{
  "url": "https://openlegislation.uk/eu-regulation-2015-1/annex-I",
  "json_url": "https://openlegislation.uk/eu-regulation-2015-1/annex-I.json",
  "legislation": "eur/2015/1",
  "legislation_title": "Commission Delegated Regulation (EU) 2015/1 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the periodic reporting on fees charged by credit rating agencies for the purpose of ongoing supervision by the European Securities and Markets Authority (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2015-1",
  "path": "annex/I",
  "kind": "annex",
  "number": "I",
  "heading": null,
  "text": "Table 1\nReporting of pricing policies per rating class in force and subsequent material updates\nNo.\nField name\nDescription\nType\nStandard\n1\nCRA identifier\nCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.\nMandatory\n2\nCRA scope\nIdentification of the CRAs applying the pricing policy.\nMandatory\nISO 17442\n3\nPricing policy identifier\nUnique identifier of the pricing policy that shall be maintained. All changes other than the scope of the rating types covered by the pricing policy should maintain the same unique identifier. Changes in the scope require a new pricing policy identifier.\nMandatory\nPricing policy identifier in format ‘PP_[internal pricing policy identifier]’\n4\nPricing policy validity date\nThe date from which the pricing policy is valid.\nMandatory\nISO 8601 date format (YYYY-MM-DD)\n5\nPricing policy end date\nThe end validity date of the pricing policy.\nMandatory\nISO 8601 date dormat (YYYY-MM-DD) or 9999-01-01\n6\nIndication of model\nIndication of whether the pricing policy relates to issuer-pays ratings or investor-pays or subscriber-pays model. ESMA understands that CRAs may operate services under more than one model and therefore it is possible that a pricing policy may be used for both types of models. In such cases I and S may both be chosen.\nMandatory\n‘I’ for issuer-pays model, and/or\n‘S’ for investor-pays or subscriber-pays model\n7\nScope of the pricing policy\nDescription of the type of ratings or ancillary services included or covered by the pricing policy.\nMandatory\nIndication whether the pricing policy applies to one or more of:\n‘All’,\n‘C’ for corporate ratings (excluding covered bonds),\n‘S’ for sovereign and public finance ratings,\n‘T’ for structured finance ratings,\n‘B’ for covered bond ratings,\n‘O’ other types of ratings,\n‘A’ for ancillary services.\n8\nIndustry segment of the pricing policy\nWhen reporting corporate ratings indication whether the pricing policy applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.\nMandatory\nApplicable only if ‘C’ in field 7 ‘Scope of the pricing policy’\nIndication whether the pricing policy applies to one or more of:\n‘All’,\nFI — for financial institutions including banks, brokers and dealers,\nIN — for insurance rating type,\nCO — for corporate issuers that do not belong to FI or IN classes.\n9\nAsset class of the pricing policy\nWhen reporting structured finance ratings indication whether the pricing policy applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.\nMandatory\nApplicable only if ‘T’ in field 7 ‘Scope of the pricing policy’\nIndication whether the pricing policy applies to one or more of:\n‘All’,\n‘RMBS’ for RMBS ratings,\n‘ABS’ for ABS ratings,\n‘CMBS’ for CMBS ratings,\n‘CDO’ for CDO ratings,\n‘ABCP’ for ABCP ratings,\n‘OTH’ other.\n10\nSector\nWhen reporting sovereign and public finance ratings indication whether the pricing policy applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.\nMandatory\nApplicable only if ‘S’ in field 7 ‘Scope of the pricing policy’\nIndication whether the pricing policy applies to one or more of:\n‘All’,\n‘SV’ — State rating,\n‘SM’ — regional or local authority rating,\n‘SO’ — supranational organisations rating other than ‘IF’,\n‘PE’ — public entities rating,\n‘IF’ — international financial institutions.\n11\nPrevious pricing policy\nThe identification of the prior pricing policy which the current policy replaces.