{
  "url": "https://openlegislation.uk/eu-regulation-2013-1071",
  "json_url": "https://openlegislation.uk/eu-regulation-2013-1071.json",
  "id": "eur/2013/1071",
  "title": "Regulation (EU) No 1071/2013 of the European Central Bank of 24 September 2013 concerning the balance sheet of the monetary financial institutions sector (recast) (ECB/2013/33)",
  "short_title": "Regulation (EU) No 1071/2013 of the European Central Bank of 24 September 2013 concerning the balance sheet…",
  "long_title": "Regulation (EU) No 1071/2013 of the European Central Bank of 24 September 2013 concerning the balance sheet of the monetary financial institutions sector (recast) (ECB/2013/33)",
  "citation": "EU Regulation No 1071/2013",
  "type": "eur",
  "year": "2013",
  "number": "1071",
  "version": "current",
  "date": "2013-09-24",
  "revised": false,
  "valid_from": null,
  "extent": "E+W+S+N.I.",
  "unapplied_effects": 0,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/introduction",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/1",
      "kind": "article",
      "number": "1",
      "heading": "Definitions",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/2",
      "kind": "article",
      "number": "2",
      "heading": "Identification of MMFs",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/3",
      "kind": "article",
      "number": "3",
      "heading": "Actual reporting population",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/4",
      "kind": "article",
      "number": "4",
      "heading": "List of MFIs for statistical purposes",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-4",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/5",
      "kind": "article",
      "number": "5",
      "heading": "Statistical reporting requirements",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/6",
      "kind": "article",
      "number": "6",
      "heading": "Additional statistical reporting requirements for loan securitisations and other loan transfers",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-6",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/7",
      "kind": "article",
      "number": "7",
      "heading": "Timeliness",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-7",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/8",
      "kind": "article",
      "number": "8",
      "heading": "Accounting rules for the purposes of statistical reporting",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-8",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/9",
      "kind": "article",
      "number": "9",
      "heading": "Derogations",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-9",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/10",
      "kind": "article",
      "number": "10",
      "heading": "Minimum standards and national reporting arrangements",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-10",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/11",
      "kind": "article",
      "number": "11",
      "heading": "Mergers, divisions and reorganisations",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-11",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/12",
      "kind": "article",
      "number": "12",
      "heading": "Use of the reported statistical information for the purpose of minimum reserves",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-12",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/13",
      "kind": "article",
      "number": "13",
      "heading": "Verification and compulsory collection",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-13",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/14",
      "kind": "article",
      "number": "14",
      "heading": "First reporting",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-14",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/15",
      "kind": "article",
      "number": "15",
      "heading": "Repeal",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-15",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/16",
      "kind": "article",
      "number": "16",
      "heading": "Final provision",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/article-16",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "signature",
      "kind": "signature",
      "number": null,
      "heading": "Signature",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/signature",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "annex/I",
      "kind": "annex",
      "number": "I",
      "heading": "MONETARY FINANCIAL INSTITUTIONS AND STATISTICAL REPORTING REQUIREMENTS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "annex/I/division/n1",
      "kind": "division",
      "number": null,
      "heading": "Introduction",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/division-n1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I"
    },
    {
      "path": "annex/I/part/1",
      "kind": "division",
      "number": "PART 1",
      "heading": "Identification of certain MFIs",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I"
    },
    {
      "path": "annex/I/part/1/section/1",
      "kind": "division",
      "number": "SECTION 1",
      "heading": "Identification of certain MFIs based on principles of substitutability of deposits",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/1"
    },
    {
      "path": "annex/I/part/1/section/1/division/1.1",
      "kind": "division",
      "number": "1.1",
      "heading": "Financial institutions other than credit institutions which issue financial instruments that are considered close substitutes for deposits are classified as MFIs provided that they meet the MFI definition in other respects. The classification is based on the criteria of substitutability of deposits, i.e. whether liabilities are classified as deposits, which is determined by their liquidity, combining characteristics of transferability, convertibility, certainty and marketability, and having regard, where appropriate, to their term of issue.",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-1/section-1/division-1.1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/1/section/1"
    },
    {
      "path": "annex/I/part/1/section/1/division/1.2",
      "kind": "division",
      "number": "1.2",
      "heading": "For the purposes both of determining substitutability of deposits and classifying liabilities as deposits:",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-1/section-1/division-1.2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/1/section/1"
    },
    {
      "path": "annex/I/part/1/section/2",
      "kind": "division",
      "number": "SECTION 2",
      "heading": "Specifications for the MMFs’ identification criteria",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-1/section-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/1"
    },
    {
      "path": "annex/I/part/2",
      "kind": "division",
      "number": "PART 2",
      "heading": "Balance sheet (monthly stocks)",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I"
    },
    {
      "path": "annex/I/part/2/division/1",
      "kind": "division",
      "number": "1",
      "heading": "Instrument categories",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2"
    },
    {
      "path": "annex/I/part/2/division/1/division/a",
      "kind": "division",
      "number": "(a)",
      "heading": "Liabilities",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-1/division-a",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/1"
    },
    {
      "path": "annex/I/part/2/division/1/division/b",
      "kind": "division",
      "number": "(b)",
      "heading": "Assets",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-1/division-b",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/1"
    },
    {
      "path": "annex/I/part/2/division/2",
      "kind": "division",
      "number": "2",
      "heading": "Breakdown by maturity",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2"
    },
    {
      "path": "annex/I/part/2/division/2/division/a",
      "kind": "division",
      "number": "(a)",
      "heading": "Liabilities",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-2/division-a",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/2"
    },
    {
