title: Commission Implementing Regulation (EU) 2016/1066 of 17 June 2016 laying down implementing technical standards with regard to procedures, standard forms and templates for the provision of information for the purpose of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU of the European Parliament and of the Council (Text with EEA relevance)

text:
               6.7.2016

               EN

               Official Journal of the European Union

               L 181/1

         COMMISSION IMPLEMENTING REGULATION (EU) 2016/1066
   of 17 June 2016
   laying down implementing technical standards with regard to procedures, standard forms and templates for the provision of information for the purpose of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU 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 the Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council (1), and in particular Article 11(3) thereof,
   Whereas:

               (1)

               Resolution authorities have been conferred the task of drawing up resolution plans for credit institutions and investment firms (‘institutions’) in accordance with the requirements and the procedure laid down in Directive 2014/59/EU and for that purpose they have been empowered to request the necessary information from institutions. With specific regard to group resolution plans, the Union parent institution is to submit the relevant information to the group-level resolution authority which must then transmit it to the authorities listed in the second subparagraph of Article 13(1) of Directive 2014/59/EU in accordance with the procedure laid down therein.

               (2)

               The procedure and a minimum set of templates to request the necessary information from institutions should be designed in a way to enable the resolution authorities to collect that information in a consistent manner across the Union and to facilitate the exchange of information among the relevant authorities.

               (3)

               In accordance with Article 11(1)(a) of Directive 2014/59/EU institutions have a duty to cooperate as much as necessary with the resolution authorities for the purposes of drawing up resolution plans. However, procedures should be designed to minimise duplicated requirements for information. In this regard, Directive 2014/59/EU envisages a duty of cooperation of the competent authorities with the resolution authorities. This cooperation entails that the competent authority and the resolution authority jointly verify whether some or all of the necessary information is already available to the competent authority, by virtue of it exercising its supervisory tasks. Where that information is available, it is appropriate that the competent authority transmits it.

               (4)

               With a view to the overall content of resolution plans, it is appropriate that a minimum set of templates cover a core of information relating to an institution to be provided to the resolution authority.

               (5)

               This Regulation is based on the implementing technical standards submitted by the European Banking Authority (EBA) to the Commission.

               (6)

               The EBA has conducted open public consultations on the implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Banking Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council (2),

         HAS ADOPTED THIS REGULATION:
   Article 1
   Provision of information for the purpose of resolution plans
   The provision by an institution to the resolution authority of information necessary to draw up and implement resolution plans, in accordance with Article 11 of Directive 2014/59/EU, including group resolution plans in accordance with Article 13 of that Directive, shall be carried out following the procedure laid down in Article 2 of this Regulation and making use, where applicable, of the templates referred to in Article 3 of this Regulation.
   Article 2
   Procedure
   1.   For the purposes of verifying, in accordance with Article 11(2) of Directive 2014/59/EU, whether part or all of the necessary information to be requested by the resolution authority from the institution in order to draw the resolution plan is already available to the competent authority, the resolution authority shall first request such information from the competent authority of the relevant institution.
   2.   Where part or all the requested information is already available to the competent authority, that authority shall provide such information to the resolution authority in a timely manner
   3.   Where the information is not already available to the competent authority or where the format in which the information is provided by the competent authority is not satisfactory to the resolution authority, taking into account in particular the procedure to draw up group resolution plans, the resolution authority shall directly request the institution to provide the necessary information.
   4.   Where the information requested by the resolution authority in accordance with paragraph 3 is included in one of the categories set out in Article 3, the institution shall provide that information to the resolution authority by submitting the appropriate template contained in Annexes I to XII, following the instructions set out in Annex XIII.
   5.   Where the information requested by the resolution authority is not covered by one of the categories set out in Article 3, the information shall be provided in the format requested by the resolution authority.
   6.   A request of information by the resolution authority to an institution as referred to in paragraph 3 shall:

               (a)

               specify, taking into account the volume and complexity of the requested information, the appropriate time frame within which the institution shall provide the information to the resolution authority;

               (b)

               where the requested information is included in one of the categories set out in Article 3, specify the appropriate template contained in Annexes I to XII to be used in order to provide the information to the resolution authority;

               (c)

               where the requested information is not included in one of the categories set out in Article 3, or is not covered by any template contained in Annexes I to XII, specify the format to be used in order to provide the information to the resolution authority;

               (d)

               specify whether the relevant template contained in Annexes I to XII has to be completed on an individual or group level basis and whether its scope is local, Union-wide or global in accordance with the instructions contained in Annex XIII;

               (e)

               provide the necessary contact details to which the information has to be provided within the resolution authority.

