# 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), Annex I

Extent: E+W+S+N.I.

Table 1
Reporting of pricing policies per rating class in force and subsequent material updates
No.
Field name
Description
Type
Standard
1
CRA identifier
Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.
Mandatory
2
CRA scope
Identification of the CRAs applying the pricing policy.
Mandatory
ISO 17442
3
Pricing policy identifier
Unique 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.
Mandatory
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
4
Pricing policy validity date
The date from which the pricing policy is valid.
Mandatory
ISO 8601 date format (YYYY-MM-DD)
5
Pricing policy end date
The end validity date of the pricing policy.
Mandatory
ISO 8601 date dormat (YYYY-MM-DD) or 9999-01-01
6
Indication of model
Indication 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.
Mandatory
‘I’ for issuer-pays model, and/or
‘S’ for investor-pays or subscriber-pays model
7
Scope of the pricing policy
Description of the type of ratings or ancillary services included or covered by the pricing policy.
Mandatory
Indication whether the pricing policy applies to one or more of:
‘All’,
‘C’ for corporate ratings (excluding covered bonds),
‘S’ for sovereign and public finance ratings,
‘T’ for structured finance ratings,
‘B’ for covered bond ratings,
‘O’ other types of ratings,
‘A’ for ancillary services.
8
Industry segment of the pricing policy
When reporting corporate ratings indication whether the pricing policy applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.
Mandatory
Applicable only if ‘C’ in field 7 ‘Scope of the pricing policy’
Indication whether the pricing policy applies to one or more of:
‘All’,
FI — for financial institutions including banks, brokers and dealers,
IN — for insurance rating type,
CO — for corporate issuers that do not belong to FI or IN classes.
9
Asset class of the pricing policy
When 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.
Mandatory
Applicable only if ‘T’ in field 7 ‘Scope of the pricing policy’
Indication whether the pricing policy applies to one or more of:
‘All’,
‘RMBS’ for RMBS ratings,
‘ABS’ for ABS ratings,
‘CMBS’ for CMBS ratings,
‘CDO’ for CDO ratings,
‘ABCP’ for ABCP ratings,
‘OTH’ other.
10
Sector
When 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.
Mandatory
Applicable only if ‘S’ in field 7 ‘Scope of the pricing policy’
Indication whether the pricing policy applies to one or more of:
‘All’,
‘SV’ — State rating,
‘SM’ — regional or local authority rating,
‘SO’ — supranational organisations rating other than ‘IF’,
‘PE’ — public entities rating,
‘IF’ — international financial institutions.
11
Previous pricing policy
The identification of the prior pricing policy which the current policy replaces.
Mandatory
Applicable if the current pricing policy changes the scope of application of a previous pricing policy
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
12
Pricing policy file name
Pricing policy file name. Shall be reported in a zip format
Mandatory
Table 2
Reporting of fee schedules per rating class in force and subsequent material updates
No.
Field name
Description
Type
Standard
1
CRA identifier
Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.
Mandatory
2
CRA scope
Identification of the CRAs applying the fee schedule.
Mandatory
ISO 17442
3
Fee schedule identifier
Unique 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.
Mandatory
Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
4
Pricing policy identifier
Identification 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.
Mandatory
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5
Fee schedule validity date
The date from which the fee schedule is valid.
Mandatory
ISO 8601 date format (YYYY-MM-DD)
6
Fee schedule end date
The end validity date of the fee schedule.
Mandatory
ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
7
Indication of model
Indication of whether fee schedule relates to issuer-pays ratings or investor-pays model.
Mandatory
‘I’ for issuer-pays model,
‘S’ for investor-pays or subscriber-pays model.
8
Rating type scope of the fee schedule
Description of the type of ratings or ancillary services included in the fee schedule.
Mandatory
Indication whether the fee schedule applies to one or more of:
‘All’,
‘C’ for corporate ratings (excluding covered bonds),
‘S’ for sovereign and public finance ratings,
‘T’ for structured finance ratings,
‘B’ for covered bond ratings,
‘O’ other types of ratings,
‘A’ for ancillary services.
