{
  "url": "https://openlegislation.uk/eu-regulation-2019-912/annex-IV",
  "json_url": "https://openlegislation.uk/eu-regulation-2019-912/annex-IV.json",
  "legislation": "eur/2019/912",
  "legislation_title": "Commission Implementing Regulation (EU) 2019/912 of 28 May 2019 amending Implementing Regulation (EU) No 650/2014 laying down implementing technical standards with regard to the format, structure, contents list and annual publication date of the information to be disclosed by competent authorities in accordance with Directive 2013/36/EU of the European Parliament and of the Council (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2019-912",
  "path": "annex/IV",
  "kind": "annex",
  "number": "IV",
  "heading": "AGGREGATE STATISTICAL DATA",
  "text": "List of templates\nPart 1\nConsolidated data per Competent Authority\nPart 2\nData on credit risk\nPart 3\nData on market risk\nPart 4\nData on operational risk\nPart 5\nData on supervisory measures and administrative penalties\nPart 6\nData on waivers\nPART 1\nConsolidated data per Competent Authority (year XXXX)\nThe 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.\nGDP at market price; suggested source – Eurostat/ECB.\nEEA countries shall not be included.\nNumber 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.\nNumber 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.\nRatio 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 (%).\nRatio 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 (%).\nRatio 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 (%).\nThe 8 % of total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR.\nThe 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 (%).\nReference to COREP template\nData\nNumber and size of credit institutions\n010\nNumber of credit institutions\n[Value]\n020\nTotal assets of the jurisdiction (in MEUR)\n[Value]\n030\nTotal assets of the jurisdiction as % of GDP\n[Value]\nNumber and size of foreign credit institutions\n040\nFrom third countries\nNumber of branches\n[Value]\n050\nTotal assets of branches (in MEUR)\n[Value]\n060\nNumber of subsidiarie\n[Value]\n070\nTotal assets of subsidiaries (in MEUR)\n[Value]\nTotal capital and capital requirements of credit institutions\n080\nTotal Common Equity Tier 1 capital as % of total capital\nCA1 (row 020 / row 010)\n[Value]\n090\nTotal Additional Tier 1 capital as % of total capital\nCA1 (row 530 / row 010)\n[Value]\n100\nTotal Tier 2 capital as % of total capital\nCA1 (row 750 / row 010)\n[Value]\n110\nTotal capital requirements (in MEUR)\nCA2 (row 010) * 8 %\n[Value]\n120\nTotal capital ratio (%)\nCA3 (row 050)\n[Value]\nNumber and size of investment firms\n130\nNumber of investment firms\n[Value]\n140\nTotal assets (in MEUR)\n[Value]\n150\nTotal assets as % of GDP\n[Value]\nTotal capital and capital requirements of investment firms\n160\nTotal Common Equity Tier 1 capital as % of total capital\nCA1 (row 020 / row 010)\n[Value]\n170\nTotal Additional Tier 1 capital as % of total capital\nCA1 (row 530 / row 010)\n[Value]\n180\nTotal Tier 2 capital as % of total capital\nCA1 (row 750 / row 010)\n[Value]\n190\nTotal capital requirements (in MEUR)\nCA2 (row 010) *8 %\n[Value]\n200\nTotal capital ratio (%)\nCA3 (row 050)\n[Value]\nPART 2\nData on credit risk (year XXXX)\nRatio 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.\nIf 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 %.\nIn 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 %.\nRatio 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.\nThe 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.\nThe amount of the estimated losses shall be reported at the reporting reference date.\nAs 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;\nAs 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).\nWhen the value of the collateral has been calculated as mortgage lending value.\nAs 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).\nCredit risk data\nReference to COREP template\ndata\nCredit institutions: Own funds requirements for credit risk\n010\nCredit institutions: own funds requirements for credit risk\n% of total own funds requirements\nCA2 (row 040) / (row 010)\n[Value]\n020\nCredit institutions: breakdown by approach\n% based on the total number of credit institutions\nStandardised Approach (SA)\n[Value]\n030\nIRB approach when neither own estimates of Loss Given Default nor conversion factors are used\n[Value]\n040\nIRB approach when own estimates of Loss Given Default and/or conversion factors are used\n[Value]\n050\n% based on total own funds requirements for credit risk\nSA\nCA2 (row 050) / (row 040)\n[Value]\n060\nIRB approach when neither own estimates of Loss Given Default nor conversion factors are used\nCR