{
  "url": "https://openlegislation.uk/eu-regulation-2017-394/annex-V/division-Forms",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-394/annex-V/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/V/division/Forms",
  "kind": "division",
  "number": "Forms and templates for access procedures",
  "heading": "(Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014)",
  "text": "Table 1\nTemplate for the request to establish a CSD link or for the request for access between a CSD and a CCP or a trading venue\nI. General information\nSender: requesting party\nAddressee: receiving party\nDate of request for access\nReference number given by the requesting party\nII. Identification of requesting party\nCorporate name of requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request (name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nIII. Services that form the object of the request\nTypes of services\nDescription of services\nIV. Identification of authorities\nName and contact details of the competent authority of the requesting party\nName\nFunction\nPhone\nEmail\nName and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nName\nFunction\nPhone\nEmail\nV.\nAny other relevant information and/or documents\nTable 2\nTemplate for the response granting access following a request to establish a CSD link or a request for access between a CSD and a CCP or a trading venue\nI. General information\nSender: receiving party\nAddressee: requesting party\nDate of request for access\nReference number given by the requesting party\nDate of receipt of the request for access\nReference number given by the receiving party\nII. Identification of the receiving CSD\nCorporate name of receiving party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the assessment of the request (name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nIII. Identification of the requesting party\nCorporate name of the requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request (name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nAccess granted\nYES\nIV. Identification of authorities\nName and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nName and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nV.\nAny other relevant information and/or documents\nTable 3\nTemplate for the refusal of access to a CSD\nI. General information\nSender: receiving CSD\nAddressee: requesting party\nDate of request for access\nReference number given by the requesting party\nDate of receipt of the request for access\nReference number given by the receiving CSD\nII. Identification of the receiving CSD\nCorporate name of receiving CSD\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the assessment of the request for access\nName\nFunction\nPhone\nEmail\nIII. Identification of the requesting party\nCorporate name of the requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request for access\nName\nFunction\nPhone\nEmail\nIV. Risk analysis of the request for access\nLegal risks resulting from the provision of services\nFinancial risks resulting from the provision of services\nOperational risks resulting from the provision of services\nV. Outcome of the risk analysis\nAccess would affect the risk profile of the CSD\nYES\nNO\nAccess would affect the smooth and orderly functioning of the financial markets\nYES\nNO\nAccess would cause systemic risk\nYES\nNO\nIn case of refusal of access, a summary of the reasons for such a refusal\nDeadline for complaint by the requesting party to the competent authority of the receiving CSD\nAccess granted\nNO\nVI. Identification of authorities\nName and contact details of the competent authority of the receiving CSD\nName\nFunction\nPhone\nEmail\nName and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nName\nFunction\nPhone\nEmail\nVII.\nAny other relevant information and/or documents\nTable 4\nTemplate for the refusal of access to the transaction feeds of a CCP or a trading venue\nI. General information\nSender: receiving party\nAddressee: requesting CSD\nDate of request for access\nReference number given by the requesting CSD\nDate of receipt of the request for access\nReference number given by the receiving party\nII. Identification of the receiving party\nCorporate name of receiving party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address)\nIII. Identification of the requesting CSD\nCorporate name of the requesting CSD\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request for access (name, function, phone number, email address)\nIV. Risk analysis of the request for access\nRisks resulting from the provision of services\nV. Outcome of the risk analysis\nAccess would affect the smooth and orderly functioning of the financial markets\nYES\nNO\nAccess would cause systemic risk\nYES\nNO\nA summary of the reasons for such a refusal\nDeadline for complaint by the requesting CSD to the competent authority of the receiving party\nAccess granted\nNO\nVI. Identification of authorities\nName and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nName and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)\nName\nFunction\nPhone\nEmail\nVII.\nAny other relevant information and/or documents\nTable 5\nTemplate for the complaint for refusal of access to a CSD\nI. General information\nSender: requesting party\nAddressee: competent authority of receiving CSD\nDate of request for access\nReference number given by the requesting party\nDate of receipt of request for access\nReference number given by the receiving CSD\nII. Identification of the requesting party\nCorporate name of requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request for access (name, function, phone number, email address)\nIII. Identification of the receiving CSD\nCorporate name of the receiving CSD\nCountry of origin\nLegal address\nName and contact details of the person responsible for the assessment of the request for access\nName\nFunction\nPhone\nEmail\nIV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access\nComments of the requesting party on the legal risks resulting from the provision of services\nComments of the requesting party on the financial risks resulting from the provision of services\nComments of the requesting party on the operational risks resulting from the provision of services\nComments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities.\nComments of the requesting party on the reasons of the receiving party for refusal of access\nAny relevant additional information\nV. Annexes\nCopy of the initial application for access submitted by the requesting party to the receiving CSD\nCopy of the response of the receiving CSD to the initial request for access\nVI.\nAny other relevant information and/or documents\nTable 6\nTemplate for the complaint for refusal of access to the transaction feeds of a CCP or a trading venue\nI. General information\nSender: requesting CSD\nAddressee: competent authority of receiving party\nDate of request for access\nReference number given by the requesting CSD\nDate of receipt of request for access\nReference number given by the receiving party\nII. Identification of the requesting CSD\nCorporate name of requesting CSD\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request for access (name, function, phone number, email address)\nIII. Identification of the receiving party\nCorporate name of receiving party\nCountry of origin\nLegal address\nName and contact details of the person responsible for the assessment of the request for access\nName\nFunction\nPhone\nEmail\nIV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access\nComments of the requesting CSD on the risks resulting from the provision of services\nComments of the requesting CSD on the reasons of the receiving party for refusal of access\nAny relevant additional information\nV. Annexes\nCopy of the initial application for access submitted by the requesting CSD to the receiving party\nCopy of the response of the receiving party to the initial request for access\nVI.