         Article 3
   Minimum set of information included in the templates
   The minimum set of templates for the provision of information under Article 11 of Directive 2014/59/EU shall include the following categories:

               (1)

               organisational structure, as specified in Annex I;

               (2)

               governance and management, as specified in Annex II;

               (3)

               critical functions and core business lines, as specified in Annex III;

               (4)

               critical counterparties, as specified in Annex IV, Section 1: Assets, Section 2: Liabilities, and Section 3: Material hedges;

               (5)

               structure of liabilities, as specified in Annex V;

               (6)

               pledged collateral, as specified in Annex VI;

               (7)

               off-balance-sheet, as specified in Annex VII;

               (8)

               payment, clearing and settlement systems, as specified in Annex VIII;

               (9)

               information systems, as specified in Annex IX, Section 1: General information and Section 2: Mapping;

               (10)

               interconnectedness, as specified in Annex X;

               (11)

               authorities, as specified in Annex XI;

               (12)

               legal impact of resolution, as specified in Annex XII.

         Article 4
   Entry into force
   This Regulation shall enter into force on the twentieth day following that 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, 17 June 2016.

            For the Commission

            The President

         Jean-Claude JUNCKER

      (1)  OJ L 173, 12.6.2014, p. 190.

      (2)  Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC (OJ L 331, 15.12.2010, p. 12).

      ANNEX I

         Organisational structure

                  Legal entity

                  Direct holder

                  Capital

                  Voting rights

                  Consolidating entity

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                     Holding company X

                     110

                     NA

                     NA

                     NA

                     NA

                     NA

                     NA

                     Bank A (Parent)

                     111

                     Holding company X

                     110

                     100  %

                     100  %

                     Bank A

                     111

                     Bank B (Subsidiary)

                     112

                     Bank A

                     111

                     80  %

                     60  %

                     Bank A

                     111

                     Bank U

                     156

                     Bank B

                     112

                     100  %

                     100  %

                     Bank A

                     111

      ANNEX II

         Governance and management

                  Legal entity

                  Location

                  Jurisdiction of incorporation

                  Licensing authority

                  Type of licence

                  Member of the management body responsible for providing the information for the resolution plan

                  Key manager

                  Entity name

                  Legal identifier

                  Name

                  Phone number

                  E-mail address

                  Name

                  Function

                  Department

                  Phone numbers

                  E-mail addresses

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

                  130

                  140

                     Bank A

                     111

                     London

                     GB

                     BoE

                     Deposit taking

                     David Jones

                     4 444 444

                     djones@banka.com

                     Bank B

                     112

                     Paris

                     FR

                     ACP

                     Deposit taking, asset management

                     Paul Durand

                     33 333 333

                     pdurand@bankb.com

      ANNEX III

         Critical functions and core business lines

                  Critical functions

                  Core business lines

                  Legal entity

                  Location

                  Number of offices/branches in a location

                  Material assets

                  Material liabilities

                  Senior management official responsible for providing information

                  Entity name

                  Legal identifier

                  Type

                  Amount

                  Currency

                  Type

                  Amount

                  Currency

                  Name

                  Function

                  Department

                  Phone numbers

                  E-mail addresses

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

                  130

                  140

                  150

                  160

                  170

                  Deposit taking

                  Retail banking

                     Bank A

                     111

                     UK

                     87

                  deposits

                  5,000

                  GBP

                  Retail banking

                     Bank A

                     111

                     Ireland

                     4

                  deposits

                  200

                  EUR

                  Retail banking

                     Bank B

                     112

                     France

                     112

                  deposits

                  5,000

                  EUR

                  IT centre for online banking

                     Entity C

                     113

                     Spain

                     1

                  n/a

                  n/a

                  n/a

                  Asset management

                     Bank A

                     111

                     UK

                     10

                     assets under management

                  1,000

                  GBP

                     Bank D

                     114

                     Slovakia

                     1

                     assets under management

                  100

                  EUR

      ANNEX IV
      SECTION 1

         Critical counterparties (Assets)

