{
  "url": "https://openlegislation.uk/eu-regulation-2017-394/annex-IV/division-Format",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-394/annex-IV/division-Format.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/IV/division/Format",
  "kind": "division",
  "number": "Format of CSD records",
  "heading": "(Article 29(4) of Regulation (EU) No 909/2014)",
  "text": "Table 1\nTransaction/Settlement instructions (flow) records\nNo\nField\nFormat\n1\nSettlement instruction type\n(a) DFP — deliver free of payment settlement instructions;\n(b) RFP — receive free of payment settlement instructions;\n(c) DVP — delivery versus payment settlement instructions and\n(d) RVP — receive versus payment settlement instructions;\n(e) DWP — delivery with payment settlement instructions;\n(f) RWP — receive with payment settlement instructions;\n(g) PFOD — payment free of delivery settlement instructions.\n2\nTransaction type\n(a) TRAD — purchase or sale of securities;\n(b) COLI/COLO/CNCB — collateral management operations;\n(c) SECL/SECB — securities lending/borrowing operations;\n(d) REPU/RVPO/TRPO/TRVO/BSBK/SBBK — repurchase transactions;\n(e) OTHR (or more granular codes as provided by the CSD) — others.\n3\nUnique Instruction Reference of the participant\nUnique instruction reference of the participant according to the CSD's rules\n4\nTrade date\nISO 8601 date in the format YYYY-MM-DD\n5\nIntended Settlement Date\nISO 8601 date in the format YYYY-MM-DD\n6\nSettlement timestamp\nISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ\n7\nTimestamp of the moment of entry of the settlement instruction into the securities settlement system\nISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ\n8\nTimestamp of the moment of irrevocability of the settlement instruction\nISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ\n9\nMatching timestamp, where applicable\nISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ\n10\nSecurities account identifier\nUnique securities account identifier provided by the CSD\n11\nCash account identifier\nUnique cash account identifier provided by the central bank or the CSD authorised in accordance with point (a) of Article 54(2) of Regulation (EU) No 909/2014 or a designated credit institution referred to in point (b) of Article 54(2) of Regulation (EU) No 909/2014\n12\nSettlement bank identifier\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities\n13\nIdentifier of the instructing participant\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities\n14\nIdentifier of the instructing participant's counterparty\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) (with the obligation to convert to LEI for the purposes of reporting to authorities)\n15\nIdentifier of the instructing participant's client, where known to the CSD\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons\nWhere available national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level\n16\nIdentifier of the client of the instructing participant's counterparty, where known to the CSD\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons\nWhere available, national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level\n17\nSecurities identifiers\nISO 6166 ISIN 12 character alphanumerical code\n18\nSettlement currency\nISO 4217 Currency Code, 3 alphabetical digits\n19\nSettlement cash amount\nUp to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character\n20\nQuantity or nominal amount of securities\nUp to 20 numerical characters reported as whole numbers without decimals\n21\nStatus of settlement instructions\nPEND — Pending instruction (settlement at the ISD is still possible)\nPENF — Failing instruction (settlement at the ISD is no longer possible)\nSETT — Full settlement\nPAIN — Partially settled\nCANS — Instruction cancelled by the system\nCANI — Instruction cancelled by the participant\nRemaining part of securities to be settled (if Status of the instruction is PAIN)\nInformation on the remaining XXX amount of securities against YYY cash to be delivered\nMatching status\nMACH if matched or\nNMAT if the instruction is not matched\nHold status of the instruction\nPossible values:\nPREA [Your InstructionOnHold]\nCSDH [CSD Hold]\nCVAL [CSDValidation]\nCDLR [ConditionalDeliveryAwaitingRelease]\nBLANK if not on hold\nOpt-out of partial settlement\nPossible values:\nNPAR if opt-out of partial settlement is activated\nBLANK if partial settlement is allowed\nReason codes for not settled instructions (if Status of the instruction is PEND or PENF)\nBLOC AccountBlocked\nCDLR ConditionalDeliveryAwaitingRelease\nCLAC CounterpartyInsufficientSecurities\nCMON CounterpartyInsufficientMoney\nCSDH CSDHold\nCVAL CSDValidation\nFUTU AwaitingSettlementDate\nINBC IncompleteNumberCount\nLACK