Commission Implementing Regulation (EU) 2017/394Show full title

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