Annex IV AGGREGATE STATISTICAL DATA

United Kingdom

List of templates

Part 1	Consolidated data per Competent Authority
Part 2	Data on credit risk
Part 3	Data on market risk
Part 4	Data on operational risk
Part 5	Data on supervisory measures and administrative penalties
Part 6	Data on waivers

PART 1

Consolidated data per Competent Authority (year XXXX)

			Reference to COREP template	Data
The total assets figure shall be the total assets value of the country for the national competent authorities, only for rows 020 and 030, and for the ECB the total assets value of Significant Institutions for the whole SSM.
GDP at market price; suggested source – Eurostat/ECB.
EEA countries shall not be included.
Number of branches as defined in point (1) of Article 4(1) of CRR. Any number of places of business set up in the same country by a credit institution with headquarters in a third country should be counted as a single branch.
Number of subsidiaries as defined in point (16) of Article 4(1) of CRR. Any subsidiary of a subsidiary undertaking shall be regarded as a subsidiary of the parent undertaking, which is at the head of those undertakings.
Ratio of Common Equity Tier 1 capital as defined in Article 50 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).
Ratio of Additional Tier 1 Capital as defined in Article 61 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).
Ratio of Tier 2 Capital as defined in Article 71 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).
The 8 % of total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR.
The ratio of the own funds to the total risk exposure amount as defined in point (c) of Article 92(2) of CRR, expressed in percentage (%).
	Number and size of credit institutions
010	Number of credit institutions			[Value]
020	Total assets of the jurisdiction (in MEUR)^f1			[Value]
030	Total assets of the jurisdiction as % of GDP^f2			[Value]
	Number and size of foreign credit institutions^f3
040	From third countries	Number of branches^f4		[Value]
050		Total assets of branches (in MEUR)		[Value]
060		Number of subsidiarie^f5		[Value]
070		Total assets of subsidiaries (in MEUR)		[Value]
	Total capital and capital requirements of credit institutions
080	Total Common Equity Tier 1 capital as % of total capital^f6		CA1 (row 020 / row 010)	[Value]
090	Total Additional Tier 1 capital as % of total capital^f7		CA1 (row 530 / row 010)	[Value]
100	Total Tier 2 capital as % of total capital^f8		CA1 (row 750 / row 010)	[Value]
110	Total capital requirements (in MEUR)^f9		CA2 (row 010) * 8 %	[Value]
120	Total capital ratio (%)^f10		CA3 (row 050)	[Value]
	Number and size of investment firms
130	Number of investment firms			[Value]
140	Total assets (in MEUR)			[Value]
150	Total assets as % of GDP			[Value]
	Total capital and capital requirements of investment firms
160	Total Common Equity Tier 1 capital as % of total capital		CA1 (row 020 / row 010)	[Value]
170	Total Additional Tier 1 capital as % of total capital		CA1 (row 530 / row 010)	[Value]
180	Total Tier 2 capital as % of total capital		CA1 (row 750 / row 010)	[Value]
190	Total capital requirements (in MEUR)		CA2 (row 010) *8 %	[Value]
200	Total capital ratio (%)		CA3 (row 050)	[Value]

PART 2

Data on credit risk (year XXXX)

