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Commission Delegated Regulation (EU) 2017/392Dangos y teitl llawn
Commission Delegated Regulation (EU) 2017/392 of 11 November 2016 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on authorisation, supervisory and operational requirements for central securities depositories (Text with EEA relevance)
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Changes over time for: Article 67
Changes to legislation:
Commission Delegated Regulation (EU) 2017/392, Article 67 is up to date with all changes known to be in force on or before 02 February 2026. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
EUR 2017 No. 392 may be subject to amendment by EU Exit Instruments made by the Bank of England under powers set out in The Financial Regulators' Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1115), regs. 2, 3, Sch. Pt. 3. These amendments are not currently available on legislation.gov.uk. Details of relevant amending instruments can be found on their website/s.
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Changes and effects yet to be applied to Article 67:
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1 3
Article 67U.K.Operational risks that may be posed by key participants
1.A CSD shall, on an ongoing basis, identify the key participants in the securities settlement system that it operates based on the following factors:
(a)their transaction volumes and values;
(b)material dependencies between its participants and its participants' clients, where the clients are known to the CSD, that might affect the CSD;
(c)their potential impact on other participants and the securities settlement system of the CSD as a whole in the event of an operational problem affecting the smooth provision of services by the CSD.
For the purposes of point (b) in the first subparagraph, the CSD shall also identify the following:
(i)
the participants' clients responsible for a significant proportion of transactions processed by the CSD;
(ii)
the participants' clients whose transactions, based on their volumes and values, are significant relative to the respective participants' risk-management capacity.
2.A CSD shall review and keep the identification of the key participants up-to-date on an ongoing basis.
3.A CSD shall have clear and transparent criteria, methodologies and standards in order to ensure that key participants meet the operational requirements.
4.A CSD shall, on an ongoing basis, identify, monitor, and manage the operational risks that it faces from key participants.
For the purposes of the first subparagraph, the operational risk-management system referred to in Article 70 shall also provide for rules and procedures to gather all relevant information about their participants' clients. The CSD shall also include in the agreements with its participants all terms necessary to facilitate the gathering of that information.
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