\nAny other relevant information and/or documents\nTable 7\nTemplate for the consultation of other authorities on the assessment of refusal of access or for referral to ESMA\nI. General information\nSender: competent authority of the receiving party\nAddressee:\n(a) the competent authority of the place of establishment of the requesting participant; or\n(b) the competent authority of the place of establishment of the requesting issuer; or\n(c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or\n(d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or\n(e) ESMA (in case of referral to ESMA)\nDate of the request for access\nReference number given by the requesting party\nDate of receipt of the request for access\nReference number given by the receiving party\nDate of receipt of refusal of access complaint\nReference number given by the competent authority of the receiving party\nII. Identification of authorities\nName and contact details of the competent authority of the receiving party\nName\nFunction\nPhone\nEmail\nWhere applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nName\nFunction\nPhone\nEmail\nIII. Identification of the requesting party\nCorporate name of requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address)\nIV. Identification of the receiving party\nCorporate name of receiving party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the assessment of the request for access\nName\nFunction\nPhone\nEmail\nV. Assessment by the competent authority of the receiving party\nComments of the competent authority concerning:\n(a) the reasons of the receiving party for refusal of access, and\n(b) the arguments of the requesting party\nWhere applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nRefusal to grant access is deemed unjustified\nYES\nNO\nReasons provided by the competent authority of the receiving party in support of its assessment\nVI. Annexes\nCopy of the initial application for access submitted by the requesting party to the receiving party\nCopy of the response of the receiving party to the initial request for access\nCopy of the complaint from the requesting party regarding the refusal of access\nVII.\nAny other relevant information and/or documents\nTable 8\nTemplate for the response to the consultation by the competent authority or other authorities on the assessment of refusal of access, and for referral to ESMA\nI. General information\nSender:\n(a) the competent authority of the place of establishment of the requesting participant; or\n(b) the competent authority of the place of establishment of the requesting issuer; or\n(c) the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or\n(d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.\nAddressee:\n(a) competent authority of the receiving party; or\n(b) ESMA\nDate of the request for access\nReference number given by the requesting party\nDate of receipt of the request for access\nReference number given by the receiving party\nDate of receipt of the complaint for refusal of access\nReference number given by the competent authority of the receiving party\nDate of receipt of the assessment provided by the competent authority to the receiving party\nReference number given by the competent authority of the requesting party\nII. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party\nName and contact details of:\n(a) the competent authority of the place of establishment of the requesting participant; or\n(b) the competent authority of the place of establishment of the requesting issuer; or\n(c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or\n(d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.\nName\nFunction\nPhone\nEmail\nIII. Identification of the requesting party\nCorporate name of requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request for access (name, function, phone number, email address)\nIV. Identification of the receiving party\nCorporate name of receiving party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the assessment of the request for access\nName\nFunction\nPhone\nEmail\nV. Assessment by the competent authority of the receiving party\nComments concerning:\n(a) the reasons of the receiving party for refusal of access;\n(b) the arguments provided by the requesting party;\n(c) the reasons provided by the competent authority of the receiving party in support of its assessment.\nRefusal to grant access is deemed unjustified\nYES\nNO\nReasons provided by the authority in support of its assessment\nVI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nComments concerning:\n(a) the reasons of the receiving party for refusal of access;\n(b) the arguments provided by the requesting party;\n(c) the reasons provided by the competent authority of the receiving party in support of its assessment.\nRefusal to grant access is deemed unjustified\nYES\nNO\nReasons provided by the authority in support of its assessment\nVII. Annexes\nCopy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I\nCopy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II\nVIII.\nAny other relevant information and/or documents\nTable 9\nTemplate for the response to the complaint for refusal of access\nI. General information\nSender: competent authority of the receiving party\nAddressees:\n(a) requesting party;\n(b) receiving party;\n(c) the competent authority of the place of establishment of the requesting participant; or\n(d) the competent authority of the place of establishment of the requesting issuer; or\n(e) in case of CSD links, the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or\n(f) in case of access by a trading venue or a CCP, the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.\nDate of the request for access\nReference number given by the requesting party\nDate of receipt of the request for access\nReference number given by the receiving party\nDate of receipt of the complaint for refusal of access\nReference number given by the competent authority of the receiving party\nDate of receipt of the assessment by the competent authority of the requesting party and, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nReference number given by the competent authority of the requesting party or, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014\nII. Identification of the authority submitting the response to the complaint concerning a refusal of access\nName and contact details of the competent authority of the receiving party\nName\nFunction\nPhone\nEmail\nIII. Identification of the requesting party\nCorporate name of requesting party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the request for access (name, function, phone number, email address)\nIV. Identification of receiving party\nCorporate name of receiving party\nCountry of origin\nLegal address\nLEI\nName and contact details of the person responsible for the assessment of the request for access\nName\nFunction\nPhone\nEmail\nV. Assessment by the competent authority of the receiving party\nComments concerning:\n(a) the reasons of the receiving party for refusal of access;\n(b) the arguments provided by the requesting party;\n(c) the reasons provided by the authority of the requesting party in support of its assessment.\nWhere applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 concerning:\n(a) the reasons of the receiving party for refusal of access;\n(b) the arguments provided by the requesting party;\n(c) the reasons provided by the authority of the requesting party in support of its assessment.\nRefusal to grant access is deemed unjustified\nYES\nNO\nReasons provided by the competent authority of the receiving party in support of its assessment\nVI. Order requiring the receiving party to grant access to the requesting party\nWhen the refusal to grant access is deemed unjustified, a copy of the order requiring the receiving party to grant access to the requesting party, including the applicable deadline for compliance.\nVII.\nAny other relevant information and/or documents",
  "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/V/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."
}