	Credit risk data			Reference to COREP template	data
Ratio of the own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR to the total own funds as defined in Articles 92(3), 95, 96 and 98 of CRR.
If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported for the three approaches may be higher than 100 %.
In the exceptional cases, where an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %.
Ratio of the own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR to the total own funds as defined in Articles 92(3), 95, 96 and 98 of CRR.
The percentage of the own fund requirements of investment firms that apply the SA and IRB approach respectively in relation to the total own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR.
The amount of the estimated losses shall be reported at the reporting reference date.
As defined in points (c) and (f) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1); only for the part of exposure treated as fully and completely secured according to Article 124 (1) of CRR;
As defined in points (a) and (d) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1).
When the value of the collateral has been calculated as mortgage lending value.
As defined in points (b) and (e) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1).
	Credit institutions: Own funds requirements for credit risk
010	Credit institutions: own funds requirements for credit risk	% of total own funds requirements ^f11		CA2 (row 040) / (row 010)	[Value]
020	Credit institutions: breakdown by approach	% based on the total number of credit institutions ^f12	Standardised Approach (SA)		[Value]
030			IRB approach when neither own estimates of Loss Given Default nor conversion factors are used		[Value]
040			IRB approach when own estimates of Loss Given Default and/or conversion factors are used		[Value]
050		% based on total own funds requirements for credit risk	SA	CA2 (row 050) / (row 040)	[Value]
060			IRB approach when neither own estimates of Loss Given Default nor conversion factors are used	CR IRB, Foundation IRB (row 010, col 260) / CA2 (row 040)	[Value]
070			IRB approach when own estimates of Loss Given Default and/or conversion factors are used	CR IRB, Advanced IRB (row 010, col 260) / CA2 (row 040)	[Value]
080	Credit institutions: breakdown by IRB exposure class	% based on total IRB risk weighted exposure amount	IRB approach when neither own estimates of Loss Given Default nor conversion factors are used	CA2 (row 250 / row 240)	[Value]
090			Central governments and central banks	CA2 (row 260 / row 240)	[Value]
100			Institutions	CA2 (row 270 / row 240)	[Value]
110			Corporates - SME	CA2 (row 280 / row 240)	[Value]
120			Corporates - Specialised Lending	CA2 (row 290 / row 240)	[Value]
130			Corporates - Other	CA2 (row 300 / row 240)	[Value]
140			IRB approach when own estimates of Loss Given Default and/or conversion factors are used	CA2 (row 310 / row 240)	[Value]
150			Central governments and central banks	CA2 (row 320 / row 240)	[Value]
160			Institutions	CA2 (row 330 / row 240)	[Value]
170			Corporates - SME	CA2 (row 340 / row 240)	[Value]
180			Corporates - Specialised Lending	CA2 (row 350 / row 240)	[Value]
190			Corporates - Other	CA2 (row 360 / row 240)	[Value]
200			Retail - Secured by real estate SME	CA2 (row 370 / row 240)	[Value]
210			Retail - Secured by real estate non-SME	CA2 (row 380 / row 240)	[Value]
220			Retail - Qualifying revolving	CA2 (row 390 / row 240)	[Value]
230			Retail - Other SME	CA2 (row 400 / row 240)	[Value]
240			Retail - Other non-SME	CA2 (row 410 / row 240)	[Value]
250			Equity IRB	CA2 (row 420 / row 240)	[Value]
260			Securitisation positions IRB	CA2 (row 430 / row 240)	[Value]
270			Other non credit-obligation assets	CA2 (row 450 / row 240)	[Value]
	Credit risk data			Reference to COREP template	data
280	Credit institutions: Own funds requirements for credit risk
290	Credit institutions: breakdown by SA exposure class*	% based on total SA risk weighted exposure amount	Central governments or central banks	CA2 (row 070 / row 050)	[Value]
300			Regional governments or local authorities	CA2 (row 080 / row 050)	[Value]
310			Public sector entities	CA2 (row 090 / row 050)	[Value]
320			Multilateral Development Banks	CA2 (row 100 / row 050)	[Value]
330			International Organisations	CA2 (row 110 / row 050)	[Value]
340			Institutions	CA2 (row 120 / row 050)	[Value]
350			Corporates	CA2 (row 130 / row 050)	[Value]
360			Retail	CA2 (row 140 / row 050)	[Value]
370			Secured by mortgages on immovable property	CA2 (row 150 / row 050)	[Value]
380			Exposures in default	CA2 (row 160 / row 050)	[Value]
390			Items associated with particular high risk	CA2 (row 170 / row 050)	[Value]
400			Covered bonds	CA2 (row 180 / row 050)	[Value]
410			Claims on institutions and corporates with a short-term credit assessment	CA2 (row 190 / row 050)	[Value]
420			Collective investment undertakings	CA2 (row 200 / row 050)	[Value]
430			Equity	CA2 (row 210 / row 050)	[Value]
440			Other items	CA2 (row 211 / row 050)	[Value]
450			Securitisation positions SA	CA2 (row 220 / row 050)	[Value]
460	Credit institutions: breakdown by credit risk mitigation (CRM) approach	% based on the total number of credit institutions ^f13	Financial collateral simple method		[Value]
470		% based on the total number of credit institutions ^f13	Financial collateral comprehensive method		[Value]
	Investment firms: Own funds requirements for credit risk
480	Investment firms: own funds requirements for credit risk	% of total own funds requirements ^f14		CA2 (row 040) / (row 010)	[Value]
490	Investment firms: breakdown by approach	% based on the total number of investment firms	SA		[Value]
500		% based on the total number of investment firms	IRB		[Value]
510		% based on total own funds requirements for credit risk ^f15	SA	(CA2 (row 050) / (row 040)	[Value]
520			IRB	(CA2 (row 240) / row 040)	[Value]

