title: Commission Implementing Regulation (EU) 2017/393 of 11 November 2016 laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Text with EEA relevance. )

text:
                  10.3.2017

                  EN

                  Official Journal of the European Union

                  L 65/116

            COMMISSION IMPLEMENTING REGULATION (EU) 2017/393
      of 11 November 2016
      laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council
      (Text with EEA relevance)
      THE EUROPEAN COMMISSION,
      Having regard to the Treaty on the Functioning of the European Union,
      Having regard to Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (1), and in particular the third subparagraph of Article 9(3) thereof,
      Whereas:

                  (1)

                  In accordance with Regulation (EU) No 909/2014 settlement internalisers and competent authorities are to report and transmit information on internalised settlements using standard forms, templates and procedures. Standard forms, templates and procedures also need to be used when competent authorities inform the European Securities and Markets Authority (ESMA) on any potential risk resulting from the settlement activity.

                  (2)

                  In order to facilitate the implementation of the procedures and processes related to the reporting requirements on internalised settlements across market participants and to minimise the associated costs, the information should be provided using codes specified in standards published by the International Organisation for Standardisation where such codes are available.

                  (3)

                  In order to facilitate the processing of large volumes of data in a consistent and efficient manner, reports should be transmitted in a machine readable format.

                  (4)

                  The reporting requirements set out in this Regulation may require significant IT system changes, market testing and adjustments to legal arrangements of the institutions concerned. It is therefore necessary to give those institutions sufficient time to prepare for application of those requirements.

                  (5)

                  This Regulation is based on the draft implementing technical standards submitted by ESMA to the Commission.

                  (6)

                  ESMA has conducted an open public consultation on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2),

            HAS ADOPTED THIS REGULATION:
      Article 1
      1.   A settlement internaliser shall use the template set out in Annex I to this Regulation when it reports to the competent authority in accordance with the first subparagraph of Article 9(1) of Regulation (EU) No 909/2014. That report shall be submitted within 10 working days from the end of each quarter of a calendar year.
      The first report under the first subparagraph shall be submitted within 10 working days from the end of the first quarter following 10 March 2019.
      2.   The competent authority shall use the template set out in Annex I to this Regulation when it transmits to European Securities and Markets Authority (ESMA) the information received under the first subparagraph of Article 9(1) of Regulation (EU) No 909/2014. That information shall be transmitted within five working days from the date of receipt of each report referred to in paragraph 1 of this Article.
      3.   The template set out in Annex I shall be completed in accordance with the instructions set out in Annex II.
      4.   The competent authority shall use the template set out in Annex III when it informs ESMA of any potential risk resulting from internalised settlement activity. Information on any potential risk resulting from internalised settlement activity shall be submitted within 30 working days from the end of each quarter of a calendar year. The competent authority shall complete that template in accordance with the instructions set out in Annex IV.
      5.   The information referred to in paragraphs 1, 2 and 4 shall be provided in a machine readable format.
      Article 2
      This Regulation shall enter into force on 10 March 2019.

         This Regulation shall be binding in its entirety and directly applicable in all Member States.
         Done at Brussels, 11 November 2016.

               For the Commission

               The President

            Jean-Claude JUNCKER

         (1)  OJ L 257, 28.8.2014, p. 1.

         (2)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

         ANNEX I

            Template for reporting and transmission of information on internalised settlement

                        Internalised Settlement

                        Settlement Internaliser Information

                        C0010

                        Country code

                        R0010

                        Reporting timestamp

                        R0020

                        Reporting period

                        R0030

                        LEI

                        R0040

                        Name of person responsible

                        R0050

                        Function of person responsible

                        R0060

                        Phone number

                        R0070

                        Email address

                        R0080

                        Aggregate

                        Rate

                        Settled

                        Failed

                        Total

                        Failed

                        Volume

                        Value (EUR)

                        Volume

                        Value (EUR)

                        Volume

                        Value (EUR)