LackOfSecurities\nLATE MarketDeadlineMissed\nLINK PendingLinkedInstruction\nMONY InsufficientMoney\nOTHR Other\nPART TradeSettlesInPartials\nPRCY CounterpartyInstructionOnHold\nPREA YourInstructionOnHold\nSBLO SecuritiesBlocked\nCONF AwaitingConfirmation\nCDAC ConditionalDeliveryAwaitingCancellation\n22\nPlace of trading\nPopulated by the MIC (ISO Market Identification Code) (ISO 10383) if the instruction is resulting from a trade concluded on a trading venue or blank for OTC transactions\n23\nIf applicable, place of clearing\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code of the CCP clearing the transaction, or Bank Identifier Code (BIC) of the CCP with the obligation to convert to LEI for the purposes of reporting to authorities\n24\nWhere a buy-in process is initiated for a transaction, the following details regarding:\na)) the final results of the buy-in process (including the number and value of the bought-in financial instruments if the buy-in is successful);\nb)) if applicable, payment of cash compensation (including the amount of the cash compensation);\nc)) if applicable, cancellation of the initial settlement instruction.\nBuy-in initiated: Y/N\nBuy-in successful: Y/N/P\nNumber of bought-in financial instruments:\nUp to 20 numerical characters reported as whole numbers without decimals.\nValue of bought-in financial instruments:\nUp to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character\nPayment of cash compensation: Y/N\nAmount of the cash compensation: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character\nCancellation of the initial settlement instruction: Y/N\n25\nFor each settlement instruction that fails to settle on ISD, the amount of the penalties referred to in Article 7(2) of Regulation (EU) No 909/2014\nAmount of penalties: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character\nTable 2\nPosition (stock) records\nNo\nField\nFormat\n1\nIdentifiers of issuers for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) for legal persons with the obligation to convert to LEI for the purposes of reporting to authorities\n2\nIdentifier of each securities issue for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014\nISO 6166 ISIN 12 character alphanumerical code\n3\nIdentifier of each securities issue recorded in securities accounts not centrally maintained by the CSD\nISO 6166 ISIN 12 character alphanumerical code\n4\nIdentifier of the issuer CSD or of the relevant third country entity performing similar functions to an issuer CSD for each securities issue referred to in point 3\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities\n5\nFor each securities issue referred to in points 2 and 3, the law under which the securities recorded by the CSD are constituted\nISO 3166 2 character country code\n6\nCountry of incorporation of the issuers of each securities issue referred to in points 2 and 3\nISO 3166 2 character country code\n7\nIssuers' securities accounts identifiers, in the case of issuer CSDs\nUnique securities account identifier provided by the issuer CSD\n8\nIssuers' cash accounts identifiers, in the case of issuer CSDs\nInternational Bank Account Number (IBAN)\n9\nIdentifiers of settlement banks used by each issuer, in the case of issuer CSDs\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities\n10\nParticipants' identifiers\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities\n11\nParticipants' country of incorporation\nISO 3166 2 character country code\n12\nParticipants' securities accounts identifiers\nUnique securities account identifier provided by the CSD\n13\nParticipants' cash accounts identifiers\nUnique cash account identifier provided by the central bank\n14\nIdentifiers of settlement banks used by the each participant\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities\n15\nCountry of incorporation of settlement banks used by each participant\nISO 3166 2 character country code\n16\nType of securities accounts:\n(i) CSD participant's own account;\n(ii) CSD participant's client individual account;\n(iii) CSD participant's clients omnibus account.\nOW = own account\nIS = individually segregated account\nOM = omnibus account\n17\nEnd of day balances of securities accounts for each ISIN\nFiles, documents\n18\nFor each securities account and ISIN, the number of securities subject to settlement restrictions, type of restriction and, where relevant, the identity of the beneficiary of the restriction at the end of day\nFiles, documents\n19\nRecords of settlement fails, as well as of the measures adopted by the CSD and its participants to improve settlement efficiency, in accordance with the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014\nFiles, documents\nTable 3\nAncillary services records\nDirective 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).