# 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), Division Forms and templates for the cooperation between au: (Article 24(8) of Regulation (EU) No 909/2014) Extent: E+W+S+N.I. Table 1 Template 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 Field Content Frequency Details concerning the review and evaluation of the CSD referred to in Article 22(1) of Regulation (EU) No 909/2014 Information to be provided by the competent authority of the home Member State Corporate name of the CSD name when changes occur Legal address of the CSD address when changes occur List of services that the CSD provides in accordance with the Annex of Regulation (EU) No 909/2014 list when changes occur Structure and ownership of the group to which the CSD belongs schema when significant changes occur Level of the capital of the CSD (where relevant, Tier 1 capital and total capital) table when significant changes occur Organisation, management body and senior management of the CSD (including CVs) description when changes occur Processes and arrangements for governance description when changes significantly impact the governance of the CSD Details of the authorities involved in the supervision/oversight of the CSD name/function advance notification, where practicable, or as soon as possible Information on any material threats to the CSD's ability to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations description advance notification, where practicable, or without undue delay Sanctions and exceptional supervisory measures which may impact the activities of the CSD's branch description advance notification, where practicable, or without undue delay Repo on major problems of performance or incidents and remedial actions taken which may impact the activities of the branch description when it occurs Difficulties in the CSD's operations that have potentially significant spill-over effects on the branch Description as soon as possible Factors which suggest a potentially high risk of contagion from the operations of the CSD to the branch description as soon as possible Extension of services or withdrawal of the authorisation description advance notification, where practicable, or as soon as possible Headcount statistics table yearly basis Financial data, such as balance sheet, profit and loss accounts table yearly basis Size of the operations (assets under custody, revenues) table yearly basis Risk Management Policy description when changes significantly impact the governance or risk management of the CSD Where relevant for the branch, outsourcing agreements concerning the services provided by the branch schema when changes significantly impact the governance or risk management of the CSD Other information for the purpose of fulfilling its mandate Upon the request of the competent authority of the host Member State Information to be provided by the competent authority of the host Member State Corporate name of the branch name when changes occur Legal address of the branch address when changes occur List of services provided through the branch in accordance with the Annex of Regulation (EU) No 909/2014 list when changes occur Organisation, senior management of the branch description when changes occur Processes and arrangements specific to the governance of the branch description when changes significantly impact the governance or risk management of the CSD Details of the authorities involved in the supervision/oversight of the branch name/function advance notification, where practicable, or as soon as possible Information 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 description advance notification, where practicable, or as soon as possible Sanctions and exceptional supervisory measures applied to the branch description advance notification, where practicable, or as soon as possible Repo on major performance problems or incidents and remedial actions taken description when it occurs Difficulties in the branch's operations that have potentially significant spill-over effects on the CSD description as soon as possible Factors which suggest a potentially high risk of contagion from the operations of the branch to the operations of the CSD description as soon as possible Headcount statistics of the branch table yearly basis Financial data, such as balance sheet, profit and loss accounts concerning the branch table yearly basis Other information for the purpose of fulfilling its mandate Upon the request of the competent authority of the home Member State Table 2 Template to be filled in by the competent authority carrying out on-site inspections of a branch of the CSD Field Content Name of the competent authority requesting the on-site inspection Name Primary and secondary contact person of the competent authority requesting the on-site inspection name, telephone number, email address, role Name of the branch of the CSD where the on-site inspection will take place name and address Name of the CSD that has established the branch Name Where available, contact person of the CSD or the branch in charge of the on-site inspection name, telephone number, email address, role Name of the other competent authority name Primary and secondary contact person of the other competent authority name, telephone number, email address, role Scheduled date of the on-site inspection YYYY/MM/DD — YYYY/MM/DD Rationale for the on-site inspection text Underlying documents that are planned to be used in the context of the on-site inspection list of documents Table 3 Template 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 Field Content Corporate name of the CSD name Legal address of the CSD address List of services the CSD provides in accordance with the Annex to Regulation (EU) No 909/2014 list Corporate name of the CSD participants as Legal Entities list Home country of the CSD participants (ISO 2-digit country code) list LEI of the issuers whose securities issues are recorded in securities accounts centrally or not centrally maintained by the CSD list Home country of issuers (ISO 2-digit country) list ISIN code of the issued securities constituted under the law of the host Member State initially recorded in the CSD of the home Member State list Market 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 figure Market 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 figure Value 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 figure Value 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 figure Other information for the purpose of fulfilling its mandate Table 4 Template 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 Field Content Name of the competent authority of the host Member State Name Primary and secondary contact person of the competent authority of the host Member State name, telephone number, email address, role Name of the CSD that provides services in the host Member State considered to be in breach of its obligations name and address Contact person of the CSD that provides services in the host Member State considered to be in breach of its obligations name, telephone number, email address, role Name of the competent authority of the home Member State name Primary and secondary contact person of the competent authority of the home Member State name, telephone number, email address, role Where relevant, primary and secondary contact person of ESMA name, telephone number, email address, role Description 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 text --- Source: https://www.legislation.gov.uk/eur/2017/394/annex/III/division/Forms (the official version) Page: https://openlegislation.uk/eu-regulation-2017-394/annex-III/division-Forms Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.