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					<dc:identifier>http://www.legislation.gov.uk/eur/2019/364</dc:identifier><dc:title>Commission Implementing Regulation (EU) 2019/364 of 13 December 2018 laying down implementing technical standards with regard to the format of applications for registration and extension of registration of trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council (Text with EEA relevance)</dc:title><dct:alternative>Commission Implementing Regulation (EU) 2019/364</dct:alternative><dc:description>Commission Implementing Regulation (EU) 2019/364 of 13 December 2018 laying down implementing technical standards with regard to the format of applications for registration and extension of registration of trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council (Text with EEA relevance)</dc:description><dc:publisher>King's Printer of Acts of Parliament</dc:publisher><dc:source>https://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32019R0364</dc:source><dc:type>text</dc:type><dc:format>text/xml</dc:format><dc:language>en</dc:language><dc:modified>2024-07-15</dc:modified><dc:contributor>Expert Participation</dc:contributor><dct:valid>2023-07-11</dct:valid>
					
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					<ukm:Alternatives><ukm:Alternative URI="http://www.legislation.gov.uk/eur/2019/364/pdfs/eur_20190364_adopted_en.pdf" Date="2018-12-13" Size="380992"/> </ukm:Alternatives>
					
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      <EUPrelims DocumentURI="http://www.legislation.gov.uk/eur/2019/364/introduction" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/introduction" RestrictExtent="E+W+S+N.I." RestrictStartDate="2023-07-11"><MultilineTitle><Text><Uppercase>Commission Implementing Regulation</Uppercase> (EU) 2019/364</Text><Text>of 13 December 2018</Text><Text>laying down implementing technical standards with regard to the format of applications for registration and extension of registration of trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council</Text><Text>(Text with EEA relevance)</Text></MultilineTitle><EUPreamble><CommentaryRef Ref="key-ae71bde176f752710b5b828631ef8004"/><CommentaryRef Ref="key-1bf837a824046409ff61d4f2db32ebcc"/><P><Text>THE EUROPEAN COMMISSION,</Text></P><P><Text>Having regard to the Treaty on the Functioning of the European Union,</Text></P><P><Text>Having regard to Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012<FootnoteRef Ref="f00001"/>, and in particular Article 5(8) thereof,</Text></P><P><Text>Whereas:</Text></P><Division DocumentURI="http://www.legislation.gov.uk/eur/2019/364/division/1" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/division/1" RestrictStartDate="2023-07-11" id="division-1"><Number>(1)</Number><P><Text>A uniform format for applications to the European Securities and Markets Authority (ESMA) for registration and extension of registration of trade repositories should ensure that all information required pursuant to Commission Delegated Regulation (EU) 2019/359<FootnoteRef Ref="f00002"/> is submitted to, and easily identified by, ESMA.</Text></P></Division><Division DocumentURI="http://www.legislation.gov.uk/eur/2019/364/division/2" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/division/2" RestrictStartDate="2023-07-11" id="division-2"><Number>(2)</Number><P><Text>In order to facilitate the identification of the information submitted by the trade repository, every document contained in the application should bear a unique reference number.</Text></P></Division><Division DocumentURI="http://www.legislation.gov.uk/eur/2019/364/division/3" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/division/3" RestrictStartDate="2023-07-11" id="division-3"><Number>(3)</Number><P><Text>In accordance with Article 1(3) of Delegated Regulation (EU) 2019/359, where an applicant trade repository considers that a requirement of Delegated Regulation (EU) 2019/359 is not applicable to it, it must clearly indicate that requirement in its application and provide an explanation why such requirement does not apply. Those requirements and explanations should be clearly identified in the application for registration or extension of registration.