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CSDR ToolImplementing Regulation 2017/394
ANNEX V

ANNEX V

ANNEX V

Forms and templates for access procedures

(Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014)

Table 1

Template for the request to establish a CSD link or for the request for access between a CSD and a CCP or a trading venue

I.   General information

Sender: requesting party

 

Addressee: receiving party

 

Date of request for access

 

Reference number given by the requesting party

 

II.   Identification of requesting party

Corporate name of requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request (name, function, phone number, email address)

Name

Function

Phone

Email

III.   Services that form the object of the request

Types of services

 

Description of services

 

IV.   Identification of authorities

Name and contact details of the competent authority of the requesting party

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name

Function

Phone

Email

V.

 Any other relevant information and/or documents


Table 2

Template for the response granting access following a request to establish a CSD link or a request for access between a CSD and a CCP or a trading venue

I.   General information

Sender: receiving party

 

Addressee: requesting party

 

Date of request for access

 

Reference number given by the requesting party

 

Date of receipt of the request for access

 

Reference number given by the receiving party

 

II.   Identification of the receiving CSD

Corporate name of receiving party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the assessment of the request (name, function, phone number, email address)

Name

Function

Phone

Email

III.   Identification of the requesting party

Corporate name of the requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request (name, function, phone number, email address)

Name

Function

Phone

Email

Access granted

YES

IV.   Identification of authorities

Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

V.

 Any other relevant information and/or documents


Table 3

Template for the refusal of access to a CSD

I.   General information

Sender: receiving CSD

 

Addressee: requesting party

 

Date of request for access

 

Reference number given by the requesting party

 

Date of receipt of the request for access

 

Reference number given by the receiving CSD

 

II.   Identification of the receiving CSD

Corporate name of receiving CSD

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

III.   Identification of the requesting party

Corporate name of the requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request for access

Name

Function

Phone

Email

IV.   Risk analysis of the request for access

Legal risks resulting from the provision of services

 

Financial risks resulting from the provision of services

 

Operational risks resulting from the provision of services

 

V.   Outcome of the risk analysis

Access would affect the risk profile of the CSD

YES

NO

Access would affect the smooth and orderly functioning of the financial markets

YES

NO

Access would cause systemic risk

YES

NO

In case of refusal of access, a summary of the reasons for such a refusal

 

Deadline for complaint by the requesting party to the competent authority of the receiving CSD

 

Access granted

NO

VI.   Identification of authorities

Name and contact details of the competent authority of the receiving CSD

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name

Function

Phone

Email

VII.

 Any other relevant information and/or documents


Table 4

Template for the refusal of access to the transaction feeds of a CCP or a trading venue

I.   General information

Sender: receiving party

 

Addressee: requesting CSD

 

Date of request for access

 

Reference number given by the requesting CSD

 

Date of receipt of the request for access

 

Reference number given by the receiving party

 

II.   Identification of the receiving party

Corporate name of receiving party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address)

 

 

 

 

III.   Identification of the requesting CSD

Corporate name of the requesting CSD

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

 

 

 

 

IV.   Risk analysis of the request for access

Risks resulting from the provision of services

 

V.   Outcome of the risk analysis

Access would affect the smooth and orderly functioning of the financial markets

YES

NO

Access would cause systemic risk

YES

NO

A summary of the reasons for such a refusal

 

Deadline for complaint by the requesting CSD to the competent authority of the receiving party

 

Access granted

NO

VI.   Identification of authorities

Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)

Name

Function

Phone

Email

VII.

 Any other relevant information and/or documents


Table 5

Template for the complaint for refusal of access to a CSD

I.   General information

Sender: requesting party

 

Addressee: competent authority of receiving CSD

 

Date of request for access

 

Reference number given by the requesting party

 

Date of receipt of request for access

 

Reference number given by the receiving CSD

 

II.   Identification of the requesting party

Corporate name of requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

 

III.   Identification of the receiving CSD

Corporate name of the receiving CSD

 

Country of origin

 

Legal address

 

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

IV.   Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access

Comments of the requesting party on the legal risks resulting from the provision of services

 

Comments of the requesting party on the financial risks resulting from the provision of services

 

Comments of the requesting party on the operational risks resulting from the provision of services

 

Comments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities.

 

Comments of the requesting party on the reasons of the receiving party for refusal of access

 

Any relevant additional information

 

V.   Annexes

Copy of the initial application for access submitted by the requesting party to the receiving CSD

Copy of the response of the receiving CSD to the initial request for access

VI.

 Any other relevant information and/or documents


Table 6

Template for the complaint for refusal of access to the transaction feeds of a CCP or a trading venue

I.   General information

Sender: requesting CSD

 

Addressee: competent authority of receiving party

 

Date of request for access

 

Reference number given by the requesting CSD

 

Date of receipt of request for access

 

Reference number given by the receiving party

 

II.   Identification of the requesting CSD

Corporate name of requesting CSD

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

 

III.   Identification of the receiving party

Corporate name of receiving party

 

Country of origin

 

Legal address

 

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

IV.   Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access

Comments of the requesting CSD on the risks resulting from the provision of services

 

Comments of the requesting CSD on the reasons of the receiving party for refusal of access

 

Any relevant additional information

 

V.   Annexes

Copy of the initial application for access submitted by the requesting CSD to the receiving party

Copy of the response of the receiving party to the initial request for access

VI.