\nNo.\nAncillary Services under Regulation (EU) No 909/2014\nTypes of records\nFormat\n1\nOrganising a securities lending mechanism, as agent among participants of a securities settlement system\na)) Identification of delivering/receiving parties,\nb)) Details regarding each securities lending/borrowing operation, including volume and value of securities lent or borrowed, ISIN,\nc)) Purpose of each securities lending/borrowing operations,\nd)) Types of collateral,\ne)) Collateral valuation.\nFiles, documents\n2\nProviding collateral management services, as agent for participants in a securities settlement system\na)) Identification of delivering/receiving parties,\nb)) Details regarding each operation, including volume and value of securities, ISIN,\nc)) Types of collateral used,\nd)) Purpose of the use of collateral,\ne)) Collateral valuation.\nFiles, documents\n3\nSettlement matching, instruction routing, trade confirmation, trade verification\na)) Identification of the entities for which the CSD provides services,\nb)) Types of operations,\nc)) Details regarding each operation, including volume and value of securities serviced, ISIN.\nFiles, documents\n4\nServices related to shareholders' registers\na)) Identification of the entities for which the CSD provides services,\nb)) Types of services,\nc)) Details regarding each operation, including volume and value of securities serviced, ISIN.\nFiles, documents\n5\nSupporting the processing of corporate actions, including tax, general meetings and information services\na)) Identification of the entities for which the CSD provides services,\nb)) Types of services,\nc)) Details regarding each operation, including volume and value of securities/cash serviced, beneficiaries of the operation, ISIN.\nFiles, documents\n6\nNew issue services, including allocation and management of ISIN codes and similar codes\na)) Identification of the entities for which the CSD provides the services,\nb)) Types of services,\nc)) Details regarding each operation, including ISIN.\nFiles, documents\n7\nInstruction routing and processing, fee collection and processing and related reporting\na)) Identification of the entities for which the CSD provides the services,\nb)) Types of services,\nc)) Details regarding each operation, including volume and value of securities/cash serviced, beneficiaries of the operation, ISIN, purpose of the operation.\nFiles, documents\n8\nEstablishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services\na)) Details regarding the CSD links, including identification of CSDs,\nb)) Types of services.\nFiles, documents\n9\nProviding general collateral management services as an agent\na)) Identification of delivering/receiving parties,\nb)) Details regarding each operation, including volume and value of securities serviced, ISIN,\nc)) Types of collateral,\nd)) Purpose of collateral use,\ne)) Collateral valuation.\nFiles, documents\n10\nProviding regulatory reporting\na)) Identification of the entities for which the CSD provides reporting services,\nb)) Types of services.\nc)) Details regarding the data provided, including the legal basis and the purpose.\nFiles, documents\n11\nProviding information, data and statistics to market/census bureaus or other governmental or inter-governmental entities\na)) Identification of the entities for which the CSD provides services,\nb)) Types of services.\nc)) Details regarding the data provided, including the legal basis and the purpose.\nFiles, documents\n12\nProviding IT services\na)) Identification of the entities for which the CSD provides the services,\nb)) Types of services.\nc)) Details regarding the IT services.\nFiles, documents\n13\nProviding cash accounts to, and accepting deposits from, participants in a securities settlement system and holders of securities accounts, within the meaning of point 1 of Annex I of Directive 2013/36/EU of the European Parliament and of the Council\na)) Identification of the entities for which the CSD provides the services,\nb)) Cash accounts details,\nc)) Currency,\nd)) Deposits amounts,\ne)) End of day balances of the cash accounts provided by the CSD or the designated credit institution (for each currency)\nFiles, documents\n14\nProviding cash credit for reimbursement no later than the following business day, cash lending to pre-finance corporate actions and lending securities to holders of securities accounts, within the meaning of point 2 of Annex I to Directive 2013/36/EU\na)) Identification of the entities for which the CSD provides services,\nb)) Types of services\nc)) Details regarding each operation, including volume and value of securities/cash serviced, ISIN,\nd)) Types of collateral used,\ne)) Collateral valuation,\nf)) Purpose of operations,\ng)) Information about any incidents in relation to such services and remedial actions, including follow-up.