IRB, Foundation IRB (row 010, col 260) / CA2 (row 040)\n[Value]\n070\nIRB approach when own estimates of Loss Given Default and/or conversion factors are used\nCR IRB, Advanced IRB (row 010, col 260) / CA2 (row 040)\n[Value]\n080\nCredit institutions: breakdown by IRB exposure class\n% based on total IRB risk weighted exposure amount\nIRB approach when neither own estimates of Loss Given Default nor conversion factors are used\nCA2 (row 250 / row 240)\n[Value]\n090\nCentral governments and central banks\nCA2 (row 260 / row 240)\n[Value]\n100\nInstitutions\nCA2 (row 270 / row 240)\n[Value]\n110\nCorporates - SME\nCA2 (row 280 / row 240)\n[Value]\n120\nCorporates - Specialised Lending\nCA2 (row 290 / row 240)\n[Value]\n130\nCorporates - Other\nCA2 (row 300 / row 240)\n[Value]\n140\nIRB approach when own estimates of Loss Given Default and/or conversion factors are used\nCA2 (row 310 / row 240)\n[Value]\n150\nCentral governments and central banks\nCA2 (row 320 / row 240)\n[Value]\n160\nInstitutions\nCA2 (row 330 / row 240)\n[Value]\n170\nCorporates - SME\nCA2 (row 340 / row 240)\n[Value]\n180\nCorporates - Specialised Lending\nCA2 (row 350 / row 240)\n[Value]\n190\nCorporates - Other\nCA2 (row 360 / row 240)\n[Value]\n200\nRetail - Secured by real estate SME\nCA2 (row 370 / row 240)\n[Value]\n210\nRetail - Secured by real estate non-SME\nCA2 (row 380 / row 240)\n[Value]\n220\nRetail - Qualifying revolving\nCA2 (row 390 / row 240)\n[Value]\n230\nRetail - Other SME\nCA2 (row 400 / row 240)\n[Value]\n240\nRetail - Other non-SME\nCA2 (row 410 / row 240)\n[Value]\n250\nEquity IRB\nCA2 (row 420 / row 240)\n[Value]\n260\nSecuritisation positions IRB\nCA2 (row 430 / row 240)\n[Value]\n270\nOther non credit-obligation assets\nCA2 (row 450 / row 240)\n[Value]\nCredit risk data\nReference to COREP template\ndata\n280\nCredit institutions: Own funds requirements for credit risk\n290\nCredit institutions: breakdown by SA exposure class*\n% based on total SA risk weighted exposure amount\nCentral governments or central banks\nCA2 (row 070 / row 050)\n[Value]\n300\nRegional governments or local authorities\nCA2 (row 080 / row 050)\n[Value]\n310\nPublic sector entities\nCA2 (row 090 / row 050)\n[Value]\n320\nMultilateral Development Banks\nCA2 (row 100 / row 050)\n[Value]\n330\nInternational Organisations\nCA2 (row 110 / row 050)\n[Value]\n340\nInstitutions\nCA2 (row 120 / row 050)\n[Value]\n350\nCorporates\nCA2 (row 130 / row 050)\n[Value]\n360\nRetail\nCA2 (row 140 / row 050)\n[Value]\n370\nSecured by mortgages on immovable property\nCA2 (row 150 / row 050)\n[Value]\n380\nExposures in default\nCA2 (row 160 / row 050)\n[Value]\n390\nItems associated with particular high risk\nCA2 (row 170 / row 050)\n[Value]\n400\nCovered bonds\nCA2 (row 180 / row 050)\n[Value]\n410\nClaims on institutions and corporates with a short-term credit assessment\nCA2 (row 190 / row 050)\n[Value]\n420\nCollective investment undertakings\nCA2 (row 200 / row 050)\n[Value]\n430\nEquity\nCA2 (row 210 / row 050)\n[Value]\n440\nOther items\nCA2 (row 211 / row 050)\n[Value]\n450\nSecuritisation positions SA\nCA2 (row 220 / row 050)\n[Value]\n460\nCredit institutions: breakdown by credit risk mitigation (CRM) approach\n% based on the total number of credit institutions\nFinancial collateral simple method\n[Value]\n470\nFinancial collateral comprehensive method\n[Value]\nInvestment firms: Own funds requirements for credit risk\n480\nInvestment firms: own funds requirements for credit risk\n% of total own funds requirements\nCA2 (row 040) / (row 010)\n[Value]\n490\nInvestment firms: breakdown by approach\n% based on the total number of investment firms\nSA\n[Value]\n500\nIRB\n[Value]\n510\n% based on total own funds requirements for credit risk\nSA\n(CA2 (row 050) / (row 040)\n[Value]\n520\nIRB\n(CA2 (row 240) / row 040)\n[Value]\nAdditional information on securitisation (in MEUR)\nReference to COREP template\ndata\nCredit institutions: originator\n530\nTotal amount of securitisation exposures originated on balance sheet and off-balance sheet\nCR SEC SA (row 030, col 010) + CR SEC IRB (row 030, col 010)\n[Value]\n540\nTotal amount of securitisation positions retained (securitisation positions - original exposure pre conversion factors) on balance sheet and off-balance sheet\nCR SEC SA (row 030, col 050) + CR SEC IRB (row 030, col 050)\n[Value]\nExposures and losses from lending collateralised by immovable property (MEUR)\nReference to COREP template\ndata\n550\nUse of residential property as collateral\nSum of exposures secured by residential property\nCR IP Losses (row 010, col 050)\n[Value]\n560\nSum of losses stemming from lending up to the reference percentages\nCR IP Losses (row 010, col 010)\n[Value]\n570\nOf which: immovable property