      "path": "annex/I/part/2/division/2/division/b",
      "kind": "division",
      "number": "(b)",
      "heading": "Assets",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-2/division-b",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/2"
    },
    {
      "path": "annex/I/part/2/division/3",
      "kind": "division",
      "number": "3",
      "heading": "Breakdown by purpose and separate identification of loans to sole proprietorships/partnerships without legal status",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2"
    },
    {
      "path": "annex/I/part/2/division/4",
      "kind": "division",
      "number": "4",
      "heading": "Breakdown by currency",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-4",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2"
    },
    {
      "path": "annex/I/part/2/division/5",
      "kind": "division",
      "number": "5",
      "heading": "Breakdown by sector and residency of counterparties",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.1",
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      "number": "5.1",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.2",
      "kind": "division",
      "number": "5.2",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.3",
      "kind": "division",
      "number": "5.3",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.4",
      "kind": "division",
      "number": "5.4",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.4",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.5",
      "kind": "division",
      "number": "5.5",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.6",
      "kind": "division",
      "number": "5.6",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.6",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/division/5.7",
      "kind": "division",
      "number": "5.7",
      "heading": "In the case of MMF shares/units issued by MFIs of the euro area Member States, reporting agents report as a minimum data on the residency of the holders according to a domestic/euro area other than domestic/rest of the world breakdown to allow the exclusion of holdings of non-residents of the euro area. NCBs may also derive the necessary statistical information from the data collected on the basis of Regulation (EU) No 1011/2012 (ECB/2012/24), to the extent that the data comply with timeliness pursuant to Article 7 of this Regulation and with the minimum standards defined in Annex IV.",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/division-5.7",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/2/division/5/annotation/n8",
      "kind": "division",
      "number": "( 5 )",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-2/division-5/annotation/n8",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/2/division/5"
    },
    {
      "path": "annex/I/part/3",
      "kind": "division",
      "number": "PART 3",
      "heading": "Balance sheet (quarterly stocks)",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I"
    },
    {
      "path": "annex/I/part/4",
      "kind": "division",
      "number": "PART 4",
      "heading": "Reporting of revaluation adjustments for the compilation of transactions",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-4",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I"
    },
    {
      "path": "annex/I/part/4/division/1",
      "kind": "division",
      "number": "1",
      "heading": "Write-offs/write-downs of loans",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-4/division-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/4"
    },
    {
      "path": "annex/I/part/4/division/2",
      "kind": "division",
      "number": "2",
      "heading": "Price revaluation of securities",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-4/division-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/4"
    },
    {
      "path": "annex/I/part/5",
      "kind": "division",
      "number": "PART 5",
      "heading": "Statistical reporting requirements for loan securitisations and other loan transfers",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I"
    },
    {
      "path": "annex/I/part/5/division/1",
      "kind": "division",
      "number": "1",
      "heading": "General requirements",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5"
    },
    {
      "path": "annex/I/part/5/division/2",
      "kind": "division",
      "number": "2",
      "heading": "Requirements for reporting net flows of loans securitised or otherwise transferred",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5"
    },
    {
      "path": "annex/I/part/5/division/2/division/2.1",
      "kind": "division",
      "number": "2.1",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-2/division-2.1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5/division/2"
    },
    {
      "path": "annex/I/part/5/division/2/division/2.2",
      "kind": "division",
      "number": "2.2",
      "heading": "The items referred to in Section 2.1 are allocated to Parts 1 and 2 of Table 5 as follows:",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-2/division-2.2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5/division/2"
    },
    {
      "path": "annex/I/part/5/division/2/division/2.3",
      "kind": "division",
      "number": "2.3",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-2/division-2.3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5/division/2"
    },
    {
      "path": "annex/I/part/5/division/3",
      "kind": "division",
      "number": "3",
      "heading": "Requirements for reporting of securitised and derecognised loans which are serviced",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5"
    },
    {
      "path": "annex/I/part/5/division/3/division/3.1",
      "kind": "division",
      "number": "3.1",
      "heading": "MFIs provide data in accordance with Part 3 of Table 5 on loans securitised and derecognised for which the MFI acts as servicer as follows:",
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-3/division-3.1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5/division/3"
    },
    {
      "path": "annex/I/part/5/division/3/division/3.2",
      "kind": "division",
      "number": "3.2",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-3/division-3.2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5/division/3"
    },
    {
      "path": "annex/I/part/5/division/3/division/3.3",
      "kind": "division",
      "number": "3.3",
      "heading": null,
      "url": "https://openlegislation.uk/eu-regulation-2013-1071/annex-I/part-5/division-3/division-3.3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "annex/I/part/5/division/3"
    },
    {
      "path": "annex/I/part/5/division/3/division/3.4",
      "kind": "division",
      "number": "3.4",
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      "heading": "Financial claims can be distinguished by whether they are negotiable or not. A claim is negotiable if its ownership is readily capable of being transferred from one unit to another by delivery or endorsement or of being offset in the case of financial derivatives. While any financial instrument can be potentially traded, negotiable instruments are designed to be traded on an organised exchange or over-the-counter, although actual trading is not a necessary condition for negotiability.",
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      "heading": "Without prejudice to the obligations set out in the previous paragraphs, the relevant NCB may authorise the acquiring institution to fulfil its obligation to report statistical information through temporary procedures, for instance separate forms for each of the merging institutions during several periods after the merger has taken place. The length of this derogation from normal reporting procedures should be limited to the extent possible and should not exceed six months after the merger has taken place. This derogation is without prejudice to the obligation for the acquiring institution to fulfil its reporting obligations in accordance with this Regulation and, if applicable, its obligation to assume the reporting obligations of merging institutions in accordance with this Annex.",
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