# Regulation (EU) No 1073/2013 of the European Central Bank of 18 October 2013 concerning statistics on the assets and liabilities of investment funds (recast) (ECB/2013/38) (revoked)

EU Regulation No 1073/2013 · adopted 18 October 2013

Regulation (EU) No 1073/2013 of the European Central Bank of 18 October 2013 concerning statistics on the assets and liabilities of investment funds (recast) (ECB/2013/38)

PDFs: Printed copy https://openlegislation.uk/eu-regulation-2013-1073/pdf/eur_20131073_adopted_en.pdf; Revised version (27 November 2013) https://openlegislation.uk/eu-regulation-2013-1073/pdf/eur_20131073_2013-11-27_en.pdf; Correction slip (29 November 2013) https://openlegislation.uk/eu-regulation-2013-1073/pdf/eurcs_20131073_en_001.pdf

## Introductory text

Regulation (EU) No 1073/2013 of the European Central Bank
of 18 October 2013
concerning statistics on the assets and liabilities of investment funds (recast)
(ECB/2013/38) (revoked)
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## 1 Definitions

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## 2 Actual reporting population

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## 3 List of IFs for statistical purposes

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## 4 Fund-by-fund reporting

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## 5 Quarterly and monthly statistical reporting requirements

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## 6 Revaluation adjustments or transactions

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## 7 Accounting rules

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## 8 Derogations

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## 9 Timeliness

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## 10 Minimum standards and national reporting arrangements

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## 11 Mergers, divisions and reorganisations

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## 12 Verification and compulsory collection

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## 13 First reporting

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## 14 Repeal

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## 15 Final provision

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## Signature

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## Annex I: STATISTICAL REPORTING REQUIREMENTS

### Division PART 1: General statistical reporting requirements

## 1 The actual reporting population must provide the following statistical information:

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## 2 

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## 3 

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### Division PART 2: Residency and economic sector of the holders of IF shares/units

## 1 

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## 2 

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## 3 As regards bearer shares/units, reporting agents report data on the residency and sector breakdown of the holders of IF shares/units in accordance with the approach decided by the relevant NCB. This requirement is limited to one or a combination of the following options, to be selected having regard to the organisation of the relevant markets and the national legal arrangements in the Member State in question. This requirement will be periodically monitored by the NCB.

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## 4 

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## 5 

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## PART 3 Reporting tables

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## Annex II: DEFINITIONS

### Division PART 1: Definitions of instrument categories

## 1 

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## 2 

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## 3 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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## PART 2 Definitions of security-by-security attributes

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## PART 3 Definitions of sectors

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## Annex III: REVALUATION ADJUSTMENTS OR TRANSACTIONS

## 1 

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## 2 

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## 3 

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## Annex IV MINIMUM STANDARDS TO BE APPLIED BY THE ACTUAL REPORTING POPULATION

Reporting agents must fulfil the following minimum standards to meet the European Central Bank’s (ECB’s) statistical reporting requirements.

## 1 Minimum standards for transmission:

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## 2 Minimum standards for accuracy:

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## 3 Minimum standards for compliance with concepts:

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## 4 Minimum standards for revisions:

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## Annex V 

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Source: https://www.legislation.gov.uk/eur/2013/1073 (the official version)
Page: https://openlegislation.uk/eu-regulation-2013-1073
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.