	Additional information on securitisation (in MEUR)			Reference to COREP template	data
	Credit institutions: originator
530	Total amount of securitisation exposures originated on balance sheet and off-balance sheet			CR SEC SA (row 030, col 010) + CR SEC IRB (row 030, col 010)	[Value]
540	Total amount of securitisation positions retained (securitisation positions - original exposure pre conversion factors) on balance sheet and off-balance sheet			CR SEC SA (row 030, col 050) + CR SEC IRB (row 030, col 050)	[Value]

	Exposures and losses from lending collateralised by immovable property (MEUR)^f16			Reference to COREP template	data
550	Use of residential property as collateral	Sum of exposures secured by residential property ^f17		CR IP Losses (row 010, col 050)	[Value]
560		Sum of losses stemming from lending up to the reference percentages ^f18		CR IP Losses (row 010, col 010)	[Value]
570		Of which: immovable property valued with mortgage lending value ^f19		CR IP Losses (row 010, col 020)	[Value]
580		Sum of overall losses ^f20		CR IP Losses (row 010, col 030)	[Value]
590		Of which: immovable property valued with mortgage lending value		CR IP Losses (row 010, col 040)	[Value]
600	Use of commercial immovable property as collateral	Sum of exposures secured by immovable commercial property		CR IP Losses (row 020, col 050)	[Value]
610		Sum of losses stemming from lending up to the reference percentages		CR IP Losses (row 020, col 010)	[Value]
620		Of which: immovable property valued with mortgage lending value		CR IP Losses (row 020, col 020)	[Value]
630		Sum of overall losses		CR IP Losses (row 020, col 030)	[Value]
640		Of which: immovable property valued with mortgage lending value		CR IP Losses (row 020, col 040)	[Value]

PART 3

Data on market risk ^f21 (year XXXX)

	Market risk data			Reference to COREP template	data
The template shall include information on all institutions and not only on those with market risk positions.
Ratio of the total risk exposure amount for position, foreign exchange and commodities risks as defined in point (i) of point (b), points (i) and (iii) of point (c) of Articles 92(3) of CRR and point (b) of Article 92(4) of CRR to the total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR (in %).
If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %, but also lower than 100 % as entities with small trading portfolio are not obliged to determine market risk.
	Credit institutions: Own funds requirements for market risk
010	Credit institutions: own funds requirements for market risk	% of total own funds requirements ^f22		CA2 (row 520) / (row 010)	[Value]
020	Credit institutions: breakdown by approach	% based on the total number of credit institutions ^f23	Standardised approach		[Value]
030		% based on the total number of credit institutions ^f23	Internal models		[Value]
040		% based on total own funds requirements for market risk	Standardised approach	CA2 (row 530) / (row 520)	[Value]
050		% based on total own funds requirements for market risk	Internal models	CA2 (row 580) / (row 520)	[Value]
	Investment firms: Own funds requirements for market risk
060	Investment firms: own funds requirements for market risk	% of total own funds requirements		CA2 (row 520) / (row 010)	[Value]
070	Investment firms: breakdown by approach	% based on the total number of investment firms	Standardised approach		[Value]
080		% based on the total number of investment firms	Internal models		[Value]
090		% based on total own funds requirements for market risk	Standardised approach	CA2 (row 530) / (row 520)	[Value]
100		% based on total own funds requirements for market risk	Internal models	CA2 (row 580) / (row 520)	[Value]