                        Volume %

                        Value %

                        C0020

                        C0030

                        C0040

                        C0050

                        C0060

                        C0070

                        C0080

                        C0090

                        Overall total

                        R0090

                        Financial instruments

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU of the European Parliament and of the Council (1)

                        R0100

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                        R0110

                     Transferable 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

                        R0120

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                        R0130

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                        R0140

                     Units in collective investment undertakings, other than exchange-traded funds

                        R0150

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                        R0160

                     Emission allowances

                        R0170

                     Other financial instruments

                        R0180

                        Type of transactions

                     Purchase or sale of securities

                        R0190

                     Collateral management operations

                        R0200

                     Securities lending and securities borrowing

                        R0210

                     Repurchase transactions

                        R0220

                     Other securities transactions

                        R0230

                        Type of client

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                        R0240

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                        R0250

                        Cash Transfers

                     Total Cash Transfers

                        R0260

                        Each Issuer CSD Information

                        C0100

                        Issuer CSD identifier

                        R0270

                        Issuer CSD country code

                        R0280

                        Aggregate

                        Rate

                        Settled

                        Failed

                        Total Settled Failed

                        Failed

                        Volume

                        Value (EUR)

                        Volume

                        Value (EUR)

                        Volume

                        Value (EUR)

                        Volume %

                        Value %

                        C0110

                        C0120

                        C0130

                        C0140

                        C0150

                        C0160

                        C0170

                        C0180

                        Overall total

                        R0290

                        Financial instruments

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                        R0300

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                        R0310

                     Transferable 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

                        R0320

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                        R0330

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                        R0340

                     Units in collective investment undertakings other than ETFs

                        R0350

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                        R0360

                     Emission allowances

                        R0370

                     Other financial instruments

                        R0380

                        Type of transactions

                     Purchase or sale of securities

                        R0390

                     Collateral management operations

                        R0400

                     Securities lending and securities borrowing

                        R0410

                     Repurchase transactions

                        R0420

                     Other securities transactions

                        R0430

                        Type of client

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                        R0440

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                        R0450

                        Cash Transfers

                     Total Cash Transfers

                        R0460

            (1)  Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).

         ANNEX II

            Instructions for completing the template for reporting and transmission of information on internalised settlement

         The ‘Cell Reference’ column of the table below identifies the items to be reported by identifying the columns and lines as showed in the template in Annex I. Information in columns C0100-C0180, as well as in Rows R0270-R0460 shall be reported for each issuer CSD.
         Information in columns C0020, C0040, C0060, C0110, C0130 and C0150 for aggregated volumes shall be reported as a whole number expressed using up to 20 numerical characters without decimal places.
         Information in columns C0030, C0050, C0070, C0120, C0140 and C0160 for aggregate values shall be reported as a value expressed using up to 20 numerical characters including decimals. The decimal mark is not counted as a numerical character and at least one character before and two characters after the decimal mark shall be populated. A full stop shall be used as the decimal mark.
         Information in columns C0080, C0090, C00170 and C00180 for rates shall be reported as a percentage value up to two decimal places.
         Where no activity needs to be reported, information in columns C0020-C0090 and C0110-C0180 shall be completed with a zero value.

                     No.

                     Cell Reference

                     Item

                     Instruction

                     1

                     C0010, R0010

                     Country code

                     Identify the ISO 3166 2 character code of the place of establishment of the settlement internaliser.

                     2

                     C0010, R0020

                     Reporting timestamp

                     For reporting from the settlement internaliser to the competent authority, identify the ISO 8601 in UTC time format (YYYY-MM-DDThh:mm:ssZ) code of the date when the report from the settlement internaliser to the competent authority is made.
                     For reporting from the competent authority to ESMA, identify the ISO 8601 in UTC time format (YYYY-MM-DDThh:mm:ssZ) code of the date when the report from the competent authority to ESMA is made.

                     3

                     C0010, R0030

                     Reporting period

                     Identify the ISO 8601 (YYYY-MM-DD) code of the date identifying the last day of the reporting period.

