ANNEX II
Information to be provided in an application for registration under Article 34 of Regulation (EU) 2016/1011
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‘A’ means ‘Applicable’ |
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‘N/A’ means ‘Not applicable’ |
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Item in Annex I |
Supervised entities providing only non-critical benchmarks |
Entities providing only non-significant benchmarks |
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(1) General information |
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1(a) |
Full name |
A |
A |
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1(b) |
Address |
A |
A |
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1(c) |
Legal status |
A |
A |
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1(d) |
Website |
A |
A |
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1(e) |
Contact person |
A |
A |
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1(f) |
Current authorisation status |
A (1) |
A (1) to supervised entities N/A to non-supervised entities |
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1(g) |
Operations conducted |
A (1) |
A (1) |
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1(h) |
Constitutional documents |
A (1) |
A (1) |
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1(i) |
Group structure |
A (1) |
A (1) |
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1(j) |
Self-declaration of good repute |
A (1) |
A (1) |
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1(k) |
Number of benchmarks |
A |
A |
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(2) Organisational structure and governance |
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2(a) |
Internal organisational structure |
A |
A |
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2(b) |
Employees |
A |
A |
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2(c) |
Human resources |
A |
N/A |
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(3) Conflicts of interest |
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3(a) |
Policies and procedures |
A (2) |
A (2) in the form of a summary |
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3(b) |
Material conflicts of interest |
A |
N/A |
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3(c) |
Remuneration structure |
A |
A |
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(4) Internal control structure, oversight and accountability framework |
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4(a) |
Policies and procedures for monitoring the activities of the provision of a benchmark |
A |
A (3) in the form of a summary |
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4(b) |
Internal arrangements for determining and publishing a benchmark |
A |
A in the form of a summary |
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4(c) |
Internal reporting of infringements |
A |
A in the form of a summary |
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(5) Description of benchmarks provided |
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5(a) |
Description |
A (4) |
A in the form of a summary |
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5(b) |
Underlying market |
A (4) |
A in the form of a summary |
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5(c) |
Contributors |
A (4) |
A in the form of a summary |
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5(d) |
Corrections |
A (4) |
A in the form of a summary |
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5(e) |
Changes to and cessation |
A (4) |
A in the form of a summary |
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(6) Input data and methodology |
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6(a)(i) |
Description of input data used |
A (4) |
A in the form of a summary |
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6(a)(ii) |
Input data — sufficient, appropriate and verifiable |
A (4) |
A (5) in the form of a summary |
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6(a)(iii) |
Contributors |
A (4) |
A in the form of a summary |
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6(a)(iv) |
Evaluation of contributor's input data and validation of input data |
A (6) |
N/A |
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6(b)(i) |
Description of the methodology |
A (4) |
A in the form of a summary |
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6(b)(ii)(1) |
Validation/Review |
A (4) |
A in the form of a summary |
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6(b)(ii)(2) |
Material change |
A (6) |
N/A |
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(7) Outsourcing |
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7(a) |
Contracts |
A (6) |
N/A |
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7(b) |
Outsourced functions |
A (6) |
A in the form of a summary |
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7(c) |
Control |
A (6) |
A in the form of a summary |
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(8) Others |
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8(a) |
Additional information |
A |
A |
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8(b) |
Form |
A |
A |
(1) Unless already supervised by the same competent authority for other activities than the provision of benchmarks
(2) An applicant may choose not to provide information relating to point 3(a)(iii) of Annex I, in respect of a significant or non-significant benchmark it provides.
(3) An applicant may omit to provide information relating to point 4(a)(iii) of Annex I — with the exception of information on the establishment and maintenance of a permanent oversight function — points 4(a)(iv) and 4(a)(v) of Annex I — for some of the information to be provided on the control and accountability framework — in respect of a non-significant benchmark it provides.
(4) A supervised entity which provides both significant and non-significant benchmarks may provide such information in the form of a summary with reference to its non-significant benchmarks.
(5) An applicant may choose not to provide information relating to input data being verifiable in respect of a non-significant benchmark that it provides.
(6) A supervised entity which provides both significant and non-significant benchmarks may provide such information only for the significant benchmarks it provides.