PART 4

Data on operational risk (year XXXX)

	Operational risk data			Reference to COREP template	data
Ratio of the total risk exposure amount for operational risk as defined in Article 92(3) of CRR to the total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR (in %).
If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %, but also lower than 100 % as some investment firms are not obliged to count operational risk capital charges.
Only with respect to entities, which use AMA or TSA/ASA approach; ratio of the total loss amount for all business lines to the sum of the relevant indicator for banking activities subject to TSA/ASA and AMA for the last year (in %).
	Credit institutions: Own funds requirements for operational risk
010	Credit institutions: own funds requirements for operational risk	% of total own funds requirements ^f24		CA2 (row 590) / (row 010)	[Value]
020	Credit institutions: breakdown by approach	% based on the total number of credit institutions ^f25	Basic Indicator Approach (BIA)		[Value]
030			Standardised Approach (TSA) / Alternative Standardised Approach (ASA)		[Value]
040			Advanced Measurement Approach (AMA)		[Value]
050		% based on total own funds requirements for operational risk	BIA	CA2 (row 600) / (row 590)	[Value]
060			TSA/ASA	CA2 (row 610) / (row 590)	[Value]
070			AMA	CA2 (row 620) / (row 590)	[Value]
	Credit institutions: Losses due to operational risk
080	Credit institutions: total gross loss	Total gross loss as % of total gross income ^f26		OPR Details (row 920, col 080) / OPR ((sum (row 010 to row 130), col 030)	[Value]
	Investment firms: Own funds requirements for operational risk
090	Investment firms: own funds requirements for operational risk	% of total own funds requirements		CA2 (row 590) / (row 010)	[Value]
100	Investment firms: breakdown by approach	% based on the total number of investment firms	BIA		[Value]
110			TSA/ASA		[Value]
120			AMA		[Value]
130		% based on total own funds requirements for operational risk	BIA	CA2 (row 600) / (row 590)	[Value]
140			TSA/ASA	CA2 (row 610) / (row 590)	[Value]
150			AMA	CA2 (row 620) / (row 590)	[Value]
	Investment firms: Losses due to operational risk
160	Investment firms: total gross loss	Total gross loss as % of total gross income		OPR Details (row 920, col 080) / OPR (sum (row 010 to row 130), col 030)	[Value]

PART 5

Data on supervisory measures and administrative penalties ^f27 (year XXXX)