                     4

                     C0010, R0040

                     Settlement internaliser identifier

                     Insert identification code of the settlement internaliser, using a Legal Entity Identifier (LEI).

                     5

                     C0010, R0050

                     Name of person responsible

                     For reporting from the settlement internaliser to the competent authority, indicate the name of the person responsible for the report at the settlement internaliser.
                     For reporting from the competent authority to ESMA, the name of the liaison at the competent authority.

                     6

                     C0010, R0060

                     Function of person responsible

                     For reporting from the settlement internaliser to the competent authority, the function of the person responsible for the report at the settlement internaliser.
                     For reporting from the competent authority to ESMA, the function of the liaison at the competent authority.

                     7

                     C0010, R0070

                     Phone number

                     For reporting from the settlement internaliser to the competent authority, the phone number of the person responsible for the report at the settlement internaliser.
                     For reporting from the competent authority to ESMA, the phone number of the liaison at the competent authority.

                     8

                     C0010, R0080

                     Email address

                     For reporting from the settlement internaliser to the competent authority, the email address of the person responsible for the report at the settlement internaliser.
                     For reporting from the competent authority to ESMA, the email address of the liaison at the competent authority.

                     9

                     C0100, R0270

                     Issuer CSD identifier

                     Insert identification code of the CSD, using an LEI.
                     If information on the issuer CSD is not available the first two characters of the ISIN codes shall be used.

                     10

                     C0100, R0280

                     Issuer CSD Country Code

                     Identify the ISO 3166 2 character code of the place of establishment of the issuer CSD.

                     11

                     C0020, R0090
                     C0110, R0290

                     Overall total

                     Aggregated volume of internalised settlement instructions settled by the settlement internaliser during the period covered by the report.

                     12

                     C0030, R0090
                     C0120, R0290

                     Overall total

                     Aggregated value, expressed in euros, of internalised settlement instructions settled during the period covered by the report.

                     13

                     C0040, R0090
                     C0130, R0290

                     Overall total

                     Aggregated volume of failed internalised settlement instructions during the period covered by the report

                     14

                     C0050, R0090
                     C0140, R0290

                     Overall total

                     Aggregated value, expressed in euros, of failed internalised settlement instructions during the period covered by the report

                     15

                     C0060, R0090
                     C0150, R0290

                     Overall total

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions during the period covered by the report.

                     16

                     C0070, R0090
                     C0160, R0290

                     Overall total

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and of failed internalised settlement instructions during the period covered by the report.

                     17

                     C0080, R0090
                     C0170, R0290

                     Overall total

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions during the period covered by the report.

                     18

                     C0090, R0090
                     C0180, R0290

                     Overall total

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions during the period covered by the report.

                     19

                     C0020, R0100
                     C0110, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     20

                     C0030, R0100
                     C0120, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     21

                     C0040, R0100
                     C0130, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report

                     22

                     C0050, R0100
                     C0140, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report

                     23

                     C0060, R0100
                     C0150, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     24

                     C0070, R0100
                     C0160, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     25

                     C0080, R0100
                     C0170, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     26

                     C0090, R0100
                     C0180, R0300

                     Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     27

                     C0020, R0110
                     C0110, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     28

                     C0030, R0110
                     C0120, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     29

                     C0040, R0110
                     C0130, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report

                     30

                     C0050, R0110
                     C0140, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report

                     31

                     C0060, R0110
                     C0150, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     32

                     C0070, R0110
                     C0160, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     33

                     C0080, R0110
                     C0170, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     34

                     C0090, R0110
                     C0180, R0310

                     Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     35

                     C0020, R0120
                     C0110, R0320

                     Transferable 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

                     Aggregated volume of internalised settlement instructions settled in transferable 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 by the settlement internaliser during the period covered by the report.

                     36

                     C0030, R0120
                     C0120, R0320

                     Transferable 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

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in transferable 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 during the period covered by the report.

