{ "url": "https://openlegislation.uk/eu-regulation-2018-1229/annex-I", "json_url": "https://openlegislation.uk/eu-regulation-2018-1229/annex-I.json", "legislation": "eur/2018/1229", "legislation_title": "Commission Delegated Regulation (EU) 2018/1229 of 25 May 2018 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline (Text with EEA relevance)", "legislation_url": "https://openlegislation.uk/eu-regulation-2018-1229", "path": "annex/I", "kind": "annex", "number": "I", "heading": null, "text": "Table 1\nGeneral information on settlement fails to be reported by CSDs to the competent authorities and relevant authorities on a monthly basis\nNo.\nDetails to be reported\nFormat\n1.\nCountry code for the jurisdiction in which the CSD is established\nISO 3166 2 character country code\n2.\nSecurities settlement system operated by the CSD\nFree text\n3.\nReporting timestamp (CSD to competent authority/relevant authority)\nISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ\n4.\nReporting period: beginning and end dates of the period covered by the report\nISO 8601 date in the format YYYY-MM-DD-YYYY-MM-DD\n5.\nCSD Legal Entity Identifier\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code\n6.\nCorporate name of the CSD\nFree text\n7.\nName of the person responsible for the report sent by the CSD\nFree text\n8.\nFunction of the person responsible for the report sent by the CSD\nFree text\n9.\nPhone number of the person responsible for the report sent by the CSD\nOnly numeric characters may be used. The phone number must be provided with the country code and the local area code. No special characters may be used.\n10.\nEmail address of the person responsible for the report sent by the CSD\nEmail addresses must be supplied using the standard email address convention.\n11.\nNumber of settlement instructions during the period covered by the report\nUp to 20 numerical characters reported as whole numbers without decimals.\n12.\nNumber of settlement fails during the period covered by the report (covering both settlement fails for lack of securities and lack of cash)\nUp to 20 numerical characters reported as whole numbers without decimals.\n13.\nRate of settlement fails based on volume (number of settlement fails/number of settlement instructions during the period covered by the report)\n(covering both settlement fails for lack of securities and lack of cash)\nPercentage value up to 2 decimal places.\n14.\nRate of settlement fails based on value (EUR) (value of settlement fails/value of settlement instructions during the period covered by the report)\n(covering both settlement fails for lack of securities and lack of cash)\nPercentage value up to 2 decimal places.\n15.\nValue of settlement instructions (EUR) during the period covered by the report\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\n16.\nValue of settlement fails (EUR) during the period covered by the report\n(covering both settlement fails for lack of securities and lack of cash)\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\n17.\nTop 10 participants with the highest rates of settlement fails during the period covered by the report (based on number of settlement instructions)\nFor each participant identified by LEI\nParticipant LEI\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code\nTotal number of settlement instruction s per participant\nUp to 20 numerical characters reported as whole numbers without decimals.\nNumber of settlement fails per participant\nUp to 20 numerical characters reported as whole numbers without decimals.\nPercentage of settlement fails\nPercentage value up to 2 decimal places\nTotal value (EUR) of settlement instructions per participant\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\nValue (EUR) of settlement fails per participant\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\nRate of settlement fails\nPercentage value up to 2 decimal places.\n18.\nTop 10 participants with the highest rates of settlement fails during the period covered by the report (based on value (EUR) of settlement instructions)\nFor each participant identified by LEI:\nParticipant LEI\nISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code\nTotal value (EUR) of settlement instructions per participant\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\nValue (EUR) of settlement fails per participant\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\nPercentage of settlement fails\nPercentage value up to 2 decimal places\nTotal number of settlement instructions per participant\nUp to 20 numerical characters reported as whole numbers without decimals.\nNumber of settlement fails per participant\nUp to 20 numerical characters reported as whole numbers without decimals.\nRate of settlement fails\nPercentage value up to 2 decimal places.\n19.\nNumber of settlement instructions per currency in which the settlement instructions are denominated during the period covered by the report\nFor each ISO 4217 3 character Currency Code the volume will be expressed using up to 20 numerical characters reported as whole numbers without decimals.\n20.\nNumber of settlement fails per currency in which the settlement instructions are denominated during the period covered by the report\nFor each ISO 4217 3 character Currency Code the volume will be expressed using up to 20 numerical characters reported as whole numbers without decimals.\n21.\nRate of settlement fails per currency in which the settlement instructions are denominated, based on volume (number of settlement fails/number of settlement instructions per currency, during the period covered by the report)\nFor each ISO 4217 3 character Currency Code the rate shall be expressed as a percentage value up to 2 decimal places.\n22.\nValue of settlement instructions per currency in which the settlement instructions are denominated during the period covered by the report\nFor each ISO 4217 3 character Currency Code the value shall be expressed using 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\n23.\nValue of settlement fails per currency in which the settlement instructions are denominated during the period covered by the report\nFor each ISO 4217 3 character Currency Code the value shall be expressed using 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\n24.\nRate of settlement fails per currency in which the settlement instructions are denominated, based on value (value of settlement fails/value of settlement instructions per currency, during the period covered by the report)\nFor each ISO 4217 3 character Currency Code the rate shall be expressed as a percentage value up to 2 decimal places.