	Supervisory measures		data
Information shall be reported based on the date of decision. Due to differences in national regulations as well as in supervisory practices and approaches across the competent authorities the figures provided in this table might not allow for a meaningful comparison between jurisdictions. Any conclusions without carefully considering these differences can be misleading.
The administrative penalties imposed by competent authorities. Competent authorities shall report all administrative penalties against which there is no appeal available in their jurisdiction by the reference date of the disclosure. Competent authorities of Member States where it is permitted to publish administrative penalties subject to an appeal, shall also report those administrative penalties unless the appeal annulling the administrative penalty is issued.
Competent authorities shall not disclose supervisory actions or decisions directed at specific institutions. When publishing information on the general criteria and methodologies, competent authorities shall not disclose any supervisory measures directed at specific institutions, whether taken with respect to a single institution or to a group of institutions.
	Credit institutions
010	Supervisory measures taken in accordance with Article 102(1)(a)	Total number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:	[Value]
011		to hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]	[Value]
012		to reinforce governance arrangements and internal capital management [Article 104(1)(b)]	[Value]
013		to present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]	[Value]
014		to apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]	[Value]
015		to restrict/limit business or activities [Article 104(1)(e)]	[Value]
016		to reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]	[Value]
017		to limit variable remuneration [Article 104(1)(g)]	[Value]
018		to strengthen own funds by using net profits [Article 104(1)(h)]	[Value]
019		to restrict/prohibit distributions or interest payments [Article 104(1)(i)]	[Value]
020		to impose additional or more frequent reporting requirements [Article 104(1)(j)]	[Value]
021		to impose specific liquidity requirements [Article 104(1)(k)]	[Value]
022		to impose additional disclosure requirements [Article 104(1)(l)]	[Value]
023		Number and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)	[Value]
024	Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013	Total number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:	[Value]
025		to hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]	[Value]
026		to reinforce governance arrangements and internal capital management [Article 104(1)(b)]	[Value]
027		to present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]	[Value]
028		to apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]	[Value]
029		to restrict/limit business or activities [Article 104(1)(e)]	[Value]
030		to reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]	[Value]
031		to limit variable remuneration [Article 104(1)(g)]	[Value]
032		to strengthen own funds by using net profits [Article 104(1)(h)]	[Value]
033		to restrict/prohibit distributions or interest payments [Article 104(1)(i)]	[Value]
034		to impose additional or more frequent reporting requirements [Article 104(1)(j)]	[Value]
035		to impose specific liquidity requirements [Article 104(1)(k)]	[Value]
036		to impose additional disclosure requirements [Article 104(1)(l)]	[Value]
037		Number and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)	[Value]

	Supervisory measures		data
	Investment firms
037	Supervisory measures taken in accordance with Article 102(1)(a)	Total number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:	[Value]
038		to hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]	[Value]
039		to reinforce governance arrangements and internal capital management [Article 104(1)(b)]	[Value]
040		to present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]	[Value]
041		to apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]	[Value]
042		to restrict/limit business or activities [Article 104(1)(e)]	[Value]
043		to reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]	[Value]
044		to limit variable remuneration [Article 104(1)(g)]	[Value]
045		to strengthen own funds by using net profits [Article 104(1)(h)]	[Value]
046		to restrict/prohibit distributions or interest payments [Article 104(1)(i)]	[Value]
047		to impose additional or more frequent reporting requirements [Article 104(1)(j)]	[Value]
048		to impose specific liquidity requirements [Article 104(1)(k)]	[Value]
049		to impose additional disclosure requirements [Article 104(1)(l)]	[Value]
050		Number and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)	[Value]
051	Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013	Total number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:	[Value]
052		to hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]	[Value]
053		to reinforce governance arrangements and internal capital management [Article 104(1)(b)]	[Value]
054		to present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]	[Value]
055		to apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]	[Value]
056		to restrict/limit business or activities [Article 104(1)(e)]	[Value]
057		to reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]	[Value]
058		to limit variable remuneration [Article 104(1)(g)]	[Value]
059		to strengthen own funds by using net profits [Article 104(1)(h)]	[Value]
060		to restrict/prohibit distributions or interest payments [Article 104(1)(i)]	[Value]
061		to impose additional or more frequent reporting requirements [Article 104(1)(j)]	[Value]
062		to impose specific liquidity requirements [Article 104(1)(k)]	[Value]
063		to impose additional disclosure requirements [Article 104(1)(l)]	[Value]
064		Number and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)	[Value]

