{
  "url": "https://openlegislation.uk/eu-regulation-2017-394/annex-III/division-Forms",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-394/annex-III/division-Forms.json",
  "legislation": "eur/2017/394",
  "legislation_title": "Commission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2017-394",
  "path": "annex/III/division/Forms",
  "kind": "division",
  "number": "Forms and templates for the cooperation between au",
  "heading": "(Article 24(8) of Regulation (EU) No 909/2014)",
  "text": "Table 1\nTemplate for the exchange of information between the competent authority of the home Member State and the competent authority of the host Member State where a CSD has set up a branch\nField\nContent\nFrequency\nDetails concerning the review and evaluation of the CSD referred to in Article 22(1) of Regulation (EU) No 909/2014\nInformation to be provided by the competent authority of the home Member State\nCorporate name of the CSD\nname\nwhen changes occur\nLegal address of the CSD\naddress\nwhen changes occur\nList of services that the CSD provides in accordance with the Annex of Regulation (EU) No 909/2014\nlist\nwhen changes occur\nStructure and ownership of the group to which the CSD belongs\nschema\nwhen significant changes occur\nLevel of the capital of the CSD (where relevant, Tier 1 capital and total capital)\ntable\nwhen significant changes occur\nOrganisation, management body and senior management of the CSD (including CVs)\ndescription\nwhen changes occur\nProcesses and arrangements for governance\ndescription\nwhen changes significantly impact the governance of the CSD\nDetails of the authorities involved in the supervision/oversight of the CSD\nname/function\nadvance notification, where practicable, or as soon as possible\nInformation on any material threats to the CSD's ability to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations\ndescription\nadvance notification, where practicable, or without undue delay\nSanctions and exceptional supervisory measures which may impact the activities of the CSD's branch\ndescription\nadvance notification, where practicable, or without undue delay\nRepo on major problems of performance or incidents and remedial actions taken which may impact the activities of the branch\ndescription\nwhen it occurs\nDifficulties in the CSD's operations that have potentially significant spill-over effects on the branch\nDescription\nas soon as possible\nFactors which suggest a potentially high risk of contagion from the operations of the CSD to the branch\ndescription\nas soon as possible\nExtension of services or withdrawal of the authorisation\ndescription\nadvance notification, where practicable, or as soon as possible\nHeadcount statistics\ntable\nyearly basis\nFinancial data, such as balance sheet, profit and loss accounts\ntable\nyearly basis\nSize of the operations (assets under custody, revenues)\ntable\nyearly basis\nRisk Management Policy\ndescription\nwhen changes significantly impact the governance or risk management of the CSD\nWhere relevant for the branch, outsourcing agreements concerning the services provided by the branch\nschema\nwhen changes significantly impact the governance or risk management of the CSD\nOther information for the purpose of fulfilling its mandate\nUpon the request of the competent authority of the host Member State\nInformation to be provided by the competent authority of the host Member State\nCorporate name of the branch\nname\nwhen changes occur\nLegal address of the branch\naddress\nwhen changes occur\nList of services provided through the branch in accordance with the Annex of Regulation (EU) No 909/2014\nlist\nwhen changes occur\nOrganisation, senior management of the branch\ndescription\nwhen changes occur\nProcesses and arrangements specific to the governance of the branch\ndescription\nwhen changes significantly impact the governance or risk management of the CSD\nDetails of the authorities involved in the supervision/oversight of the branch\nname/function\nadvance notification, where practicable, or as soon as possible\nInformation on any material threats to the ability of the CSD's branch to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations\ndescription\nadvance notification, where practicable, or as soon as possible\nSanctions and exceptional supervisory measures applied to the branch\ndescription\nadvance notification, where practicable, or as soon as possible\nRepo on major performance problems or incidents and remedial actions taken\ndescription\nwhen it occurs\nDifficulties in the branch's operations that have potentially significant spill-over effects on the CSD\ndescription\nas soon as possible\nFactors which suggest a potentially high risk of contagion from the operations of the branch to the operations of the CSD\ndescription\nas soon as possible\nHeadcount statistics of the branch\ntable\nyearly basis\nFinancial data, such as balance sheet, profit and loss accounts concerning the branch\ntable\nyearly basis\nOther information for the purpose of fulfilling its mandate\nUpon the request of the competent authority of the home Member State\nTable 2\nTemplate to be filled in by the competent authority carrying out on-site inspections of a branch of the CSD\nField\nContent\nName of the competent authority requesting the on-site inspection\nName\nPrimary and secondary contact person of the competent authority requesting the on-site inspection\nname, telephone number, email address, role\nName of the branch of the CSD where the on-site inspection will take place\nname and address\nName of the CSD that has established the branch\nName\nWhere available, contact person of the CSD or the branch in charge of the on-site inspection\nname, telephone number, email address, role\nName of the other competent authority\nname\nPrimary and secondary contact person of the other competent authority\nname, telephone number, email address, role\nScheduled date of the on-site inspection\nYYYY/MM/DD — YYYY/MM/DD\nRationale for the on-site inspection\ntext\nUnderlying documents that are planned to be used in the context of the on-site inspection\nlist of documents\nTable 3\nTemplate to be filled in by the competent authority of the home Member State following the request FOR information by the competent authority of the host Member State\nField\nContent\nCorporate name of the CSD\nname\nLegal address of the CSD\naddress\nList of services the CSD provides in accordance with the Annex to Regulation (EU) No 909/2014\nlist\nCorporate name of the CSD participants as Legal Entities\nlist\nHome country of the CSD participants (ISO 2-digit country code)\nlist\nLEI of the issuers whose securities issues are recorded in securities accounts centrally or not centrally maintained by the CSD\nlist\nHome country of issuers (ISO 2-digit country)\nlist\nISIN code of the issued securities constituted under the law of the host Member State initially recorded in the CSD of the home Member State\nlist\nMarket value or, if not available, nominal value of securities issued by issuers from the host Member State for which the CSD of the home Member State provides the core services referred to in point 1 or 2 of Section A of the Annex to of Regulation (EU) No 909/2014\nfigure\nMarket value or, if not available, nominal value of securities recorded in securities accounts not centrally maintained by the CSD of the home Member State for participants and other holders of securities accounts of the host Member State\nfigure\nValue of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State in relation to transactions in securities issued by issuers from the host Member State\nfigure\nValue of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State from participants as well as for other holders of securities accounts of the host Member State\nfigure\nOther information for the purpose of fulfilling its mandate\nTable 4\nTemplate to be filled in by the competent authority of the host Member State having clear and demonstrable grounds for believing that a CSD providing services within its territory in accordance with Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014\nField\nContent\nName of the competent authority of the host Member State\nName\nPrimary and secondary contact person of the competent authority of the host Member State\nname, telephone number, email address, role\nName of the CSD that provides services in the host Member State considered to be in breach of its obligations\nname and address\nContact person of the CSD that provides services in the host Member State considered to be in breach of its obligations\nname, telephone number, email address, role\nName of the competent authority of the home Member State\nname\nPrimary and secondary contact person of the competent authority of the home Member State\nname, telephone number, email address, role\nWhere relevant, primary and secondary contact person of ESMA\nname, telephone number, email address, role\nDescription of the grounds for believing that the CSD established in the home Member State providing services in the territory of the host Member State according to Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014\ntext",
  "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/2017/394/annex/III/division/Forms",
    "retrieved_at": "2026-11-01T14:45:08.424347+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."
}