\n25.\nNumber of settlement instructions for each type of financial instruments during the period covered by the report\nFor each type of financial instruments:\nUp to 20 numerical characters reported as whole numbers without decimals.\n26.\nNumber of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of financial instruments during the period covered by the report\nFor each type of financial instruments:\nUp to 20 numerical characters reported as whole numbers without decimals.\n27.\nRate of settlement fails for each type of financial instruments, based on volume (number of settlement fails/number of settlement instructions per each type of financial instruments, during the period covered by the report)\nFor each type of financial instruments the rate shall be expressed as a percentage value up to 2 decimal places.\n28.\nValue (EUR) of settlement instructions for each type of financial instruments\nFor each type of financial instruments the value shall be expressed using 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.\n29.\nValue (EUR) of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of financial instruments\nFor each type of financial instruments the value shall be expressed using 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.\n30.\nRate of settlement fails for each type of financial instrument, based on value (value of settlement fails/value of settlement instructions for each type of financial instrument, during the period covered by the report)\nFor each type of financial instruments the rate shall be expressed as a percentage value up to 2 decimal places.\n31.\nNumber of settlement instructions for each type of transactions during the period covered by the report\nFor each type of transactions the volume shall be expressed using up to 20 numerical characters reported as whole numbers without decimals.\n32.\nNumber of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of transactions during the period covered by the report\nFor each type of transactions the volume shall be expressed using up to 20 numerical characters reported as whole numbers without decimals.\n33.\nRate of settlement fails for each type of transactions, based on volume (number of settlement fails/number of settlement instructions per each type of transactions, during the period covered by the report)\nFor each type of transactions the rate shall be expressed as a percentage value up to 2 decimal places.\n34.\nValue (EUR) of settlement instructions for each type of transactions\nFor each type of transactions the value shall be expressed using 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.\n35.\nValue (EUR) of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of transactions\nFor each type of transactions the value shall be expressed using 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.\n36.\nRate of settlement fails for each type of transactions, based on value (value of settlement fails/value of settlement instructions for each type of transactions, during the period covered by the report)\nFor each type of transactions the rate shall be expressed as a percentage value up to 2 decimal places.\n37.\nTop 20 ISINs that are the object of settlement fails, based on the volume of settlement fails;\nISIN code\n38.\nTop 20 ISINs that are the object of settlement fails based on the value (EUR) of settlement fails.\nISIN Code\n39.\nTotal number of penalties referred to in Article 7(2) of Regulation (EU) No 909/2014, imposed by the CSD\nUp to 20 numerical characters reported as whole numbers without decimals.\n40.\nTotal value (EUR) of penalties referred to in Article 7(2) of Regulation (EU) No 909/2014, imposed by the CSD\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.\n41.\nAverage duration of settlement fails as number of days (difference between actual settlement date and intended settlement date, weighted for the value of the settlement fail)\nNumber of days reported as a number with one decimal.\n42.\nMain reasons for settlement fails\nFree text\n43.\nMeasures to improve settlement efficiency\nFree text\nTable 2\nDaily data on settlement fails to be reported by CSDs to the competent authorities and relevant authorities on a monthly basis\nCovers DVP and RVP settlement instructions.\nCovers DWP and RWP settlement instructions.\nCovers DPFOD and CPFOD settlement instructions.\nCovers DFP and RFP settlement instructions.\nDate (for each reporting day in the month)\nType of financial instruments\nType of transaction\nInternal vs Cross-system\nType of instruction\nFailure to deliver securities\nFailure to deliver cash\nSettlement fails\nTotal Instructions\nRate of fails\nSettlement fails\nTotal Instructions\nRate of fails\nVolume\nValue (EUR)\nVolume\nValue (EUR)\nVolume\nValue (EUR)\nVolume\nValue (EUR)\nVolume\nValue (EUR)\nVolume\nValue (EUR)\nTransferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nTransferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nTransferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nExchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nUnits in collective investment undertakings, other than ETFs\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nMoney market instruments other than Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nEmission allowances\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther financial instruments\nPurchase or sale of financial instruments\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nCollateral management operations\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nSecurities lending and securities borrowing\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nRepurchase transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP\nOther transactions\nIntra-CSD\nDVP\nDWP\nPFOD\nFoP\nCross-CSD\nDVP\nDWP\nPFOD\nFoP", "extent": "E+W+S+N.I.", "status": null, "version": "current", "annotations": [ { "type": "footnote", "label": "f1", "text": "Covers DVP and RVP settlement instructions." }, { "type": "footnote", "label": "f2", "text": "Covers DWP and RWP settlement instructions." }, { "type": "footnote", "label": "f3", "text": "Covers DPFOD and CPFOD settlement instructions." }, { "type": "footnote", "label": "f4", "text": "Covers DFP and RFP settlement instructions." } ], "outstanding_effects": [], "provenance": { "source": "legislation.gov.uk", "source_url": "https://www.legislation.gov.uk/eur/2018/1229/annex/I", "retrieved_at": "2026-11-01T14:43:58.393159+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." }