</Text></P></Division><Division DocumentURI="http://www.legislation.gov.uk/eur/2019/364/division/4" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/division/4" RestrictStartDate="2023-07-11" id="division-4"><Number>(4)</Number><P><Text>Any information submitted to ESMA in an application for registration or extension of registration of a trade repository should be provided in a durable medium as defined in Directive 2009/65/EC of the European Parliament and of the Council<FootnoteRef Ref="f00003"/> to enable its storage for future use and reproduction.</Text></P></Division><Division DocumentURI="http://www.legislation.gov.uk/eur/2019/364/division/5" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/division/5" RestrictStartDate="2023-07-11" id="division-5"><Number>(5)</Number><P><Text>This Regulation is based on the draft implementing technical standards submitted by ESMA to the European Commission, pursuant to the procedure in Article 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council<FootnoteRef Ref="f00004"/>.</Text></P></Division><Division DocumentURI="http://www.legislation.gov.uk/eur/2019/364/division/6" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/division/6" RestrictStartDate="2023-07-11" id="division-6"><Number>(6)</Number><P><Text>ESMA has conducted open public consultations on these draft implementing technical standards, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1095/2010,</Text></P></Division><P><Text>HAS ADOPTED THIS REGULATION:</Text></P></EUPreamble></EUPrelims>
      <EUBody DocumentURI="http://www.legislation.gov.uk/eur/2019/364/body" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/body" NumberOfProvisions="2" RestrictExtent="E+W+S+N.I." RestrictStartDate="2018-12-13">
         <P1group RestrictExtent="E+W+S+N.I." RestrictStartDate="2018-12-13">
            <Title>Format of the application for registration and extension of registration</Title>
            <P1 DocumentURI="http://www.legislation.gov.uk/eur/2019/364/article/1" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/article/1" id="article-1">
               <Pnumber>Article 1</Pnumber>
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                  <P2 DocumentURI="http://www.legislation.gov.uk/eur/2019/364/article/1/1" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/article/1/1" id="article-1-1">
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                        <Text>An application for registration or extension of registration shall be submitted in the format set out in the Annex.</Text>
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                        <Text>The trade repository shall give a unique reference number to each document it submits and shall clearly identify which specific requirement in Delegated Regulation (EU) 2019/359 the document refers to.</Text>
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                  <P2 DocumentURI="http://www.legislation.gov.uk/eur/2019/364/article/1/3" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/article/1/3" id="article-1-3">
                     <Pnumber PuncBefore="" PuncAfter=".">3</Pnumber>
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                        <Text>An application for registration or extension of registration shall clearly indicate the reasons why information referring to a certain requirement is not submitted.</Text>
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                  <P2 DocumentURI="http://www.legislation.gov.uk/eur/2019/364/article/1/4" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/article/1/4" id="article-1-4">
                     <Pnumber PuncBefore="" PuncAfter=".">4</Pnumber>
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                        <Text>An application for registration or extension of registration shall be submitted in a durable medium as defined in Article 2(1)(m) of Directive 2009/65/EC.</Text>
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         <P1group RestrictExtent="E+W+S+N.I." RestrictStartDate="2018-12-13">
            <Title>Entry into force</Title>
            <P1 DocumentURI="http://www.legislation.gov.uk/eur/2019/364/article/2" IdURI="http://www.legislation.gov.uk/id/eur/2019/364/article/2" id="article-2">
               <Pnumber>Article 2</Pnumber>
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                  <Text>This Regulation shall enter into force on the twentieth day following that of its publication in the <Emphasis>Official Journal of the European Union</Emphasis>.</Text>
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               <Text>This Regulation shall be binding in its entirety and directly applicable in all Member States.</Text>