                  Legal entity

                  Critical counterparty

                  Currency

                  Original exposure

                  Credit risk mitigations

                  Value adjustments and provisions

                  Net exposure

                  Impact on CET1 ratio

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                     Bank A

                     111

                     UK government

                     789

                     GBP

                     200,000

                     0

                     0

                     200,000

                     200 bp

                     Bank B

                     112

                     Bank W

                     444

                     EUR

                     1,000,000

                     500,000

                     200,000

                     300,000

                     300 bp

                     Bank A

                     111

                     Corporate U

                     650

                     EUR

                     500,000

                     0

                     400,000

                     100,000

                     100 bp

            SECTION 2

         Critical counterparties (Liabilities)

                  Legal entity

                  Critical counterparty

                  Funding

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Type

                  Amount

                  Currency

                  010

                  020

                  030

                  040

                  050

                  060

                  070

            SECTION 3

         Critical counterparties (Material hedges)

                  Legal entity

                  Critical counterparty

                  Material hedges (on-balance sheet)

                  Material hedges (off-balance sheet)

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Type

                  Amount

                  Currency

                  Purpose of hedge

                  Type

                  Amount

                  Currency

                  Purpose of hedge

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

      ANNEX V

         Liabilities structure

                  010

                  Legal entity name

                     Bank A

                  020

                  Legal idenfier

                     111

                  030

                  Governing law of the liabilities

                     EEA

                  040

                  Date

                     12/31/2013

                  Counterparties

                  Debt with a legal subordination qualifying as additional tier 1

                  Debt with a legal subordination qualifying as tier 2

                  Debt with a legal subordination

                  Senior unsecured debt

                  Deposits

                  Secured debt

                  Other liabilities excluded by Article 44(2) of BRRD

                  Derivatives

                  TOTAL

                  < 1 month

                  < 1 year

                  > 1 year

                  < 1 month

                  < 1 year

                  > 1 year

                  < 1 month

                  < 1 year

                  > 1 year

                  Total

                     of which eligible deposits

                     of which covered deposits

                  Exposure after prudential netting

                  Exposure after deducting margin and collateral

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

                  130

                  140

                  150

                  160

                  170

                  180

                  050

                  Natural persons

                  055

                     of which eligible liabilities

                  060

                  Micro, small and medium-sized enterprises

                  065

                     of which eligible liabilities

                  070

                  Large non-financial enterprises

                  075

                     of which eligible liabilities

                  080

                  Institutions

                  085

                     of which eligible liabilities

                  090

                  Insurance firms and pension funds

                  095

                     of which eligible liabilities

                  100

                  Other financial undertakings

                  105

                     of which eligible liabilities

                  110

                  Intragroup

                  115

                     of which eligible liabilities

                  120

                  Government, central banks and supranationals

                  125

                     of which eligible liabilities

                  130

                  Others/non-identified

                  140

                     of which eligible liabilities

                  150

                     TOTAL

                  160

                     Total eligible liabilities

      ANNEX VI

         Pledged collateral

                  Legal entity

                  Issuer of collateral

                  Type of collateral

                  Identification number

                  Holder of collateral

                  Amount

                  Currency

                  Jurisdiction

                  Counterparty

                  Amount

                  Currency

                  Jurisdiction

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

                  130

                  140

                  150

                  160

                     Bank A

                     111

                     US government

                     278

                     US gov bonds

                     Bank L

                     487

                     1 000

                     USD

                     US

                     Bank B

                     345

                     10 000

                     USD

                     US

                     Bank A

                     111

                     Bank A

                     997

                     Mortgages

                     BoE

                     997

                     1 000

                     GBP

                     GB