9
Industry segment of the fee schedule
When reporting corporate ratings indication whether the fee schedule applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.
Mandatory.
Applicable only if ‘C’ in field 8 ‘Rating type scope of the fee schedule’
Indication whether the fee schedule applies to one or more of:
‘All’
‘FI’ — for financial institutions including banks, brokers and dealers,
‘IN’ — for insurance rating type,
‘CO’ — for corporate issuers that do not belong to FI or IN classes.
10
Asset class of the fee schedule
When 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.
Mandatory.
Applicable only if ‘T’ in field 8 ‘Rating type scope of the fee schedules’
Indication whether the fee schedule applies to one or more of:
‘All’,
‘RMBS’ for RMBS ratings,
‘ABS’ for ABS ratings,
‘CMBS’ for CMBS ratings,
‘CDO’ for CDO ratings,
‘ABCP’ for ABCP ratings,
‘OTH’ other.
11
Sector of the fee schedule
When 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.
Mandatory.
Applicable only if ‘S’ in field 8 ‘Rating type scope of the fee schedules’
Indication whether the fee schedule applies to one or more of:
‘All’,
SV — State rating,
SM — regional or local authority rating,
SO — supranational organisations rating other than ‘IF’,
PE — public entities rating,
IF — international financial institutions.
12
Sub-asset of the fee schedule
Defines the sub-asset classes for structured finance ratings.
Mandatory.
Applicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.
Indication whether the fee schedule applies to one or more of:
‘All’,
CCS — if ABS: credit card receivable backed securities,
ALB — if ABS: auto loan backed securities,
CNS — if ABS: consumer loan backed security
SME — if ABS: small and medium-sized enterprises loan backed securities,
LES — if ABS: leases to individual or business backed security,
HEL — if RMBS: home equity loans,
PRR — if RMBS: prime RMBS,
NPR — if RMBS: non-prime RMBS,
CFH — if CDO: cash flow and hybrid CDOs/CLOs,
SDO — if CDO: synthetic CDOs/CLOs,
MVO — if CDO: Market value CDOs,
SIV — if OTH: structured investment vehicles,
ILS — if OTH: insurance-linked securities,
DPC — if OTH: derivative product companies,
SCB — if OTH: structured covered bonds,
OTH — other.
13
Previous fee schedule
The identification of the prior fee schedule which the current fee schedule replaces.
Applicable if the current fee schedule changes the scope of application of a previous fee schedule
Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
14
Fee schedule file name
Fee schedule file name. Shall be reported in a zip format
Mandatory
Table 3
Reporting of fee programmes per rating class in force and subsequent material updates
No.
Field name
Description
Type
Standard
1
CRA identifier
Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.
Mandatory
2
CRA scope
Identification of the CRAs applying the fee programme.
Mandatory
ISO 17442
3
Fee programme identifier
Unique 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.
Mandatory
Fee programme identifier in format ‘FP_[internal fee programme identifier]’
4
Pricing policy identifier
Identification 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.
Mandatory
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5
Fee programme validity date
The date from which the fee programme is valid.
Mandatory
ISO 8601 date format (YYYY-MM-DD)
6
Fee programme end date
The end validity date of the fee programme.
Mandatory
—
ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
7
Indication of model
Indication of whether fee programme relates to issuer-pays ratings or investor-pays or subscriber-pays model.
Mandatory
‘I’ for issuer-pays model, and/or
‘S’ for investor-pays or subscriber-pays model.
8
Rating type scope of the fee programme
Description of the type of ratings or ancillary services included in the fee programme.
Mandatory
Indication whether the fee programme applies to one or more of:
‘All’,
‘C’ for corporate ratings (excluding covered bonds),
‘S’ for sovereign and public finance ratings,
‘T’ for structured finance ratings,
‘B’ for covered bond ratings,
‘O’ other types of ratings,
‘A’ for ancillary services.
9
Industry segment of the fee programme
When reporting corporate ratings indication whether the fee programme applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.