                     37

                     C0040, R0120
                     C0130, R0320

                     Transferable 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

                     Aggregated volume of failed internalised settlement instructions in transferable 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 during the period covered by the report

                     38

                     C0050, R0120
                     C0140, R0320

                     Transferable 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

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in transferable 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 during the period covered by the report

                     39

                     C0060, R0120
                     C0150, R0320

                     Transferable 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

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in transferable 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 during the period covered by the report.

                     40

                     C0070, R0120
                     C0160, R0320

                     Transferable 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

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and of failed internalised settlement instructions in transferable 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 during the period covered by the report.

                     41

                     C0080, R0120
                     C0170, R0320

                     Transferable 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

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable 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 during the period covered by the report.

                     42

                     C0090, R0120
                     C0180, R0320

                     Transferable 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

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable 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 during the period covered by the report.

                     43

                     C0020, R0130
                     C0110, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     44

                     C0030, R0130
                     C0120, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     45

                     C0040, R0130
                     C0130, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report

                     46

                     C0050, R0130
                     C0140, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report

                     47

                     C0060, R0130
                     C0150, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     48

                     C0070, R0130
                     C0160, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     49

                     C0080, R0130
                     C0170, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     50

                     C0090, R0130
                     C0180, R0330

                     Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.

                     51

                     C0020, R0140
                     C0110, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     52

                     C0030, R0140
                     C0120, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     53

                     C0040, R0140
                     C0130, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report

                     54

                     C0050, R0140
                     C0140, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report

                     55

                     C0060, R0140
                     C0150, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     56

                     C0070, R0140
                     C0160, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     57

                     C0080, R0140
                     C0170, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     58

                     C0090, R0140
                     C0180, R0340

                     Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     59

                     C0020, R0150
                     C0110, R0350

                     Units in collective investment undertakings, other than ETFs

                     Aggregated volume of internalised settlement instructions settled for units in collective investment undertakings, other than ETFs by the settlement internaliser during the period covered by the report.

                     60

                     C0030, R0150
                     C0120, R0350

                     Units in collective investment undertakings, other than ETFs

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     61

                     C0040, R0150
                     C0130, R0350

                     Units in collective investment undertakings, other than ETFs

                     Aggregated volume of failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     62

                     C0050, R0150
                     C0140, R0350

                     Units in collective investment undertakings, other than ETFs

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     63

                     C0060, R0150
                     C0150, R0350

                     Units in collective investment undertakings, other than ETFs

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     64

                     C0070, R0150
                     C0160, R0350

                     Units in collective investment undertakings, other than ETFs

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     65

                     C0080, R0150
                     C0170, R0350

                     Units in collective investment undertakings, other than ETFs

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     66

                     C0090, R0150
                     C0180, R0350

                     Units in collective investment undertakings, other than ETFs

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.

                     67

                     C0020, R0160
                     C0110, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     68

                     C0030, R0160
                     C0120, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     69

                     C0040, R0160
                     C0130, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report

                     70

                     C0050, R0160
                     C0140, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report

                     71

                     C0060, R0160
                     C0150, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     72

                     C0070, R0160
                     C0160, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     73

                     C0080, R0160
                     C0170, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     74

                     C0090, R0160
                     C0180, R0360

                     Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.

                     75

                     C0020, R0170
                     C0110, R0370

                     Emission allowances

                     Aggregated volume of internalised settlement instructions settled in emission allowances by the settlement internaliser during the period covered by the report.

                     76

                     C0030, R0170
                     C0120, R0370

                     Emission allowances

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in emission allowances during the period covered by the report.

                     77

                     C0040, R0170
                     C0130, R0370

                     Emission allowances

                     Aggregated volume of failed internalised settlement instructions in emission allowances during the period covered by the report

                     78

                     C0050, R0170
                     C0140, R0370

                     Emission allowances

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in emission allowances during the period covered by the report

                     79

                     C0060, R0170
                     C0150, R0370

                     Emission allowances

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in emission allowances during the period covered by the report.

