{
  "url": "https://openlegislation.uk/eu-regulation-2015-1/annex-II",
  "json_url": "https://openlegislation.uk/eu-regulation-2015-1/annex-II.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/II",
  "kind": "annex",
  "number": "II",
  "heading": null,
  "text": "Table 1\nData to be reported to ESMA for each individual credit rating assigned under the issuer-pays model\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\nReporting year\nThe calendar year to which the reporting period refers.\nMandatory.\nFormat: YYYY\n3\nRating identifier\nUnique identifier of the rating. It shall be maintained unchanged over time and correspond to identifier reported under Delegated Regulation (EU) 2015/2.\nMandatory.\n—\n4\nContract rating start date\nDate of the initial contract for the rating service. Typically would correspond to the date on which the fees for the credit rating service are set.\nMandatory.\nISO 8601 extended date time format: YYYY-MM-DD\n5\nFee schedule used\nUnique identifier of the fee schedule under which the fees were set. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I. Where no fee schedule has been used to set the price, then the pricing policy identifier must be used. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.\nIf neither a pricing policy or fee schedule has been applied then ‘N’ should be used.\nMandatory.\nFee schedule in format ‘FS_[internal fee schedule identifier]’ or pricing policy identifier in format ‘PP_[internal pricing policy identifier]’\n‘N’ Non-applied\n6\nPerson(s) responsible for pricing\nInternal identifier assigned by the CRA to the person(s) responsible for setting the fees relating to the rating, either by applying the applicable fee schedule and/or fee programme or the person approving exceptions or discounts to the fee schedule and/or fee programme.\nMandatory.\nThe internal identifier of the person responsible\n7\nClient Identifier\nUnique code assigned by the CRA to identify the Client. Typically this should correspond to the issuer of the instrument or entity, however in no cases shall it be an SPV. For Structured Finance instruments the unique code should identify the originator or other entity that from an economic point of view (e.g. arranger), directly or indirectly via an SPV or SIV, effectively negotiates the fees with the credit rating agency. This shall correspond to one Client Identifier identified in Table 2 of Annex II.\nMandatory.\n8\nIndication of whether the individual rating benefited from fee exemption or reduction\nCertain credit ratings might not pay an individual direct fee/or might benefit from a reduction as the Client might have paid for a set of ratings, an annual (or other set period) nominal issuance amount, flat fee or be part of a ‘package’ of ratings (‘Group Fee’). This field identifies whether the individual rating is covered by such an arrangement with the Client.\nMandatory.\n‘C’ — covered by Group Fee arrangement,\n‘N’ not covered by Group Fee arrangement.\n9\nTotal amount of fees charged\nIdentifies the total amount of fees billed for the rating during the prior calendar reporting year. Where no fee was paid for the individual credit rating the amount should be 0 for all but one of the ratings benefitting from the Group Fee.\nMandatory.\nAmount in EUR\n10\nAmount of initial fees paid\nIdentifies the amount of up-front/initial fees billed during the prior calendar reporting year.\nMandatory.\nAmount in EUR\n11\nSurveillance fees paid\nIdentifies the annual surveillance/monitoring fees billed in prior calendar year.\nMandatory.\nAmount in EUR\n12\nOther fees charged for rating service\nIdentifies total of other fees or compensation billed in prior calendar year.\nIf applicable.\nAmount in EUR\n13\nDescription of other fees\nIndication of whether the fees billed included any consideration or fees for a rapid turnaround request by the Client for the rating service.\nMandatory.\nApplicable if ‘Other fees charged’ was filled in response to field ‘Other fees charged for rating service’ (field 12).\n‘Y’ — where rapidity fee applied,\n‘N’ — where no rapidity fee applied.\n14\nNegotiation links with other ratings\nIdentifies whether the rating fee negotiations was linked to other existing ratings of the Client and that led to variations in the final fees applied and paid for by the Client. This would include credit rating services provided in relation to vehicles set up to facilitate issuance, such as an MTN programme.\nMandatory.\n‘Y’ for Yes,\n‘N’ for No.\n15\nIdentification of the linked rating(s)\nUnique identifier of the rating(s) linked to the rating being reported (e.g., in the case of structured finance a master trust structure and its series)\nMandatory.\nApplicable if ‘Y’ was filled in response to field 14.\n—\nList of identifiers\n16\nFee programme\nIndication of whether the Client benefits in lower individual fees from a frequency or other fee programme.\nMandatory.\n‘Y’ for Yes,\n‘N’ for No.\n17\nIdentification of fee programme\nIdentification of the fee programme under which the rating is priced. Should identify the fee programme which must match with the identifier set out in the applicable fee programme set out under Table 3 of Annex I.\nMandatory if ‘Y’ was reported in field 16.\n—\nFee programme identifier in format ‘FP_[internal fee programme identifier]’\nTable 2\nData to be provided to ESMA for fees received on a per client basis for rating services and ancillary services\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\nClient identifier\nUnique code assigned by the CRA to identify the Client. Clients may be issuers, rated entities and/or originators, and/or include entities that from an economic point of view, directly or indirectly via an SPV or SIV, negotiates the fees with the credit rating agency in the context of credit rating arrangements. For clarification purposes it should be noted that in no instances shall a Client be an SPV or SIV. The Client shall retain the same unique identifier in all these cases.\nMandatory.\n3\nLegal entities\nList of legal entities that are included in the Client Identifier field.\nMandatory.\nList of names of legal entities\n4\nTotal overall fees billed\nTotal fees billed from the Client in the prior calendar year for issuer-pays rating services.\nMandatory.\nAmount in EUR\n5\nClient ratings\nIdentifies how many credit ratings the Client has with the credit rating agency at 31 December of the prior calendar year.\nMandatory.\nNumber of ratings\n6\nTotal fees for programmes\nTotal fees billed from the Client in the prior calendar year for rating services not derived from an individual rating but from a frequency issuance, relationship or other type of flat fee programme and excess issuance fees, which may cover one or more ratings.\nMandatory.\nAmount in EUR\n7\nIdentification of ratings\nIdentification of ratings issued under or covered by fees programmes in the prior calendar year.\nMandatory.\nList of ratings identifier\n8\nFees received for ancillary services\nTotal fees billed by the CRA group of companies from the Client for ancillary services in the previous calendar year.\nMandatory.\nAmount in EUR\n9\nMain ancillary services\nIdentification of the three main services provided by the CRA group to the Client in the prior calendar year, in revenue terms.\nMandatory. If more than 0 answered to field 8 ‘fees received for ancillary services’.\nList of ancillary services\n10\nRanking of ancillary services\nRanking of the ancillary services for the top three main services identified in field 9 ‘main ancillary services’, in revenue terms.\nMandatory. If more than 0 answered to field 8 ‘fees received for ancillary services’\nRanking of ancillary services\n11\nOther services\nIndication of whether account was taken for the setting of fees for the credit rating services provided to the Client of any services provided by any entities belonging to the credit rating agency’s group within the meaning of Articles 1 and 2 of Directive 83/349/EEC as well as any entity linked to the credit rating agency or other company of the credit rating agency’s group by a relationship within the meaning of Article 12(1) of Directive 83/349/EEC.\nMandatory.\n‘Y’ for Yes,\n‘N’ for No.",
  "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/II",
    "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."
}