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                  <Text>Done at Brussels, 13 December 2018.</Text>
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                        <Emphasis>For the Commission</Emphasis>
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                        <Emphasis>The President</Emphasis>
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                     <Text>Jean-Claude <Uppercase>Juncker</Uppercase>
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                     <tbody><tr><th colspan="2">FORMAT FOR AN APPLICATION FOR REGISTRATION OR EXTENSION OF REGISTRATION AS A TRADE REPOSITORY</th></tr><tr><th colspan="2">GENERAL INFORMATION</th></tr><tr><td>Date of application</td><td/></tr><tr><td>Corporate name of the trade repository</td><td/></tr><tr><td>Legal address of the trade repository</td><td/></tr><tr><td>The types of securities financing transactions for which the trade repository is applying to be registered</td><td/></tr><tr><td>Name of the person responsible for the application</td><td/></tr><tr><td>Contact details of the person responsible for the application</td><td/></tr><tr><td>Name of the person(s) responsible for the compliance for the trade repository or involved in compliance assessments for the trade repository</td><td/></tr><tr><td>Contact details of the person(s) responsible for the compliance for the trade repository or involved in compliance assessments for the trade repository</td><td/></tr><tr><td>Identification of any parent company or any subsidiaries</td><td/></tr></tbody>
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                              <Footnote xmlns="http://www.legislation.gov.uk/namespaces/legislation" id="f00005">
                                 <FootnoteText>
                                    <Para>
                                       <Text>For all information required in Commission Delegated Regulation (EU) 2019/359 with the exception of points (a), (c) and (g) of Article 1 thereof.</Text>
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                           </td></tr></tfoot>
                     <tbody><tr><th colspan="4">DOCUMENT REFERENCES<FootnoteRef xmlns="http://www.legislation.gov.uk/namespaces/legislation" Ref="f00005"/>
                           </th></tr><tr><th colspan="4"/></tr><tr><th>Article of (EU) 2019/359</th><th>Unique reference number of the document</th><th>Title of the document</th><th>Chapter/section/page of the document where the information is provided or reason why the information is not provided</th></tr><tr><td/><td/><td/><td/></tr><tr><td/><td/><td/><td/></tr><tr><td/><td/><td/><td/></tr><tr><td/><td/><td/><td/></tr></tbody>
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   </EURetained><Footnotes><Footnote id="f00001">
         <FootnoteText>
            <Para>
               <Text>
                  <Citation id="c00001" Class="EuropeanUnionOfficialJournal" Year="2015" URI="https://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.L_.2015.337.01.0001.01.ENG" Date="2015-12-23">OJ L 337, 23.12.2015, p. 1</Citation>.</Text>
            </Para>
         </FootnoteText>
      </Footnote><Footnote id="f00002">
         <FootnoteText>
            <Para>
               <Text>Commission Delegated Regulation (EU) 2019/359 of 13 December 2018 supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration and extension of registration as a trade repository (see page 45 of this Official Journal).</Text>
            </Para>
         </FootnoteText>
      </Footnote><Footnote id="f00003">
         <FootnoteText>
            <Para>
               <Text>Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (<Citation id="c00002" Class="EuropeanUnionOfficialJournal" Year="2009" URI="https://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.L_.2009.302.01.0032.01.ENG" Date="2009-11-17">OJ L 302, 17.11.2009, p. 32</Citation>).</Text>
            </Para>
         </FootnoteText>
      </Footnote><Footnote id="f00004">
         <FootnoteText>
            <Para>
               <Text>Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (<Citation id="c00003" Class="EuropeanUnionOfficialJournal" Year="2010" URI="https://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.L_.2010.331.01.0084.01.ENG" Date="2010-12-15">OJ L 331, 15.12.2010, p. 84</Citation>).</Text>
            </Para>
         </FootnoteText>