                     80

                     C0070, R0170
                     C0160, R0370

                     Emission allowances

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in emission allowances during the period covered by the report.

                     81

                     C0080, R0170
                     C0170, R0370

                     Emission allowances

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in emission allowances during the period covered by the report.

                     82

                     C0090, R0170
                     C0180, R0370

                     Emission allowances

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in emission allowances during the period covered by the report.

                     83

                     C0020, R0180
                     C0110, R0380

                     Other financial instruments

                     Aggregated volume of internalised settlement instructions settled in other financial instruments by the settlement internaliser during the period covered by the report.

                     84

                     C0030, R0180
                     C0120, R0380

                     Other financial instruments

                     Aggregated value, expressed in euros, of internalised settlement instructions settled in other financial instruments during the period covered by the report.

                     85

                     C0040, R0180
                     C0130, R0380

                     Other financial instruments

                     Aggregated volume of failed internalised settlement instructions in other financial instruments during the period covered by the report

                     86

                     C0050, R0180
                     C0140, R0380

                     Other financial instruments

                     Aggregated value, expressed in euros, of failed internalised settlement instructions in other financial instruments during the period covered by the report

                     87

                     C0060, R0180
                     C0150, R0380

                     Other financial instruments

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in other financial instruments during the period covered by the report.

                     88

                     C0070, R0180
                     C0160, R0380

                     Other financial instruments

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in other financial instruments during the period covered by the report.

                     89

                     C0080, R0180
                     C0170, R0380

                     Other financial instruments

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in other financial instruments during the period covered by the report.

                     90

                     C0090, R0180
                     C0180, R0380

                     Other financial instruments

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in other financial instruments during the period covered by the report.

                     91

                     C0020, R0190
                     C0110, R0390

                     Purchase or sale of securities

                     Aggregated volume of internalised settlement instructions settled for purchase or sale of securities by the settlement internaliser during the period covered by the report.

                     92

                     C0030, R0190
                     C0120, R0390

                     Purchase or sale of securities

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for the purchase or sale of securities during the period covered by the report.

                     93

                     C0040, R0190
                     C0130, R0390

                     Purchase or sale of securities

                     Aggregated volume of failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report

                     94

                     C0050, R0190
                     C0140, R0390

                     Purchase or sale of securities

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report

                     95

                     C0060, R0190
                     C0150, R0390

                     Purchase or sale of securities

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.

                     96

                     C0070, R0190
                     C0160, R0390

                     Purchase or sale of securities

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.

                     97

                     C0080, R0190
                     C0170, R0390

                     Purchase or sale of securities

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.

                     98

                     C0090, R0190
                     C0180, R0390

                     Purchase or sale of securities

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.

                     99

                     C0020, R0200
                     C0110, R0400

                     Collateral management operations

                     Aggregated volume of internalised settlement instructions settled for the collateral management operations by the settlement internaliser during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI;

                                 —

                                 Collateral out: COLO;

                                 —

                                 Central bank collateral operation: CNCB.

                     100

                     C0030, R0200
                     C0120, R0400

                     Collateral management operations

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     101

                     C0040, R0200
                     C0130, R0400

                     Collateral management operations

                     Aggregated volume of failed internalised settlement instructions for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     102

                     C0050, R0200
                     C0140, R0400

                     Collateral management operations

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     103

                     C0060, R0200
                     C0150, R0400

                     Collateral management operations

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     104

                     C0070, R0200
                     C0160, R0400

                     Collateral management operations

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     105

                     C0080, R0200
                     C0170, R0400

                     Collateral management operations

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     106

                     C0090, R0200
                     C0180, R0400

                     Collateral management operations

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the collateral management operations during the period covered by the report.
                     Collateral management operations are defined as:

                                 —

                                 Collateral in: COLI

                                 —

                                 Collateral out: COLO

                                 —

                                 Central bank collateral operation: CNCB

                     107

                     C0020, R0210
                     C0110, R0410

                     Securities lending and securities borrowing

                     Aggregated volume of internalised settlement instructions settled for the securities lending and securities borrowing by the settlement internaliser during the period covered by the report.