\nMandatory\nApplicable if the current pricing policy changes the scope of application of a previous pricing policy\nPricing policy identifier in format ‘PP_[internal pricing policy identifier]’\n12\nPricing policy file name\nPricing policy file name. Shall be reported in a zip format\nMandatory\nTable 2\nReporting of fee schedules per rating class in force and subsequent material updates\nNo.\nField name\nDescription\nType\nStandard\n1\nCRA identifier\nCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.\nMandatory\n2\nCRA scope\nIdentification of the CRAs applying the fee schedule.\nMandatory\nISO 17442\n3\nFee schedule identifier\nUnique identifier of the fee schedule that shall be maintained over time. All changes other than the scope of the rating types covered by the fee schedule should maintain the same unique identifier. Changes in the scope require a new fee schedule identifier.\nMandatory\nFee schedule identifier in format ‘FS_[internal fee schedule identifier]’\n4\nPricing policy identifier\nIdentification of the pricing policy which the fee schedule is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.\nMandatory\nPricing policy identifier in format ‘PP_[internal pricing policy identifier]’\n5\nFee schedule validity date\nThe date from which the fee schedule is valid.\nMandatory\nISO 8601 date format (YYYY-MM-DD)\n6\nFee schedule end date\nThe end validity date of the fee schedule.\nMandatory\nISO 8601 date format (YYYY-MM-DD) or 9999-01-01\n7\nIndication of model\nIndication of whether fee schedule relates to issuer-pays ratings or investor-pays model.\nMandatory\n‘I’ for issuer-pays model,\n‘S’ for investor-pays or subscriber-pays model.\n8\nRating type scope of the fee schedule\nDescription of the type of ratings or ancillary services included in the fee schedule.\nMandatory\nIndication whether the fee schedule applies to one or more of:\n‘All’,\n‘C’ for corporate ratings (excluding covered bonds),\n‘S’ for sovereign and public finance ratings,\n‘T’ for structured finance ratings,\n‘B’ for covered bond ratings,\n‘O’ other types of ratings,\n‘A’ for ancillary services.\n9\nIndustry segment of the fee schedule\nWhen reporting corporate ratings indication whether the fee schedule applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.\nMandatory.\nApplicable only if ‘C’ in field 8 ‘Rating type scope of the fee schedule’\nIndication whether the fee schedule applies to one or more of:\n‘All’\n‘FI’ — for financial institutions including banks, brokers and dealers,\n‘IN’ — for insurance rating type,\n‘CO’ — for corporate issuers that do not belong to FI or IN classes.\n10\nAsset class of the fee schedule\nWhen reporting structured finance ratings indication whether the fee schedule applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.\nMandatory.\nApplicable only if ‘T’ in field 8 ‘Rating type scope of the fee schedules’\nIndication whether the fee schedule applies to one or more of:\n‘All’,\n‘RMBS’ for RMBS ratings,\n‘ABS’ for ABS ratings,\n‘CMBS’ for CMBS ratings,\n‘CDO’ for CDO ratings,\n‘ABCP’ for ABCP ratings,\n‘OTH’ other.\n11\nSector of the fee schedule\nWhen reporting sovereign and public finance ratings indication whether the fee schedule applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.\nMandatory.\nApplicable only if ‘S’ in field 8 ‘Rating type scope of the fee schedules’\nIndication whether the fee schedule applies to one or more of:\n‘All’,\nSV — State rating,\nSM — regional or local authority rating,\nSO — supranational organisations rating other than ‘IF’,\nPE — public entities rating,\nIF — international financial institutions.\n12\nSub-asset of the fee schedule\nDefines the sub-asset classes for structured finance ratings.\nMandatory.\nApplicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.