 Any other relevant information and/or documents


Table 7

Template for the consultation of other authorities on the assessment of refusal of access or for referral to ESMA

I.   General information

Sender: competent authority of the receiving party

 

Addressee:

(a)

the competent authority of the place of establishment of the requesting participant; or

(b)

the competent authority of the place of establishment of the requesting issuer; or

(c)

the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or

(d)

the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or

(e)

ESMA (in case of referral to ESMA)

 

Date of the request for access

 

Reference number given by the requesting party

 

Date of receipt of the request for access

 

Reference number given by the receiving party

 

Date of receipt of refusal of access complaint

 

Reference number given by the competent authority of the receiving party

 

II.   Identification of authorities

Name and contact details of the competent authority of the receiving party

Name

Function

Phone

Email

Where applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Name

Function

Phone

Email

III.   Identification of the requesting party

Corporate name of requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address)

 

IV.   Identification of the receiving party

Corporate name of receiving party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

V.   Assessment by the competent authority of the receiving party

Comments of the competent authority concerning:

(a)

the reasons of the receiving party for refusal of access, and

(b)

the arguments of the requesting party

 

Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

 

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the competent authority of the receiving party in support of its assessment

 

VI.   Annexes

Copy of the initial application for access submitted by the requesting party to the receiving party

Copy of the response of the receiving party to the initial request for access

Copy of the complaint from the requesting party regarding the refusal of access

VII.

 Any other relevant information and/or documents


Table 8

Template for the response to the consultation by the competent authority or other authorities on the assessment of refusal of access, and for referral to ESMA

I.   General information

Sender:

(a)

the competent authority of the place of establishment of the requesting participant; or

(b)

the competent authority of the place of establishment of the requesting issuer; or

(c)

the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or

(d)

the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.

 

Addressee:

(a)

competent authority of the receiving party; or

(b)

ESMA

 

Date of the request for access

 

Reference number given by the requesting party

 

Date of receipt of the request for access

 

Reference number given by the receiving party

 

Date of receipt of the complaint for refusal of access

 

Reference number given by the competent authority of the receiving party

 

Date of receipt of the assessment provided by the competent authority to the receiving party

 

Reference number given by the competent authority of the requesting party

 

II.   Identification of the authority that submits the response to the assessment by the competent authority of the receiving party

Name and contact details of:

(a)

the competent authority of the place of establishment of the requesting participant; or

(b)

the competent authority of the place of establishment of the requesting issuer; or

(c)

the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or

(d)

the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.

Name

Function

Phone

Email

III.   Identification of the requesting party

Corporate name of requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

 

IV.   Identification of the receiving party

Corporate name of receiving party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

V.   Assessment by the competent authority of the receiving party

Comments concerning:

(a)

the reasons of the receiving party for refusal of access;

(b)

the arguments provided by the requesting party;

(c)

the reasons provided by the competent authority of the receiving party in support of its assessment.

 

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the authority in support of its assessment

 

VI.   Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

Comments concerning:

(a)

the reasons of the receiving party for refusal of access;

(b)

the arguments provided by the requesting party;

(c)

the reasons provided by the competent authority of the receiving party in support of its assessment.

 

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the authority in support of its assessment

 

VII.   Annexes

Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I

Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II

VIII.

 Any other relevant information and/or documents


Table 9

Template for the response to the complaint for refusal of access

I.   General information

Sender: competent authority of the receiving party

 

Addressees:

(a)

requesting party;

(b)

receiving party;

(c)

the competent authority of the place of establishment of the requesting participant; or

(d)

the competent authority of the place of establishment of the requesting issuer; or

(e)

in case of CSD links, the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or

(f)

in case of access by a trading venue or a CCP, the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.

 

Date of the request for access

 

Reference number given by the requesting party

 

Date of receipt of the request for access

 

Reference number given by the receiving party

 

Date of receipt of the complaint for refusal of access

 

Reference number given by the competent authority of the receiving party

 

Date of receipt of the assessment by the competent authority of the requesting party and, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

 

Reference number given by the competent authority of the requesting party or, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014

 

II.   Identification of the authority submitting the response to the complaint concerning a refusal of access

Name and contact details of the competent authority of the receiving party

Name

Function

Phone

Email

III.   Identification of the requesting party

Corporate name of requesting party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the request for access (name, function, phone number, email address)

 

IV.   Identification of receiving party

Corporate name of receiving party

 

Country of origin

 

Legal address

 

LEI

 

Name and contact details of the person responsible for the assessment of the request for access

Name

Function

Phone

Email

V.   Assessment by the competent authority of the receiving party

Comments concerning:

(a)

the reasons of the receiving party for refusal of access;

(b)

the arguments provided by the requesting party;

(c)

the reasons provided by the authority of the requesting party in support of its assessment.

 

Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 concerning:

(a)

the reasons of the receiving party for refusal of access;

(b)

the arguments provided by the requesting party;

(c)

the reasons provided by the authority of the requesting party in support of its assessment.

 

Refusal to grant access is deemed unjustified

YES

NO

Reasons provided by the competent authority of the receiving party in support of its assessment

 

VI.   Order requiring the receiving party to grant access to the requesting party

When the refusal to grant access is deemed unjustified, a copy of the order requiring the receiving party to grant access to the requesting party, including the applicable deadline for compliance.

VII.

 Any other relevant information and/or documents