                     Bank C

                     587

                     8 000

                     GBP

                     GB

      ANNEX VII

         Off-balance sheet

                  Legal entity

                  Off-balance sheet item

                  Counterparty

                  Amount

                  Currency

                  Critical operations

                  Core business lines

                  Additional information

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Total

                  of which committed

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                     Bank A

                     111

                     credit line

                     Bank C

                     113

                     10 000 000

                     10 000 000

                     GBP

                     agreement expiring end 2015

                     Bank A

                     111

                     credit line

                     Bank D

                     114

                     –5,000,000

                     0

                     EUR

                     agreement expiring end 2015

      ANNEX VIII

         Payment, clearing and settlement systems

                  Legal entity

                  System

                  Representative Institution

                  Mapping to critical function

                  Mapping to core business line

                  Membership requirements

                  Impact of resolution proceedings on membership or contract with the representative institution

                  Substituability

                  Additional information

                  Entity name

                  Legal identifier

                  System type

                  Designation

                  Participation mode

                  Identification code

                  Entity name

                  Identification code

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

                  130

                  140

                     Bank A

                     111

                     Depository

                     Clearstream

                     indirect

                     Bank W

                     Securities trading

                     Membership cancelled

                     Euroclear

                     Bank B

                     112

                     Payment

                     TARGET

                     direct

                     Payment

      ANNEX IX
      SECTION 1

         Information systems (General information)

                  System

                  Group entity party to the contract

                  Type of contract

                  Counterparty

                  Person responsible

                  Impact of resolution proceedings on continuity of access to information systems

                  Identification

                  Type

                  Description

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  Name

                  Phone number

                  Email address

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                  120

                     System A

                  internet banking

                     Bank A

                     111

                     License

                     Entity A

                     System B

                  credit approval

                     Bank A

                     111

                     License

                     Entity B

                  credit approval

                     Bank B

                     112

                     License

                     Entity B

                     System C

                  other

                     Bank C

                     113

                     Shared service

                     Entity C

            SECTION 2

         Information systems (Mapping)

                  System

                  User

                  Entity name

                  Legal identifier

                  Critical function

                  Core business line

                  010

                  020

                  030

                  040

                  050

                     System A

                     Bank A

                     111

                     Deposit taking

                     Deposit taking

                     System A

                     Bank B

                     112

                     Deposit taking

                     Deposit taking

                     System B

                     Bank A

                     111

                     Credit

                     Retail

                     System B

                     Bank C

                     113

                     Credit

                     Corporate banking

                     System C

                     Bank A

                     111

                     All

                     All

      ANNEX X

         Interconnectedness

                  Legal entity A

                  Legal entity B

                  Entity name

                  Legal identifier

                  Entity name2

                  Legal identifier2

                  Type of interconnectedness

                  Description

                  010

                  020

                  030

                  040

                  050

                  060

                     Bank A

                     101

                     Bank B

                     102

                     Personnel

                     Legal staff (40 elements)

                     Bank A

                     101

                     Bank C

                     103

                     Personnel

                     Legal staff (40 elements)

                     Bank B

                     102

                     Bank C

                     103

                     Systems

                     All systems and IT infrastructures used by Bank C are also used by Bank B

                     Bank A

                     101

                     Bank C

                     103

                     Funding arrangements

                     The funding of Bank C is done through Bank A

                     Bank A

                     101

                     Entity D

                     104

                     Personnel

                     Legal staff (40 elements)