	Administrative penalties^f28		data
	Credit institutions
065	Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements)	Total number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied:	[Value]
066		public statements identifying the natural/legal person responsible and the nature of the breach [Article 66(2)(a)]	[Value]
067		orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 66(2)(b)]	[Value]
068		administrative pecuniary penalties imposed on legal/natural person [points (c) to (e) of Article 66(2)]	[Value]
069		suspensions of the voting rights of shareholders [Article 66(2)(f)]	[Value]
070		Number and nature of other administrative penalties applied (not specified in Article 66(2) of Directive 2013/36/EU)	[free text]
071	Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013)	Total number of administrative penalties from Article 67(2) of Directive 2013/36/EU applied:	[Value]
072		public statements identifying the natural/legal person responsible and the nature of the breach [Article 67(2)(a)]	[Value]
073		orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 67(2)(b)]	[Value]
074		withdrawals of authorisation of credit institution [Article 67(2)(c)]	[Value]
075		temporary bans against natural person from exercising functions in credit institutions [Article 67(2)(d)]	[Value]
076		administrative pecuniary penalties imposed on legal/natural person [points (e) to (g) of Article 67(2)]	[Value]
077		Number and nature of other administrative penalties applied (not specified in Article 67(2) of Directive 2013/36/EU)	[free text]
	Investment firms
078	Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements)	Total number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied:	[Value]
079		public statements identifying the natural/legal person responsible and the nature of the breach [Article 66(2)(a)]	[Value]
080		orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 66(2)(b)]	[Value]
081		administrative pecuniary penalties imposed on a legal person [points (c) to (e) of Article 66(2)]	[Value]
082		suspensions of the voting rights of shareholders [Article 66(2)(f)]	[Value]
083		Number and nature of other administrative penalties applied (not specified in Article 66(2) of Directive 2013/36/EU)	[Value]
084	Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013)	Total number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied:	[Value]
085		public statements identifying the natural/legal person responsible and the nature of the breach [Article 67(2)(a)]	[Value]
086		orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 67(2)(b)]	[Value]
087		withdrawals of authorisation of investment firms [Article 67(2)(c)]	[Value]
088		temporary bans against natural person from exercising functions in investment firms [Article 67(2)(d)]	[Value]
089		administrative pecuniary penalties imposed on legal/natural person [points (e) to (g) of Article 67(2)]	[Value]
090		Number and nature of other administrative penalties applied (not specified in Article 67(2) of Directive 2013/36/EU)	[free text]

PART 6

Data on waivers ^f29 (year XXXX)

Competent authorities shall report Information on waiver practices based on the total number of waivers by the competent authority, which are still effective or in force. The information to be reported is limited to those entities granted a waiver. Where the information is not available, i.e. not part of the regular reporting, it shall be reported as ‘N/A’.
The number of institutions which have been granted the waiver shall be used as a basis for counting the waivers.
	Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Five, Seven and Eight of Regulation (EU) No 575/2013
	Legal reference in Regulation (EU) No 575/2013	Article 7(1) and (2) (waivers for subsidiaries) ^f30	Article 7(3) (waivers for parent institutions)
010	Total number of waivers granted	[Value]	[Value]
011	Number of waivers granted to parent institutions which have or hold participations in subsidiaries established in third countries	N/A	[Value]
012	Total amount of consolidated own funds held in the subsidiaries established in third countries (in MEUR)	N/A	[Value]
013	Percentage of the total consolidated own funds held in subsidiaries established in third countries (%)	N/A	[Value]
014	Percentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%)	N/A	[Value]
	Permission granted to parent institutions to incorporate subsidiaries in the calculation of their prudential requirements set out in Parts Two to Five and Eight of Regulation (EU) No 575/2013
	Legal reference in Regulation (EU) No 575/2013	Article 9(1) (Individual consolidation method)
015	Total number of permissions granted	[Value]
016	Number of permissions granted to parent institutions to incorporarte subsidiaries established in third countries in the calculation of their requirement	[Value]
017	Total amount of consolidated own funds held in the subsidiaries established in third countries (in MEUR)	[Value]
018	Percentage of the total consolidated own funds held in subsidiaries established in third countries (%)	[Value]
019	Percentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%)	[Value]
	Exemption from the application on an individual basis of liquidity requirements set out in Part Six of Regulation (EU) No 575/2013
	Legal reference in Regulation (EU) No 575/2013	Article 8 (Liquidity waivers for subsidiaries)
020	Total number of waivers granted	[Value]
021	Number of waivers granted pursuant to Article 8(2) where all institutions within a single liquidity sub-group are authorised in the same Member State	[Value]
022	Number of waivers granted pursuant to Article 8(1) where all institutions within a single liquidity sub-group are authorised in several Member States	[Value]
023	Number of waivers granted pursuant to Article 8(3) to institutions which are members of the same Institutional Protection Scheme	[Value]
	Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013
	Legal reference in Regulation (EU) No 575/2013	Article 10 (Credit institutions permanently affiliated to a central body)
024	Total number of waivers granted	[Value]
025	Number of waivers granted to credit institutions permanently affiliated to a central body	[Value]
026	Number of waivers granted to central bodies	[Value]