Mandatory
Applicable only if ‘C’ in field 8 ‘Scope of the fee programme’
Indication whether the fee programme applies to one or more of:
‘All’,
FI — for financial institutions including banks, brokers and dealers,
IN — for insurance rating type,
CO — for corporate issuers that do not belong to FI or IN classes.
10
Asset class of the fee programme
When 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.
Mandatory
Applicable only if ‘T’ in field 8 ‘Rating scope of the fee programme’
Indication whether the fee programme applies to one or more of:
‘All’,
‘RMBS’ for RMBS ratings,
‘ABS’ for ABS ratings,
‘CMBS’ for CMBS ratings,
‘CDO’ for CDO ratings,
‘ABCP’ for ABCP ratings,
‘OTH’ other.
11
Sector of the fee programme
When 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.
Mandatory
Applicable only if ‘S’ in field 8 ‘Rating type scope of the fee programme’
Indication whether the fee programme applies to one or more of:
‘All’,
SV — State rating,
SM — regional or local authority rating,
SO — supranational organisations rating other than ‘IF’,
PE — public entities rating,
IF — international financial institutions
12
Sub-asset of the fee programme
Defines the sub-asset classes for structured finance ratings.
Mandatory.
Applicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.
Indication whether the fee programme applies to one or more of:
‘All’,
CCS — if ABS: credit card receivable backed securities,
ALB — if ABS: auto loan backed securities,
CNS — if ABS: Consumer loan backed security,
SME — if ABS: small and medium-sized enterprises loan backed securities,
LES — if ABS: leases to individual or business backed security,
HEL — if RMBS: home equity loans,
PRR — if RMBS: prime RMBS
NPR — if RMBS: non-prime RMBS,
CFH — if CDO: cash flow and hybrid CDOs/CLOs,
SDO — if CDO: synthetic CDOs/CLOs,
MVO — if CDO: market value CDOs,
SIV — if OTH: structured investment vehicles,
ILS — if OTH: insurance-linked securities,
DPC — if OTH: derivative product companies,
SCB — if OTH: structured covered bonds,
OTH — other.
13
Type of programme included
Description 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.
Indication whether the fee programme applies to one or more of:
‘All’,
‘F’ frequency of use,
‘L’ loyalty programme,
‘M’ multi-issuance programmes,
‘B’ for package purchase of a preset number of credit ratings,
‘OTH’ other types of fee programme.
14
Previous fee programme
The identification of the prior fee programme which the current fee programme replaces.
Mandatory
Applicable if the current fee programme changes the scope of application of a previous fee programme.
Fee programme identifier in format ‘FP_[internal fee programme identifier]’
15
Fee schedule(s)
Unique 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.
Mandatory
if applicable
Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
16
Fee programme file name
Fee programme policy file name. Shall be reported in a zip format
Mandatory
Table 4
Reporting of pricing procedures in force and subsequent material updates
No.
Field name
Description
Type
Standard
1
CRA identifier
Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.
Mandatory.
2
CRA scope
Identification of the CRAs applying the pricing procedure.
Mandatory.
ISO 17442
3
Procedure identifier
Unique identifier of the pricing procedure that shall be maintained over time.
Mandatory.
4
Pricing policy identifier
Identification 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.
Mandatory.
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5
Fee schedule identifier
Identification 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.
Mandatory.
If applicable.
Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
6
Fee programme identifier
Identification 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.
Mandatory.
If applicable.
Fee programme identifier in format ‘FP_[internal fee programme identifier]’
7
Pricing procedure validity date
The date from which the pricing procedure is valid.
Mandatory.
ISO 8601 date format (YYYY-MM-DD)
8
Pricing procedure end date
End date of validity of the pricing procedure
Mandatory.
ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
9
Pricing procedure file name
Pricing procedure file name. Shall be reported in a zip format
Mandatory.

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Source: https://www.legislation.gov.uk/eur/2015/1/annex/I (the official version)
Page: https://openlegislation.uk/eu-regulation-2015-1/annex-I
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.