                     Bank A

                     101

                     Bank B

                     102

                     Funding arrangements

                     The funding of Bank B is done through Bank A

                     Bank C

                     103

                     Entity D

                     104

                     Facilities

                     The headquarters of Bank C and Entity D are on the same building

                     Bank A

                     101

                     Bank B

                     102

                     Liquidity arrangements

                     Bank A agrees to provide liquidity to Bank B when necessary

                     Entity D

                     104

                     Bank A

                     101

                     Personnel

                     All IT personnel of Bank A is from Entity D

      ANNEX XI

         Authorities

                  Legal entity

                  Supervisory authority/ies

                  Resolution authority

                  Deposit guarantee authority

                  Entity name

                  Legal identifier

                  Name of the authority

                  Phone number

                  Email address

                  Name of the authority

                  Phone number

                  Email address

                  Name of the authority

                  Phone number

                  Email address

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                  080

                  090

                  100

                  110

                     Bank A

                     111

                     Prudential Regulation Authority

                     Bank of England

                     Financial Services Compensation Scheme

      ANNEX XII

         Legal impacts of resolution

                  Legal entity

                  Third party

                  Type of contract

                  Termination affecting resolution tool

                  Comments

                  Entity name

                  Legal identifier

                  Entity name

                  Legal identifier

                  010

                  020

                  030

                  040

                  050

                  060

                  070

                     Bank B

                     112

                     Euronext NV

                     Membership

                     Y

                     Sale of asset management activity possibly difficult in case of resolution

      ANNEX XIII

         Instructions to complete the templates in Annexes I to XII

            General instructions

      1.   STRUCTURE AND CONVENTION
      1.1.   Structure

      The framework consists of 12 sets of templates which comprise a total of 15 templates according to the following scheme:

                  1.

                  Organisational structure

                  2.

                  Governance and management

                  3.

                  Critical functions and core business lines

                  4.

                  Critical counterparties (3 templates)

                  5.

                  Liabilities structure

                  6.

                  Pledged collateral

                  7.

                  Off-balance sheet

                  8.

                  Payment, clearing and settlement systems

                  9.

                  Information systems (2 templates)

                  10.

                  Interconnectedness

                  11.

                  Authorities

                  12.

                  Legal impacts of resolution

            1.2.   Accounting standard

      Institutions shall report carrying amounts under the accounting framework they use for the reporting of financial information. Institutions that are not required to report financial information shall use their respective accounting framework.
      For the purpose of this Annex, ‘IAS’ and ‘IFRS’ refer to the international accounting standards as defined in Article 2 of Regulation (EC) No 1606/2002.
      Amounts reported in the template should be gross book value, unless otherwise stated in the instructions.
      1.3.   Numbering convention

      The following general notation is used in these instructions to refer to the columns, rows and cells of a template: {Template; Row; Column}.
      1.4.   Level of application

      The level of application is determined by resolution authorities when formulating their request, either directly or indirectly, to institutions.

            Template related instructions

      2.   ANNEX I — ORGANISATIONAL STRUCTURE
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (1) detailed description of the institution’s organisational structure including a list of all legal persons

         (2) identification of the direct holders and the percentage of voting and non-voting rights of each legal person

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-040

                     Direct holder

                  030

                     Entity name

                  Name of the Entity holding a direct participation and controlling the legal entity identified in column 010.

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 030. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.

                  050

                     Capital (%)

                  Percentage of capital held by the legal entity listed in column 030 in the legal entity listed in column 010.

                  060

                     Voting rights (%)

                  Percentage of voting rights held by the legal entity listed in column 030 in the legal entity listed in column 010.

                  070-080

                     Consolidating entity

                  070

                     Entity name

                  Name of the entity consolidating the entity listed in column 010 at the highest level according to Regulation (EU) No 575/2013.

                  080

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 070. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

            3.   ANNEX II — GOVERNANCE AND MANAGEMENT
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:

         (3) the location, jurisdiction of incorporation, licensing and key management associated with each legal person

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030

                     Location

                  City where the entity listed in Column 010 is legally registered.

                  040

                     Jurisdiction of incorporation

                  Jurisdiction where the entity listed in Column 010 is incorporated, identified according to ISO 3166.

                  050

                     Licensing authority

                  Name of the authority providing banking or investment firm license to the institution listed in Column 010.

                  060

                     Type of license

                  070-090

                     Member of the management body responsible for providing the resolution authorities with the information necessary for the resolution plan

                  070

                     Name

                  First name, Last name

                  080

                     Phone number

                  090

                     E-mail address

                  100-140

                     Key manager

                  Senior person in the entity responsible for resolution of that entity

                  100

                     Name

                  First name, Last name

                  110

                     Function

                  120

                     Department

                  130

                     Phone numbers

                  Department’s telephone number and individual number of the person named in Column 100.

                  140

                     E-mail addresses

                  Department’s mailbox and individual e-mail address of the person named in Column 100.