General remarks on filling in templates in Annex IV

Annotations

Footnotes

f1

The total assets figure shall be the total assets value of the country for the national competent authorities, only for rows 020 and 030, and for the ECB the total assets value of Significant Institutions for the whole SSM.

f2

GDP at market price; suggested source – Eurostat/ECB.

f3

EEA countries shall not be included.

f4

Number of branches as defined in point (1) of Article 4(1) of CRR. Any number of places of business set up in the same country by a credit institution with headquarters in a third country should be counted as a single branch.

f5

Number of subsidiaries as defined in point (16) of Article 4(1) of CRR. Any subsidiary of a subsidiary undertaking shall be regarded as a subsidiary of the parent undertaking, which is at the head of those undertakings.

f6

Ratio of Common Equity Tier 1 capital as defined in Article 50 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).

f7

Ratio of Additional Tier 1 Capital as defined in Article 61 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).

f8

Ratio of Tier 2 Capital as defined in Article 71 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).

f9

The 8 % of total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR.

f10

The ratio of the own funds to the total risk exposure amount as defined in point (c) of Article 92(2) of CRR, expressed in percentage (%).

f11

Ratio of the own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR to the total own funds as defined in Articles 92(3), 95, 96 and 98 of CRR.

f12

If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported for the three approaches may be higher than 100 %.

f13

In the exceptional cases, where an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %.

f14

Ratio of the own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR to the total own funds as defined in Articles 92(3), 95, 96 and 98 of CRR.

f15

The percentage of the own fund requirements of investment firms that apply the SA and IRB approach respectively in relation to the total own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR.

f16

The amount of the estimated losses shall be reported at the reporting reference date.

f17

As defined in points (c) and (f) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1); only for the part of exposure treated as fully and completely secured according to Article 124 (1) of CRR;

f18

As defined in points (a) and (d) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1).

f19

When the value of the collateral has been calculated as mortgage lending value.

f20

As defined in points (b) and (e) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1).

f21

The template shall include information on all institutions and not only on those with market risk positions.

f22

Ratio of the total risk exposure amount for position, foreign exchange and commodities risks as defined in point (i) of point (b), points (i) and (iii) of point (c) of Articles 92(3) of CRR and point (b) of Article 92(4) of CRR to the total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR (in %).

f23

If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %, but also lower than 100 % as entities with small trading portfolio are not obliged to determine market risk.

f24

Ratio of the total risk exposure amount for operational risk as defined in Article 92(3) of CRR to the total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR (in %).

f25

If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %, but also lower than 100 % as some investment firms are not obliged to count operational risk capital charges.

f26

Only with respect to entities, which use AMA or TSA/ASA approach; ratio of the total loss amount for all business lines to the sum of the relevant indicator for banking activities subject to TSA/ASA and AMA for the last year (in %).

f27

Information shall be reported based on the date of decision.

Due to differences in national regulations as well as in supervisory practices and approaches across the competent authorities the figures provided in this table might not allow for a meaningful comparison between jurisdictions. Any conclusions without carefully considering these differences can be misleading.

f28

The administrative penalties imposed by competent authorities. Competent authorities shall report all administrative penalties against which there is no appeal available in their jurisdiction by the reference date of the disclosure. Competent authorities of Member States where it is permitted to publish administrative penalties subject to an appeal, shall also report those administrative penalties unless the appeal annulling the administrative penalty is issued.

f29

Competent authorities shall report Information on waiver practices based on the total number of waivers by the competent authority, which are still effective or in force. The information to be reported is limited to those entities granted a waiver. Where the information is not available, i.e. not part of the regular reporting, it shall be reported as ‘N/A’.

f30

The number of institutions which have been granted the waiver shall be used as a basis for counting the waivers.