\nIndication whether the fee schedule applies to one or more of:\n‘All’,\nCCS — if ABS: credit card receivable backed securities,\nALB — if ABS: auto loan backed securities,\nCNS — if ABS: consumer loan backed security\nSME — if ABS: small and medium-sized enterprises loan backed securities,\nLES — if ABS: leases to individual or business backed security,\nHEL — if RMBS: home equity loans,\nPRR — if RMBS: prime RMBS,\nNPR — if RMBS: non-prime RMBS,\nCFH — if CDO: cash flow and hybrid CDOs/CLOs,\nSDO — if CDO: synthetic CDOs/CLOs,\nMVO — if CDO: Market value CDOs,\nSIV — if OTH: structured investment vehicles,\nILS — if OTH: insurance-linked securities,\nDPC — if OTH: derivative product companies,\nSCB — if OTH: structured covered bonds,\nOTH — other.\n13\nPrevious fee schedule\nThe identification of the prior fee schedule which the current fee schedule replaces.\nApplicable if the current fee schedule changes the scope of application of a previous fee schedule\nFee schedule identifier in format ‘FS_[internal fee schedule identifier]’\n14\nFee schedule file name\nFee schedule file name. Shall be reported in a zip format\nMandatory\nTable 3\nReporting of fee programmes per rating class in force and subsequent material updates\nNo.\nField name\nDescription\nType\nStandard\n1\nCRA identifier\nCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.\nMandatory\n2\nCRA scope\nIdentification of the CRAs applying the fee programme.\nMandatory\nISO 17442\n3\nFee programme identifier\nUnique identifier of the fee programme that shall be maintained over time. All changes other than the scope of the rating types or type of programme covered by the fee programme should maintain the same unique identifier. Changes in the scope require a new fee programme identifier.\nMandatory\nFee programme identifier in format ‘FP_[internal fee programme identifier]’\n4\nPricing policy identifier\nIdentification of the pricing policy which the fee programme is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.\nMandatory\nPricing policy identifier in format ‘PP_[internal pricing policy identifier]’\n5\nFee programme validity date\nThe date from which the fee programme is valid.\nMandatory\nISO 8601 date format (YYYY-MM-DD)\n6\nFee programme end date\nThe end validity date of the fee programme.\nMandatory\n—\nISO 8601 date format (YYYY-MM-DD) or 9999-01-01\n7\nIndication of model\nIndication of whether fee programme relates to issuer-pays ratings or investor-pays or subscriber-pays model.\nMandatory\n‘I’ for issuer-pays model, and/or\n‘S’ for investor-pays or subscriber-pays model.\n8\nRating type scope of the fee programme\nDescription of the type of ratings or ancillary services included in the fee programme.\nMandatory\nIndication whether the fee programme applies to one or more of:\n‘All’,\n‘C’ for corporate ratings (excluding covered bonds),\n‘S’ for sovereign and public finance ratings,\n‘T’ for structured finance ratings,\n‘B’ for covered bond ratings,\n‘O’ other types of ratings,\n‘A’ for ancillary services.\n9\nIndustry segment of the fee programme\nWhen reporting corporate ratings indication whether the fee programme applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.\nMandatory\nApplicable only if ‘C’ in field 8 ‘Scope of the fee programme’\nIndication whether the fee programme applies to one or more of:\n‘All’,\nFI — for financial institutions including banks, brokers and dealers,\nIN — for insurance rating type,\nCO — for corporate issuers that do not belong to FI or IN classes.\n10\nAsset class of the fee programme\nWhen reporting structured finance ratings indication whether the fee programme applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.\nMandatory\nApplicable only if ‘T’ in field 8 ‘Rating scope of the fee programme’\nIndication whether the fee programme applies to one or more of:\n‘All’,\n‘RMBS’ for RMBS ratings,\n‘ABS’ for ABS ratings,\n‘CMBS’ for CMBS ratings,\n‘CDO’ for CDO ratings,\n‘ABCP’ for ABCP ratings,\n‘OTH’ other.\n11\nSector of the fee programme\nWhen reporting sovereign and public finance ratings indication whether the fee programme applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.\nMandatory\nApplicable only if ‘S’ in field 8 ‘Rating type scope of the fee programme’\nIndication whether the fee programme applies to one or more of:\n‘All’,\nSV — State rating,\nSM — regional or local authority rating,\nSO — supranational organisations rating other than ‘IF’,\nPE — public entities rating,\nIF — international financial institutions\n12\nSub-asset of the fee programme\nDefines the sub-asset classes for structured finance ratings.