valued with mortgage lending value\nCR IP Losses (row 010, col 020)\n[Value]\n580\nSum of overall losses\nCR IP Losses (row 010, col 030)\n[Value]\n590\nOf which: immovable property valued with mortgage lending value\nCR IP Losses (row 010, col 040)\n[Value]\n600\nUse of commercial immovable property as collateral\nSum of exposures secured by immovable commercial property\nCR IP Losses (row 020, col 050)\n[Value]\n610\nSum of losses stemming from lending up to the reference percentages\nCR IP Losses (row 020, col 010)\n[Value]\n620\nOf which: immovable property valued with mortgage lending value\nCR IP Losses (row 020, col 020)\n[Value]\n630\nSum of overall losses\nCR IP Losses (row 020, col 030)\n[Value]\n640\nOf which: immovable property valued with mortgage lending value\nCR IP Losses (row 020, col 040)\n[Value]\nPART 3\nData on market risk (year XXXX)\nThe template shall include information on all institutions and not only on those with market risk positions.\nRatio 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 %).\nIf 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.\nMarket risk data\nReference to COREP template\ndata\nCredit institutions: Own funds requirements for market risk\n010\nCredit institutions: own funds requirements for market risk\n% of total own funds requirements\nCA2 (row 520) / (row 010)\n[Value]\n020\nCredit institutions: breakdown by approach\n% based on the total number of credit institutions\nStandardised approach\n[Value]\n030\nInternal models\n[Value]\n040\n% based on total own funds requirements for market risk\nStandardised approach\nCA2 (row 530) / (row 520)\n[Value]\n050\nInternal models\nCA2 (row 580) / (row 520)\n[Value]\nInvestment firms: Own funds requirements for market risk\n060\nInvestment firms: own funds requirements for market risk\n% of total own funds requirements\nCA2 (row 520) / (row 010)\n[Value]\n070\nInvestment firms: breakdown by approach\n% based on the total number of investment firms\nStandardised approach\n[Value]\n080\nInternal models\n[Value]\n090\n% based on total own funds requirements for market risk\nStandardised approach\nCA2 (row 530) / (row 520)\n[Value]\n100\nInternal models\nCA2 (row 580) / (row 520)\n[Value]\nPART 4\nData on operational risk (year XXXX)\nRatio 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 %).\nIf 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.\nOnly 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 %).\nOperational risk data\nReference to COREP template\ndata\nCredit institutions: Own funds requirements for operational risk\n010\nCredit institutions: own funds requirements for operational risk\n% of total own funds requirements\nCA2 (row 590) / (row 010)\n[Value]\n020\nCredit institutions: breakdown by approach\n% based on the total number of credit institutions\nBasic Indicator Approach (BIA)\n[Value]\n030\nStandardised Approach (TSA) /\nAlternative Standardised Approach (ASA)\n[Value]\n040\nAdvanced Measurement Approach (AMA)\n[Value]\n050\n% based on total own funds requirements for operational risk\nBIA\nCA2 (row 600) / (row 590)\n[Value]\n060\nTSA/ASA\nCA2 (row 610) / (row 590)\n[Value]\n070\nAMA\nCA2 (row 620) / (row 590)\n[Value]\nCredit institutions: Losses due to operational risk\n080\nCredit institutions: total gross loss\nTotal gross loss as % of total gross income\nOPR Details (row 920, col 080) / OPR ((sum (row 010 to row 130), col 030)\n[Value]\nInvestment firms: Own funds requirements for operational risk\n090\nInvestment firms: own funds requirements for operational risk\n% of total own funds requirements\nCA2 (row 590) / (row 010)\n[Value]\n100\nInvestment firms: breakdown by approach\n% based on the total number of investment firms\nBIA\n[Value]\n110\nTSA/ASA\n[Value]\n120\nAMA\n[Value]\n130\n% based on total own funds requirements for operational risk\nBIA\nCA2 (row 600) / (row 590)\n[Value]\n140\nTSA/ASA\nCA2 (row 610) / (row 590)\n[Value]\n150\nAMA\nCA2 (row 620) / (row 590)\n[Value]\nInvestment firms: Losses due to operational risk\n160\nInvestment firms: total gross loss\nTotal gross loss as % of total gross income\nOPR Details (row 920, col 080) / OPR (sum (row 010 to row 130), col 030)\n[Value]\nPART 5\nData on supervisory measures and administrative penalties (year XXXX)\nInformation shall be reported based on the date of decision.\nDue 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.\nThe 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.\nCompetent 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.