\nFiles, documents\n15\nPayment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU\na)) Identification of the entities for which the CSD provides the services,\nb)) Types of services,\nc)) Details regarding each operation, including volume of cash, and purpose of operation.\nFiles, documents\n16\nGuarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU\na)) Identification of the entities for which the CSD provides the services,\nb)) Types of services,\nc)) Details regarding each operation, including volume and value of securities/cash, and purpose of operation.\nFiles, documents\n17\nTreasury activities involving foreign exchange and transferable securities related to managing participants' long balances, within the meaning of points 7(b) and (e) of Annex I to Directive 2013/36/EU\na)) Identification of the entities for which the CSD provides the services,\nb)) Types of services,\nc)) Details regarding each operation, including volume and value of securities/cash, and purpose of operation.\nFiles, documents\nTable 4\nBusiness records\nNo\nItem\nFormat\nDescription\n1\nOrganisational charts\nCharts\nManagement body, senior management, relevant committees, operational units and all other units or divisions of the CSD\n2\nIdentities of the shareholders or persons (natural or legal persons), that exercise direct or indirect control over the management of the CSD or that hold participations in the capital of the CSD and the amounts of those holdings\nS = Shareholder/M = Member\nD = Direct/I = Indirect\nN = Natural person/L = Legal person\nAmount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.\nShareholders or persons that exercise direct or indirect control over the management of the CSD or hold participations in the capital of the CSD (fields to be added for each of the relevant shareholder/person)\n3\nCSD participations in the capital of other legal entities\nFree text\nAmount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character.\nIdentification of each legal entity (fields to be added for each legal entity)\n4\nDocuments attesting the policies, procedures and processes required under the CSD's organisational requirements and in relation to the services provided by the CSD\nFiles, documents\n5\nMinutes of management body meetings and of meetings of senior management committees and other committees of the CSD\nFiles, documents\n6\nMinutes of the meetings of user committee(s)\nFiles, documents\n7\nMinutes of the meetings with consultation groups composed of participants and clients, if any\nFiles, documents\n8\nInternal and external audit reports, risk management reports, compliance and internal control reports, including responses from senior management to such reports\nFiles, documents\n9\nAll outsourcing contracts\nFiles, documents\n10\nBusiness continuity policy and disaster recovery plan\nFiles, documents\n11\nRecords reflecting all assets and liabilities and capital accounts of the CSD\nFiles, documents\n12\nRecords reflecting all costs and revenues, including costs and revenues which are accounted separately in accordance with Article 34(6) of Regulation (EU) No 909/2014\nFiles, documents\n13\nFormal complaints received\nFree text\nFor each formal complaint: information on complainant's name and address; date of receiving the complaint; names of all persons identified in the complaint; description of the nature of the complaint; content and outcome of the complaint; date when the complaint was resolved.\n14\nInformation on any interruption or dysfunction of services\nFree text\nRecords of any interruption or dysfunction of services, including a detailed report on the timing, effects of such interruption or dysfunction and remedial actions taken\n15\nRecords of the results of the back and stress tests performed for the CSDs providing banking-type ancillary services\nFiles, documents\n16\nWritten communications with the competent authority, ESMA and relevant authorities\nFiles, documents\n17\nLegal opinions received in accordance with the relevant provisions on organisational requirements provided in Chapter VII of Delegated Regulation (EU) 2017/392\nFiles, documents\n18\nLegal documentation regarding CSD link arrangements in accordance with Chapter XII of Delegated Regulation (EU) 2017/392\nFiles, documents\n19\nTariffs and fees applied to the different services, including any discount or rebate\nFree text",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338)."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2017/394/annex/IV/division/Format",
    "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."
}