            4.   ANNEX III — CRITICAL FUNCTIONS AND CORE BUSINESS LINES
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (4) a mapping of the institution’s critical operations and core business lines including material asset holdings and liabilities relating to such operations and business lines, by reference to legal persons

         (17) the member of the management body responsible for the resolution plan of the institution as well as those responsible, if different, for the different legal persons, critical operations and core business lines

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010

                     Critical functions

                  Means ‘critical functions’ pursuant to Article 2(1)(35) and Article 2(2) of Directive 2014/59/EU.

                  020

                     Core business lines

                  Means ‘core business lines’ pursuant to Article 2(1)(36) and Article 2(2) of Directive 2014/59/EU.

                  030-040

                     Legal entity

                  030

                     Entity name

                  040

                     Legal Entity identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  050

                     Location

                  Country in which business lines operate.

                  060

                     Number of offices/branches in a location

                  070-090

                     Material assets

                  070

                     Type

                  080

                     Amount

                  In Million

                  090

                     Currency

                  Identification according to ISO 4217

                  100-120

                     Material liabilities

                  100

                     Type

                  110

                     Amount

                  In Million

                  120

                     Currency

                  Identification according to ISO 4217

                  130-170

                     Senior management official responsible for providing information

                  130

                     Name

                  First name, Last name

                  140

                     Function

                  150

                     Department

                  160

                     Phone numbers

                  Department’s telephone number and individual number of the person named in Column 130.

                  170

                     E-mail addresses

                  Department’s mailbox and individual e-mail address of the person named in Column 130.

            5.   ANNEX IV, SECTION 1 — CRITICAL COUNTERPARTIES (ASSETS)
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:

         (10) identification of the major or most critical counterparties of the institution as well as an analysis of the impact of the failure of major counterparties in the institution’s financial situation

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-040

                     Critical counterparty

                  Criticality to be determined by the relevant authorities. Counterparties shall be reported for the relevant Groups of Connected Clients and in case a client does not belong to a Group of Connected Clients, on an individual level. Resolution authorities may request information on Groups of Connected Clients on an individual level. Group of Connected Clients is defined in Article 4(39) of Regulation (EU) No 575/2013. Information provided in this template should be complementary to the information already provided in Large Exposures.

                  030

                     Entity name

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  050

                     Currency

                  Identification according to ISO 4217

                  060

                     Original exposure

                  Means ‘original exposures’ as per Articles 24, 389, 390 and 392 of Regulation (EU) No 575/2013 and should follow the approach in FINREP.

                  070

                     Credit risk mitigations

                  Means ‘credit risk mitigation’ (CRM) as per Articles 399 and 401 to 403 of Regulation (EU) No 575/2013. For the purposes of this reporting, the CRM technique as defined in Article 4(57) and recognised in Part Three, Title II, Chapter 3 and 4, shall be used in accordance with the Articles 401 to 403 of Regulation (EU) No 575/2013.

                  080

                     Value adjustments and provisions

                  Means ‘value adjustments and provisions’ as defined in Articles 34, 24, 110 and 111 of Regulation (EU) No 575/2013.

                  090

                     Net exposure

                  090 = 060 – 070 – 080

                  100

                     Impact on CET1 ratio

                  Impact of a default of the counterparty listed in column 030 on the Core Equity Tier 1 ratio of the legal entity listed in column 010. Suggested formula for calculating Impact on CET1 ratio is:
                  CET1 – ((CET1 – expected loss)/(RWA – expected loss)) = Impact on CET1.
                  Where the resolution authorities determine that a more sophisticated formula is more appropriate they are free to request a different one.

            6.   ANNEX IV, SECTION 2 — CRITICAL COUNTERPARTIES (LIABILITIES)
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:

         (10) identification of the major or most critical counterparties of the institution as well as an analysis of the impact of the failure of major counterparties in the institution’s financial situation

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-040

                     Critical counterparty

                  Criticality to be determined by the relevant authorities. Information provided in this template should be complementary to the information already provided in Large Exposures.

