuer CSDs

International Bank Account Number (IBAN)

9

Identifiers of settlement banks used by each issuer, in the case of issuer CSDs

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

10

Participants' identifiers

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

11

Participants' country of incorporation

ISO 3166 2 character country code

12

Participants' securities accounts identifiers

Unique securities account identifier provided by the CSD

13

Participants' cash accounts identifiers

Unique cash account identifier provided by the central bank

14

Identifiers of settlement banks used by the each participant

ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities

15

Country of incorporation of settlement banks used by each participant

ISO 3166 2 character country code

16

Type of securities accounts:

OW = own account

IS = individually segregated account

OM = omnibus account

17

End of day balances of securities accounts for each ISIN

Files, documents

18

For each securities account and ISIN, the number of securities subject to settlement restrictions, type of restriction and, where relevant, the identity of the beneficiary of the restriction at the end of day

Files, documents

19

Records of settlement fails, as well as of the measures adopted by the CSD and its participants to improve settlement efficiency, in accordance with the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014

Files, documents

No.

Ancillary Services under Regulation (EU) No 909/2014

Types of records

Format

1

Organising a securities lending mechanism, as agent among participants of a securities settlement system

Files, documents

2

Providing collateral management services, as agent for participants in a securities settlement system

Files, documents

3

Settlement matching, instruction routing, trade confirmation, trade verification

Files, documents

4

Services related to shareholders' registers

Files, documents

5

Supporting the processing of corporate actions, including tax, general meetings and information services

Files, documents

6

New issue services, including allocation and management of ISIN codes and similar codes

Files, documents

7

Instruction routing and processing, fee collection and processing and related reporting

Files, documents

8

Establishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services

Files, documents

9

Providing general collateral management services as an agent

Files, documents

10

Providing regulatory reporting

Files, documents

11

Providing information, data and statistics to market/census bureaus or other governmental or inter-governmental entities

Files, documents

12

Providing IT services

Files, documents

13

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 of Directive 2013/36/EU of the European Parliament and of the Council (1)

Files, documents

14

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

Files, documents

15

Payment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU

Files, documents

16

Guarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU

Files, documents

17

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

Files, documents

No

Item

Format

Description

1

Organisational charts

Charts

Management body, senior management, relevant committees, operational units and all other units or divisions of the CSD

2

Identities of the shareholders or persons (natural or legal persons), that exercise direct or indirect control over the management of the CSD or that hold participations in the capital of the CSD and the amounts of those holdings

S = Shareholder/M = Member

D = Direct/I = Indirect

N = Natural person/L = Legal person

Amount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Shareholders or persons that exercise direct or indirect control over the management of the CSD or hold participations in the capital of the CSD (fields to be added for each of the relevant shareholder/person)

3

CSD participations in the capital of other legal entities

Free text

Amount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.

Identification of each legal entity (fields to be added for each legal entity)

4

Documents attesting the policies, procedures and processes required under the CSD's organisational requirements and in relation to the services provided by the CSD

Files, documents

5

Minutes of management body meetings and of meetings of senior management committees and other committees of the CSD

Files, documents

6

Minutes of the meetings of user committee(s)

Files, documents

7

Minutes of the meetings with consultation groups composed of participants and clients, if any

Files, documents

8

Internal and external audit reports, risk management reports, compliance and internal control reports, including responses from senior management to such reports

Files, documents

9

All outsourcing contracts

Files, documents

10

Business continuity policy and disaster recovery plan

Files, documents

11

Records reflecting all assets and liabilities and capital accounts of the CSD

Files, documents

12

Records reflecting all costs and revenues, including costs and revenues which are accounted separately in accordance with Article 34(6) of Regulation (EU) No 909/2014

Files, documents

13

Formal complaints received

Free text

For each formal complaint: information on complainant's name and address; date of receiving the complaint; names of all persons identified in the complaint; description of the nature of the complaint; content and outcome of the complaint; date when the complaint was resolved.

14

Information on any interruption or dysfunction of services

Free text

Records of any interruption or dysfunction of services, including a detailed report on the timing, effects of such interruption or dysfunction and remedial actions taken

15

Records of the results of the back and stress tests performed for the CSDs providing banking-type ancillary services

Files, documents

16

Written communications with the competent authority, ESMA and relevant authorities

Files, documents

17

Legal opinions received in accordance with the relevant provisions on organisational requirements provided in Chapter VII of Delegated Regulation (EU) 2017/392

Files, documents

18

Legal documentation regarding CSD link arrangements in accordance with Chapter XII of Delegated Regulation (EU) 2017/392

Files, documents

19

Tariffs and fees applied to the different services, including any discount or rebate

Free text