\nSupervisory measures\ndata\nCredit institutions\n010\nSupervisory measures taken in accordance with Article 102(1)(a)\nTotal number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:\n[Value]\n011\nto hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]\n[Value]\n012\nto reinforce governance arrangements and internal capital management [Article 104(1)(b)]\n[Value]\n013\nto present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]\n[Value]\n014\nto apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]\n[Value]\n015\nto restrict/limit business or activities [Article 104(1)(e)]\n[Value]\n016\nto reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]\n[Value]\n017\nto limit variable remuneration [Article 104(1)(g)]\n[Value]\n018\nto strengthen own funds by using net profits [Article 104(1)(h)]\n[Value]\n019\nto restrict/prohibit distributions or interest payments [Article 104(1)(i)]\n[Value]\n020\nto impose additional or more frequent reporting requirements [Article 104(1)(j)]\n[Value]\n021\nto impose specific liquidity requirements [Article 104(1)(k)]\n[Value]\n022\nto impose additional disclosure requirements [Article 104(1)(l)]\n[Value]\n023\nNumber and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)\n[Value]\n024\nSupervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013\nTotal number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:\n[Value]\n025\nto hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]\n[Value]\n026\nto reinforce governance arrangements and internal capital management [Article 104(1)(b)]\n[Value]\n027\nto present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]\n[Value]\n028\nto apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]\n[Value]\n029\nto restrict/limit business or activities [Article 104(1)(e)]\n[Value]\n030\nto reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]\n[Value]\n031\nto limit variable remuneration [Article 104(1)(g)]\n[Value]\n032\nto strengthen own funds by using net profits [Article 104(1)(h)]\n[Value]\n033\nto restrict/prohibit distributions or interest payments [Article 104(1)(i)]\n[Value]\n034\nto impose additional or more frequent reporting requirements [Article 104(1)(j)]\n[Value]\n035\nto impose specific liquidity requirements [Article 104(1)(k)]\n[Value]\n036\nto impose additional disclosure requirements [Article 104(1)(l)]\n[Value]\n037\nNumber and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)\n[Value]\nSupervisory measures\ndata\nInvestment firms\n037\nSupervisory measures taken in accordance with Article 102(1)(a)\nTotal number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:\n[Value]\n038\nto hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]\n[Value]\n039\nto reinforce governance arrangements and internal capital management [Article 104(1)(b)]\n[Value]\n040\nto present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]\n[Value]\n041\nto apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]\n[Value]\n042\nto restrict/limit business or activities [Article 104(1)(e)]\n[Value]\n043\nto reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]\n[Value]\n044\nto limit variable remuneration [Article 104(1)(g)]\n[Value]\n045\nto strengthen own funds by using net profits [Article 104(1)(h)]\n[Value]\n046\nto restrict/prohibit distributions or interest payments [Article 104(1)(i)]\n[Value]\n047\nto impose additional or more frequent reporting requirements [Article 104(1)(j)]\n[Value]\n048\nto impose specific liquidity requirements [Article 104(1)(k)]\n[Value]\n049\nto impose additional disclosure requirements [Article 104(1)(l)]\n[Value]\n050\nNumber and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)\n[Value]\n051\nSupervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013\nTotal number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU:\n[Value]\n052\nto hold own funds in excess of the minimum capital requirements [Article 104(1)(a)]\n[Value]\n053\nto reinforce governance arrangements and internal capital management [Article 104(1)(b)]\n[Value]\n054\nto present a plan to restore compliance with supervisory requirements [Article 104(1)(c)]\n[Value]\n055\nto apply a specific provisioning policy or treatment of assets [Article 104(1)(d)]\n[Value]\n056\nto restrict/limit business or activities [Article 104(1)(e)]\n[Value]\n057\nto reduce the risk inherent in the activities, products and systems [Article 104(1)(f)]\n[Value]\n058\nto limit variable remuneration [Article 104(1)(g)]\n[Value]\n059\nto strengthen own funds by using net profits [Article 104(1)(h)]\n[Value]\n060\nto restrict/prohibit distributions or interest payments [Article 104(1)(i)]\n[Value]\n061\nto impose additional or more frequent reporting requirements [Article 104(1)(j)]\n[Value]\n062\nto impose specific liquidity requirements [Article 104(1)(k)]\n[Value]\n063\nto impose additional disclosure requirements [Article 104(1)(l)]\n[Value]\n064\nNumber and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU)\n[Value]\nAdministrative