ANNEX
Template for the exchange of information regarding investment firms to be provided by the competent authorities of the home Member State to competent authorities of a host Member State supervising a branch:
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Competent Authority: |
Free text |
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Investment firm name: |
Free text |
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Reference date (DD/MM/YYYY) |
Reference date for the information. |
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Submission date (DD/MM/YYYY): |
Date when the information is being provided to the competent authorities of host Member State. |
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Information provided on consolidated basis (Yes/No) |
Please indicate ‘Yes’ if information in this template is provided on a consolidated basis and not at the level of the investment firm group. |
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Contact person at the competent authorities of the home Member State |
Name and contact details of a person providing information for any possible follow-up questions |
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Statement on the compliance of the investment firm with the own funds requirements laid down in Article 11 of Regulation (EU) 2019/2033, taking into account the transitional arrangements laid down in Article 57 of that Regulation |
Legal reference: Article 3(1) of Delegated Regulation (EU) 2023/1117. Free text answering the question on the reporting date. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. Please note that issues of non-compliance with minimum regulatory requirements and any supervisory measures taken by the competent authorities to address them shall be reported outside this template in regular exchange of information and in accordance with Article 1(2). |
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Statement on the compliance of the investment firm with any additional own funds requirements imposed in accordance with Article 39(2), point (a), of Directive (EU) 2019/2034 |
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Statement on the compliance of the investment firm with any guidance on additional own funds imposed in accordance with Article 41 of Directive (EU) 2019/2034 |
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The value of the own funds requirements laid down in Article 11 of Regulation (EU) 2019/2033 |
Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117. Value from supervisory reporting. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. |
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Statement whether the value provided in the previous line was set on the basis of Article 11(1), point (a), (b) or (c) of Regulation (EU) 2019/2033 |
Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117 Free text providing the basis for the calculation of own funds requirements. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. |
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The value of any additional own funds requirements imposed in accordance with Article 39(2), point (a), of Directive (EU) 2019/2034, and the grounds for imposition |
Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117. Value from supervisory reporting. Free text providing the grounds for the imposition of additional own funds requirements. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. |
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The value of any guidance on additional own funds imposed in accordance with Article 41 of Directive (EU) 2019/2034. |
Legal reference: Article 3(2) of Delegated Regulation (EU) 2023/1117. Value from supervisory reporting. Free text providing the grounds for the imposition of additional own funds guidance. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. |
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Statement on the compliance of the investment firm with the concentration risk requirements laid down in Part Four of Regulation (EU) 2019/2033 |
Legal reference: Article 4(1) of Delegated Regulation (EU) 2023/1117. Free text answering the question on the reporting date. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. Please note that issues of non-compliance with minimum regulatory requirements and any supervisory measures taken by the competent authorities to address them shall be reported outside this template in regular exchange of information and in accordance with Article 1(3) of this Regulation. |
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Statement on the compliance of the investment firm with the liquidity requirements laid down in Part Five of Regulation (EU) 2019/2033, taking into account the transitional arrangements laid down in Article 57(1) of that Regulation |
Legal reference: Article 4(3) of Delegated Regulation (EU) 2023/1117. Free text answering the question on the reporting date. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. Please note that issues of non-compliance with minimum regulatory requirements and any supervisory measures taken by the competent authorities to address them shall be reported outside this template in regular exchange of information and in accordance with Article 1(3) of this Regulation. |
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Summary of the overall assessment of the competent authorities of the home Member State of an investment firm’s liquidity risk profile and risk management |
Legal reference: Article 4(5) of Delegated Regulation (EU) 2023/1117. Free text answering the question on the reporting date. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. |
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Summary assessment of any material risks as revealed by the supervisory review and evaluation carried out in accordance with Article 36 of Directive (EU) 2019/2034 or through any other supervisory activity carried out by the competent authorities of the home Member State |
Legal reference: Article 7(1) of Delegated Regulation (EU) 2023/1117. Free text answering the question on the reporting date. Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly. |
Additional information to be exchanged concerning the management and ownership of the investment firm and preparations for emergency situations
Legal reference: Article 2(1) and Article 10 of Delegated Regulation (EU) 2023/1117.
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1. |
Current organisational structure (organigram) of the investment firm including its business lines and its relationship to entities within the group |
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2. |
Emergency contact details of persons within the competent authorities who are responsible for handling emergency situations and communication procedures that shall apply in emergency situations |
Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update accordingly.
Additional information to be provided by the competent authorities of the home Member State supervising investment firms that are not identified as small and non-interconnected investment firms in accordance with Article 12 of Regulation (EU) 2019/2033
Legal reference: Article 2(2) of Delegated Regulation (EU) 2023/1117.
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1. |
Structure of the management body and senior management, including the allocation of responsibility for the oversight of a branch |
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2. |
List of shareholders and members with qualifying holdings |
Should there be no changes compared to the previous reporting period, competent authorities may refer to already provided information or update according