      </Footnote></Footnotes><Commentaries><Commentary id="key-ae71bde176f752710b5b828631ef8004" Type="C"><Para><Text>The “appropriate regulator” has power to make such provision as they consider appropriate by means of an instrument in writing to prevent, remedy or mitigate any failure of the provisions of this Regulation to operate effectively or any other deficiency arising from the withdrawal of the United Kingdom from the EU, see The Financial Regulators’ <Citation URI="http://www.legislation.gov.uk/id/uksi/2018/1115" id="cfv6udev5-00005" Class="UnitedKingdomStatutoryInstrument" Year="2018" Number="1115" Title="Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018">Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1115)</Citation>, <CitationSubRef CitationRef="cfv6udev5-00005" id="cfv6udev5-00006" SectionRef="regulation-2" URI="http://www.legislation.gov.uk/id/uksi/2018/1115/regulation/2">regs. 2</CitationSubRef>, <CitationSubRef CitationRef="cfv6udev5-00005" id="cfv6udev5-00007" SectionRef="regulation-3" URI="http://www.legislation.gov.uk/id/uksi/2018/1115/regulation/3">3</CitationSubRef>, <CitationSubRef CitationRef="cfv6udev5-00005" id="cfv6udev5-00008" SectionRef="schedule-part-1" URI="http://www.legislation.gov.uk/id/uksi/2018/1115/schedule/part/1">Sch. Pt. 1</CitationSubRef> (as amended (25.10.2019) by <Citation URI="http://www.legislation.gov.uk/id/uksi/2019/1390" id="cfv6udev5-00009" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="1390" Title="The Financial Services (Miscellaneous) (Amendment) (EU Exit) (No. 3) Regulations 2019">The Financial Services (Miscellaneous) (Amendment) (EU Exit) (No. 3) Regulations 2019 (S.I. 2019/1390)</Citation>, <CitationSubRef CitationRef="cfv6udev5-00009" id="cfv6udev5-00010" SectionRef="regulation-1-3" URI="http://www.legislation.gov.uk/id/uksi/2019/1390/regulation/1/3">regs. 1(3)</CitationSubRef>, <CitationSubRef CitationRef="cfv6udev5-00009" id="cfv6udev5-00011" SectionRef="regulation-8-4" URI="http://www.legislation.gov.uk/id/uksi/2019/1390/regulation/8/4">8(4)</CitationSubRef>) (with saving on IP completion day by <Citation URI="http://www.legislation.gov.uk/id/uksi/2019/680" id="cfv6udev5-00012" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="680">S.I. 2019/680</Citation>, <CitationSubRef CitationRef="cfv6udev5-00012" id="cfv6udev5-00013" SectionRef="regulation-1-2" URI="http://www.legislation.gov.uk/id/uksi/2019/680/regulation/1/2">regs. 1(2)</CitationSubRef>, <CitationSubRef CitationRef="cfv6udev5-00012" id="cfv6udev5-00014" SectionRef="regulation-11" URI="http://www.legislation.gov.uk/id/uksi/2019/680/regulation/11">11</CitationSubRef>; <Citation URI="http://www.legislation.gov.uk/id/ukpga/2020/1" id="cfv6udev5-00015" Year="2020" Class="UnitedKingdomPublicGeneralAct" Number="1">2020 c. 1</Citation>, <CitationSubRef CitationRef="cfv6udev5-00015" id="cfv6udev5-00016" SectionRef="schedule-5-paragraph-1-1" URI="http://www.legislation.gov.uk/id/ukpga/2020/1/schedule/5/paragraph/1/1">Sch. 5 para. 1(1)</CitationSubRef>)</Text></Para></Commentary><Commentary id="key-1bf837a824046409ff61d4f2db32ebcc" Type="C"><Para><Text>Regulation: power to modify conferred (11.7.2023) by <Citation URI="http://www.legislation.gov.uk/id/ukpga/2023/29" id="cfv73bt55-00006" Class="UnitedKingdomPublicGeneralAct" Year="2023" Number="29" Title="Financial Services and Markets Act 2023">Financial Services and Markets Act 2023 (c. 29)</Citation>, <CitationSubRef CitationRef="cfv73bt55-00006" id="cfv73bt55-00007" SectionRef="section-86-3" URI="http://www.legislation.gov.uk/id/ukpga/2023/29/section/86/3">ss. 3, 86(3)</CitationSubRef>, <CitationSubRef CitationRef="cfv73bt55-00006" id="cfv73bt55-00008" SectionRef="section-3-schedule-1-part-1" URI="http://www.legislation.gov.uk/id/ukpga/2023/29/section/3/schedule/1/part/1">Sch. 1 Pts. 1</CitationSubRef>, <CitationSubRef CitationRef="cfv73bt55-00006" id="cfv73bt55-00009" SectionRef="section-3-schedule-1-part-3" URI="http://www.legislation.gov.uk/id/ukpga/2023/29/section/3/schedule/1/part/3" Operative="true">3</CitationSubRef>; <Citation URI="http://www.legislation.gov.uk/id/uksi/2023/779" id="cfv73bt55-00010" Class="UnitedKingdomStatutoryInstrument" Year="2023" Number="779" Title="The Financial Services and Markets Act 2023 (Commencement No. 1) Regulations 2023">S.I. 2023/779</Citation>, <CitationSubRef CitationRef="cfv73bt55-00010" id="cfv73bt55-00011" SectionRef="regulation-2-d" URI="http://www.legislation.gov.uk/id/uksi/2023/779/regulation/2/d">reg. 2(d)</CitationSubRef></Text></Para></Commentary></Commentaries></Legislation>