penalties\ndata\nCredit institutions\n065\nAdministrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements)\nTotal number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied:\n[Value]\n066\npublic statements identifying the natural/legal person responsible and the nature of the breach [Article 66(2)(a)]\n[Value]\n067\norders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 66(2)(b)]\n[Value]\n068\nadministrative pecuniary penalties imposed on legal/natural person [points (c) to (e) of Article 66(2)]\n[Value]\n069\nsuspensions of the voting rights of shareholders [Article 66(2)(f)]\n[Value]\n070\nNumber and nature of other administrative penalties applied (not specified in Article 66(2) of Directive 2013/36/EU)\n[free text]\n071\nAdministrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013)\nTotal number of administrative penalties from Article 67(2) of Directive 2013/36/EU applied:\n[Value]\n072\npublic statements identifying the natural/legal person responsible and the nature of the breach [Article 67(2)(a)]\n[Value]\n073\norders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 67(2)(b)]\n[Value]\n074\nwithdrawals of authorisation of credit institution [Article 67(2)(c)]\n[Value]\n075\ntemporary bans against natural person from exercising functions in credit institutions [Article 67(2)(d)]\n[Value]\n076\nadministrative pecuniary penalties imposed on legal/natural person [points (e) to (g) of Article 67(2)]\n[Value]\n077\nNumber and nature of other administrative penalties applied (not specified in Article 67(2) of Directive 2013/36/EU)\n[free text]\nInvestment firms\n078\nAdministrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements)\nTotal number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied:\n[Value]\n079\npublic statements identifying the natural/legal person responsible and the nature of the breach [Article 66(2)(a)]\n[Value]\n080\norders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 66(2)(b)]\n[Value]\n081\nadministrative pecuniary penalties imposed on a legal person [points (c) to (e) of Article 66(2)]\n[Value]\n082\nsuspensions of the voting rights of shareholders [Article 66(2)(f)]\n[Value]\n083\nNumber and nature of other administrative penalties applied (not specified in Article 66(2) of Directive 2013/36/EU)\n[Value]\n084\nAdministrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013)\nTotal number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied:\n[Value]\n085\npublic statements identifying the natural/legal person responsible and the nature of the breach [Article 67(2)(a)]\n[Value]\n086\norders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 67(2)(b)]\n[Value]\n087\nwithdrawals of authorisation of investment firms [Article 67(2)(c)]\n[Value]\n088\ntemporary bans against natural person from exercising functions in investment firms [Article 67(2)(d)]\n[Value]\n089\nadministrative pecuniary penalties imposed on legal/natural person [points (e) to (g) of Article 67(2)]\n[Value]\n090\nNumber and nature of other administrative penalties applied (not specified in Article 67(2) of Directive 2013/36/EU)\n[free text]\nPART 6\nData on waivers (year XXXX)\nCompetent 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’.\nThe number of institutions which have been granted the waiver shall be used as a basis for counting the waivers.\nExemption 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\nLegal reference in Regulation (EU) No 575/2013\nArticle 7(1) and (2) (waivers for subsidiaries)\nArticle 7(3) (waivers for parent institutions)\n010\nTotal number of waivers granted\n[Value]\n[Value]\n011\nNumber of waivers granted to parent institutions which have or hold participations in subsidiaries established in third countries\nN/A\n[Value]\n012\nTotal amount of consolidated own funds held in the subsidiaries established in third countries (in MEUR)\nN/A\n[Value]\n013\nPercentage of the total consolidated own funds held in subsidiaries established in third countries (%)\nN/A\n[Value]\n014\nPercentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%)\nN/A\n[Value]\nPermission 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\nLegal reference in Regulation (EU) No 575/2013\nArticle 9(1) (Individual consolidation method)\n015\nTotal number of permissions granted\n[Value]\n016\nNumber of permissions granted to parent institutions to incorporarte subsidiaries established in third countries in the calculation of their requirement\n[Value]\n017\nTotal amount of consolidated own funds held in the subsidiaries established in third countries (in MEUR)\n[Value]\n018\nPercentage of the total consolidated own funds held in subsidiaries established in third countries (%)\n[Value]\n019\nPercentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%)\n[Value]\nExemption