                     108

                     C0030, R0210
                     C0120, R0410

                     Securities lending and securities borrowing

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for the securities lending and securities borrowing during the period covered by the report.

                     109

                     C0040, R0210
                     C0130, R0410

                     Securities lending and securities borrowing

                     Aggregated volume, expressed in euros, of failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.

                     110

                     C0050, R0210
                     C0140, R0410

                     Securities lending and securities borrowing

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.

                     111

                     C0060, R0210
                     C0150, R0410

                     Securities lending and securities borrowing

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.

                     112

                     C0070, R0210
                     C0160, R0410

                     Securities lending and securities borrowing

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.

                     113

                     C0080, R0210
                     C0170, R0410

                     Securities lending and securities borrowing

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.

                     114

                     C0090, R0210
                     C0180, R0410

                     Securities lending and securities borrowing

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.

                     115

                     C0020, R0220
                     C0110, R0420

                     Repurchase transactions

                     Aggregated volume of internalised settlement instructions settled for the repurchase transactions by the settlement internaliser during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     116

                     C0030, R0220
                     C0120, R0420

                     Repurchase transactions

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for the repurchase transactions during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     117

                     C0040, R0220
                     C0130, R0420

                     Repurchase transactions

                     Aggregated volume of failed internalised settlement instructions for the repurchase transactions by the settlement internaliser during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     118

                     C0050, R0220
                     C0140, R0420

                     Repurchase transactions

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions:RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     119

                     C0060, R0220
                     C0150, R0420

                     Repurchase transactions

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     120

                     C0070, R0220
                     C0160, R0420

                     Repurchase transactions

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     121

                     C0080, R0220
                     C0170, R0420

                     Repurchase transactions

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     122

                     C0090, R0220
                     C0180, R0420

                     Repurchase transactions

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
                     Repurchase transactions are defined as:

                                 —

                                 Repurchase agreement transactions: REPU

                                 —

                                 Reverse repurchase agreement transactions: RVPO

                                 —

                                 Triparty repurchase agreements: TRPO

                                 —

                                 Triparty reverse repurchase agreements: TRVO

                                 —

                                 Buy sell back transactions: BSBK

                                 —

                                 Sell buy back transactions: SBBK

                     123

                     C0020, R0230
                     C0110, R0430

                     Other securities transactions

                     Aggregated volume of internalised settlement instructions settled for any other securities transactions by the settlement internaliser during the period covered by the report.

                     124

                     C0030, R0230
                     C0120, R0430

                     Other securities transactions

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for any other securities transactions during the period covered by the report.

                     125

                     C0040, R0230
                     C0130, R0430

                     Other securities transactions

                     Aggregated volume of failed internalised settlement instructions settled for any other securities transactions during the period covered by the report.

                     126

                     C0050, R0230
                     C0140, R0430

                     Other securities transactions

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for any other securities transactions during the period covered by the report.

                     127

                     C0060, R0230
                     C0150, R0430

                     Other securities transactions

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for any other securities transactions during the period covered by the report.

                     128

                     C0070, R0230
                     C0160, R0430

                     Other securities transactions

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for any other securities transactions during the period covered by the report.

                     129

                     C0080, R0230
                     C0170, R0430

                     Other securities transactions

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for any other securities transactions during the period covered by the report.

                     130

                     C0090, R0230
                     C0180, R0430

                     Other securities transactions

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for any other securities transactions during the period covered by the report.

                     131

                     C0020, R0240
                     C0110, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     132

                     C0030, R0240
                     C0120, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     133

                     C0040, R0240
                     C0130, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report

                     134

                     C0050, R0240
                     C0140, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report

                     135

                     C0060, R0240
                     C0150, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     136

                     C0070, R0240
                     C0160, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     137

                     C0080, R0240
                     C0170, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     138

                     C0090, R0240
                     C0180, R0440

                     Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     139

                     C0020, R0250
                     C0110, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     Aggregated volume of internalised settlement instructions settled for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.