\nMandatory.\nApplicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.\nIndication whether the fee programme applies to one or more of:\n‘All’,\nCCS — if ABS: credit card receivable backed securities,\nALB — if ABS: auto loan backed securities,\nCNS — if ABS: Consumer loan backed security,\nSME — if ABS: small and medium-sized enterprises loan backed securities,\nLES — if ABS: leases to individual or business backed security,\nHEL — if RMBS: home equity loans,\nPRR — if RMBS: prime RMBS\nNPR — if RMBS: non-prime RMBS,\nCFH — if CDO: cash flow and hybrid CDOs/CLOs,\nSDO — if CDO: synthetic CDOs/CLOs,\nMVO — if CDO: market value CDOs,\nSIV — if OTH: structured investment vehicles,\nILS — if OTH: insurance-linked securities,\nDPC — if OTH: derivative product companies,\nSCB — if OTH: structured covered bonds,\nOTH — other.\n13\nType of programme included\nDescription of the type of programme included in the fee programme, such as whether it relates to and/or includes a frequency of use programme, loyalty programme, multi-issuance programmes, purchase of a package of credit ratings or other types of programmes.\nIndication whether the fee programme applies to one or more of:\n‘All’,\n‘F’ frequency of use,\n‘L’ loyalty programme,\n‘M’ multi-issuance programmes,\n‘B’ for package purchase of a preset number of credit ratings,\n‘OTH’ other types of fee programme.\n14\nPrevious fee programme\nThe identification of the prior fee programme which the current fee programme replaces.\nMandatory\nApplicable if the current fee programme changes the scope of application of a previous fee programme.\nFee programme identifier in format ‘FP_[internal fee programme identifier]’\n15\nFee schedule(s)\nUnique identification number of any fee schedule(s) applicable or linked to the fee programme. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I.\nMandatory\nif applicable\nFee schedule identifier in format ‘FS_[internal fee schedule identifier]’\n16\nFee programme file name\nFee programme policy file name. Shall be reported in a zip format\nMandatory\nTable 4\nReporting of pricing procedures in force and subsequent material updates\nNo.\nField name\nDescription\nType\nStandard\n1\nCRA identifier\nCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.\nMandatory.\n2\nCRA scope\nIdentification of the CRAs applying the pricing procedure.\nMandatory.\nISO 17442\n3\nProcedure identifier\nUnique identifier of the pricing procedure that shall be maintained over time.\nMandatory.\n4\nPricing policy identifier\nIdentification of the pricing policy or policies which the pricing procedure is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 2 of Annex I.\nMandatory.\nPricing policy identifier in format ‘PP_[internal pricing policy identifier]’\n5\nFee schedule identifier\nIdentification of the schedule(s) which the pricing procedure is meant to implement. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I.\nMandatory.\nIf applicable.\nFee schedule identifier in format ‘FS_[internal fee schedule identifier]’\n6\nFee programme identifier\nIdentification of the fee programme(s) which the pricing procedure is meant to implement. This fee programme identifier must correspond to the identifier(s) set out under Table 3 of Annex I.\nMandatory.\nIf applicable.\nFee programme identifier in format ‘FP_[internal fee programme identifier]’\n7\nPricing procedure validity date\nThe date from which the pricing procedure is valid.\nMandatory.\nISO 8601 date format (YYYY-MM-DD)\n8\nPricing procedure end date\nEnd date of validity of the pricing procedure\nMandatory.\nISO 8601 date format (YYYY-MM-DD) or 9999-01-01\n9\nPricing procedure file name\nPricing procedure file name. Shall be reported in a zip format\nMandatory.",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2015/1/annex/I",
    "retrieved_at": "2026-11-01T14:46:59.157946+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}