from the application on an individual basis of liquidity requirements set out in Part Six of Regulation (EU) No 575/2013\nLegal reference in Regulation (EU) No 575/2013\nArticle 8 (Liquidity waivers for subsidiaries)\n020\nTotal number of waivers granted\n[Value]\n021\nNumber of waivers granted pursuant to Article 8(2) where all institutions within a single liquidity sub-group are authorised in the same Member State\n[Value]\n022\nNumber of waivers granted pursuant to Article 8(1) where all institutions within a single liquidity sub-group are authorised in several Member States\n[Value]\n023\nNumber of waivers granted pursuant to Article 8(3) to institutions which are members of the same Institutional Protection Scheme\n[Value]\nExemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013\nLegal reference in Regulation (EU) No 575/2013\nArticle 10 (Credit institutions permanently affiliated to a central body)\n024\nTotal number of waivers granted\n[Value]\n025\nNumber of waivers granted to credit institutions permanently affiliated to a central body\n[Value]\n026\nNumber of waivers granted to central bodies\n[Value]",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f2",
      "text": "GDP at market price; suggested source – Eurostat/ECB."
    },
    {
      "type": "footnote",
      "label": "f3",
      "text": "EEA countries shall not be included."
    },
    {
      "type": "footnote",
      "label": "f4",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f5",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f6",
      "text": "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 (%)."
    },
    {
      "type": "footnote",
      "label": "f7",
      "text": "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 (%)."
    },
    {
      "type": "footnote",
      "label": "f8",
      "text": "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 (%)."
    },
    {
      "type": "footnote",
      "label": "f9",
      "text": "The 8 % of total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR."
    },
    {
      "type": "footnote",
      "label": "f10",
      "text": "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 (%)."
    },
    {
      "type": "footnote",
      "label": "f11",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f12",
      "text": "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 %."
    },
    {
      "type": "footnote",
      "label": "f13",
      "text": "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 %."
    },
    {
      "type": "footnote",
      "label": "f14",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f15",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f16",
      "text": "The amount of the estimated losses shall be reported at the reporting reference date."
    },
    {
      "type": "footnote",
      "label": "f17",
      "text": "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;"
    },
    {
      "type": "footnote",
      "label": "f18",
      "text": "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)."
    },
    {
      "type": "footnote",
      "label": "f19",
      "text": "When the value of the collateral has been calculated as mortgage lending value."
    },
    {
      "type": "footnote",
      "label": "f20",
      "text": "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)."
    },
    {
      "type": "footnote",
      "label": "f21",
      "text": "The template shall include information on all institutions and not only on those with market risk positions."
    },
    {
      "type": "footnote",
      "label": "f22",
      "text": "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 %)."
    },
    {
      "type": "footnote",
      "label": "f23",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f24",
      "text": "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 %)."
    },
    {
      "type": "footnote",
      "label": "f25",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f26",
      "text": "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 %)."
    },
    {
      "type": "footnote",
      "label": "f27",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f28",
      "text": "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."
    },
    {
      "type": "footnote",
      "label": "f29",
      "text": "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’."
    },
    {
      "type": "footnote",
      "label": "f30",
      "text": "The number of institutions which have been granted the waiver shall be used as a basis for counting the waivers."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2019/912/annex/IV",
    "retrieved_at": "2026-11-01T14:43:21.069614+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."
}