                     140

                     C0030, R0250
                     C0120, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     141

                     C0040, R0250
                     C0130, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     Aggregated volume of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report

                     142

                     C0050, R0250
                     C0140, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     143

                     C0060, R0250
                     C0150, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     144

                     C0070, R0250
                     C0160, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and number of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     145

                     C0080, R0250
                     C0170, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     146

                     C0090, R0250
                     C0180, R0450

                     Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.

                     147

                     C0020, R0260
                     C0110, R0460

                     Total cash transfers

                     Aggregated volume of internalised settlement instructions settled for cash transfers by the settlement internaliser during the period covered by the report.

                     148

                     C0030, R0260
                     C0120, R0460

                     Total cash transfers

                     Aggregated value, expressed in euros, of internalised settlement instructions settled for cash transfers during the period covered by the report.

                     149

                     C0040, R0260
                     C0130, R0460

                     Total cash transfers

                     Aggregated volume of failed internalised settlement instructions for cash transfers during the period covered by the report

                     150

                     C0050, R0260
                     C0140, R0460

                     Total cash transfers

                     Aggregated value, expressed in euros, of failed internalised settlement instructions for cash transfers during the period covered by the report

                     151

                     C0060, R0260
                     C0150, R0460

                     Total cash transfers

                     Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for cash transfers during the period covered by the report.

                     152

                     C0070, R0260
                     C0160, R0460

                     Total cash transfers

                     Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for cash transfers during the period covered by the report.

                     153

                     C0080, R0260
                     C0170, R0460

                     Total cash transfers

                     The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for cash transfers during the period covered by the report.

                     154

                     C0090, R0260
                     C0180, R0460

                     Total cash transfers

                     The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for cash transfers during the period covered by the report.

         ANNEX III

            Template for informing of potential risks

                        Potential Risks

                        Identification of the reporting competent authority

                     C0010

                     Name of the competent authority

                     R0010

                     Reporting timestamp

                     R0020

                     Reporting period

                     R0030

                     Name of the main liaison

                     R0040

                     Function of the main liaison

                     R0050

                     Phone number of the main liaison

                     R0060

                     Email address of the main liaison

                     R0070

                        Identification of any potential risks resulting from the internalised settlement activity in the jurisdiction

                     Identification of any potential risks resulting from the internalised settlement activity in the jurisdiction

                     R0080

         ANNEX IV

            Instructions for completing the template for informing of potential risks

         The ‘Cell Reference’ column of the table below identifies the items to be reported by identifying the columns and lines as showed in the template in Annex III

                     No.

                     Cell Reference

                     Item

                     Instruction

                     1

                     C0010, R0010

                     Name of the competent authority.

                     The full name of the competent authority.

                     2

                     C0010, R0020

                     Reporting timestamp

                     Identify the ISO 8601 in UTC time format (YYYY-MM-DDThh:mm:ssZ) code of the date when the report from the competent authority is made.

                     2

                     C0010, R0030

                     Reporting period

                     Identify the ISO 8601 (YYYY-MM-DD) code of the date identifying the last day of the reporting period.

                     2

                     C0010, R0040

                     Name of the main liaison.

                     The main liaison at the competent authority that is responsible for completing the potential risks template.

                     3

                     C0010, R0050

                     Function of the main liaison.

                     The function of the main liaison at the competent authority that is responsible for completing the potential risks template.

                     4

                     C0010, R0060

                     Phone number of the main liaison.

                     The phone number of the main liaison at the competent authority who is responsible for completing the potential risks template.

                     5

                     C0010, R0070

                     Email address of the main liaison.

                     The email address of the main liaison at the competent authority that is responsible for completing the potential risks template.

                     6

                     C0010, R0080

                     Identification of any potential risks resulting from the internalised settlement activity in the jurisdiction.

                     Completed as free text.


title: Commission Implementing Regulation (EU) No 491/2011 of 19 May 2011 fixing representative prices in the poultrymeat and egg sectors and for egg albumin, and amending Regulation (EC) No 1484/95

text:
               20.5.2011

               EN

               Official Journal of the European Union

               L 133/16

         COMMISSION IMPLEMENTING REGULATION (EU) No 491/2011
   of 19 May 2011
   fixing representative prices in the poultrymeat and egg sectors and for egg albumin, and amending Regulation (EC) No 1484/95
   THE EUROPEAN COMMISSION,
   Having regard to the Treaty on the Functioning of the European Union,
   Having regard to Council Regulation (EC) No 1234/2007 of 22 October 2007 establishing a common organisation of agricultural markets and on specific provisions for certain agricultural products (Single CMO Regulation) (1), and in particular Article 143 thereof,
   Having regard to Council Regulation (EC) No 614/2009 of 7 July 2009 on the common system of trade for ovalbumin and lactalbumin (2), and in particular Article 3(4) thereof,
   Whereas:

               (1)

               Commission Regulation (EC) No 1484/95 (3) lays down detailed rules for implementing the system of additional import duties and fixes representative prices for poultrymeat and egg products and for egg albumin.

               (2)

               Regular monitoring of the data used to determine representative prices for poultrymeat and egg products and for egg albumin shows that the representative import prices for certain products should be amended to take account of variations in price according to origin. The representative prices should therefore be published.

               (3)

               In view of the situation on the market, this amendment should be applied as soon as possible.

               (4)

               The measures provided for in this Regulation are in accordance with the opinion of the Management Committee for the Common Organisation of Agricultural Markets,

         HAS ADOPTED THIS REGULATION:
   Article 1
   Annex I to Regulation (EC) No 1484/95 is replaced by the Annex to this Regulation.
   Article 2
   This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.

      This Regulation shall be binding in its entirety and directly applicable in all Member States.
      Done at Brussels, 19 May 2011.

            For the Commission, On behalf of the President,

         José Manuel SILVA RODRÍGUEZ

            Director-General for Agriculture and Rural Development

      (1)  OJ L 299, 16.11.2007, p. 1.

      (2)  OJ L 181, 14.7.2009, p. 8.

      (3)  OJ L 145, 29.6.1995, p. 47.

      ANNEX
      to the Commission Regulation of 19 May 2011 fixing representative prices in the poultrymeat and egg sectors and for egg albumin, and amending Regulation (EC) No 1484/95

            ‘ANNEX I

                        CN code

                        Description of goods

                        Representative price
                        (EUR/100 kg)

                        Security under Article 3(3)
                        (EUR/100 kg)

                        Origin (1)

                        0207 12 10

                        Fowls of the species Gallus domesticus, not cut in pieces, presented as “70 % chickens”, frozen

                        116,4

                        0

                        AR

                        0207 12 90

                        Fowls of the species Gallus domesticus, not cut in pieces, presented as “65 % chickens”, frozen

                        139,9

                        0

                        BR

                        127,3

                        0

                        AR

                        0207 14 10

                        Fowls of the species Gallus domesticus, boneless cuts, frozen

                        212,3

                        26

                        BR

                        241,1

                        18

                        AR

                        322,3

                        0

                        CL

                        0207 27 10

                        Turkeys, boneless cuts, frozen

                        336,4

                        0

                        BR

                        0408 11 80

                        Egg yolks

                        348,6

                        0

                        AR

                        0408 91 80

                        Eggs, not in shell, dried

                        372,9

                        0

                        AR

                        1602 32 11

                        Preparations of fowls of the species Gallus domesticus, uncooked

                        266,9

                        6

                        BR

                        3502 11 90

                        Egg albumin, dried

                        602,6

                        0

                        AR

         (1)  Nomenclature of countries laid down by Commission Regulation (EC) No 1833/2006 (OJ L 354, 14.12.2006, p. 19). The code “ZZ” represents “other origins”.’