                  030

                     Entity name

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  050-070

                     Funding

                  050

                     Type

                  060

                     Amount

                  Expressed in currency of the liability

                  070

                     Currency

                  Identification according to ISO 4217

            7.   ANNEX IV, SECTION 3 — CRITICAL COUNTERPARTIES (MATERIAL HEDGES)
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:

         (9) the material hedges of the institution including a mapping to legal persons

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-040

                     Critical counterparty

                  Counterparties shall be reported for the relevant Groups of Connected Clients and in case a client does not belong to a Group of Connected Clients, on an individual level. Resolution authorities may request information on Groups of Connected Clients on an individual level. Group of Connected Clients is defined in Article 4(39) of Regulation (EU) No 575/2013.

                  030

                     Entity name

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  050-080

                     Material hedges (on-balance sheet)

                  050

                     Type

                  Material hedges provided should not be limited to accounting hedges.

                  060

                     Amount

                  070

                     Currency

                  Identification according to ISO 4217

                  080

                     Purpose of hedge

                  Risks intended to be hedged.

                  090-120

                     Material hedges (off-balance sheet)

                  090

                     Type

                  Material hedges provided should not be limited to accounting hedges.

                  100

                     Amount

                  110

                     Currency

                  Identification according to ISO 4217

                  120

                     Purpose of hedge

                  Risks intended to be hedged.

            8.   ANNEX V — LIABILITIES STRUCTURE
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (5) a detailed description of the components of the institution’s and all its legal entities’ liabilities, separating, at a minimum by types and amounts of short term and long-term debt, secured, unsecured and subordinated liabilities

         (6) details of those liabilities of the institution that are eligible liabilities

      Instructions concerning specific rows:

                  Rows

                  Legal reference and instructions

                  010

                     Legal entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030

                     Governing law of the liabilities

                  EEA or ‘third country’. Resolution authorities are free to set a threshold above which they would require a breakdown into different third countries.

                  040

                     Date

                  050

                     Natural persons

                  055

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  060

                     Micro, small and medium-sized enterprises

                  065

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  070

                     Large non-financial enterprises

                  075

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  080

                     Institutions

                  As defined in Article 2(23) of Directive 2014/59/EU.

                  085

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
                  Debt with legal subordination (column 050) and senior unsecured debt (column 080) of institutions, with original maturity of less than 7 days should not be included in the ‘of which eligible liabilities’ amount provided in row 085 because in line with Article 44(2) of Directive 2014/59/EU, such liabilities are excluded from bail-in.

                  090

                     Insurance firms and pension funds

                  Insurance undertakings, reinsurance undertakings firms and pension and retirement funds

                  095

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  100

                     Other financial undertakings

                  105

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  110

                     Intragroup

                  Exposures towards entities within the same group. Such exposures shall be listed in that row only to avoid double counting (e.g. exposures towards a bank belonging to the same group should be identified in row 110 and not in row 080 on ‘credit institutions’).

                  115

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  120

                     Government, central banks and supranationals

                  125

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  130

                     Others/non-identified

                  Where the identity of the holder of a security is not possible, only totals should be provided.

                  135

                        Of which eligible liabilities

                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

                  150

                     Total

                  160

                     Total eligible liabilities

                  Total of ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.

            Instructions concerning specific columns

                  Columns

                  Legal reference and instructions

                  010

                     Debt with a legal subordination qualifying as additional tier 1

                  020-040

                     Debt with a legal subordination qualifying as tier 2

                  020

                     Remaining maturity of less than a month

                  030

                     Remaining maturity of less than a year

                  040

                     Remaining maturity of more than a year

                  050-070

                     Debt with a legal subordination

                  050

                     Remaining maturity of less than a month

                  Subordinated debt which does not qualify as tier 1 or tier 2.

                  060

                     Remaining maturity of less than a year

                  Subordinated debt which does not qualify as tier 1 or tier 2.

                  070

                     Remaining maturity of more than a year

                  Subordinated debt which does not qualify as tier 1 or tier 2.

                  080-100

                     Senior unsecured debt

                  Includes certificates of deposits and commercial papers

                  080

                     Remaining maturity of less than a month

                  090

                     Remaining maturity of less than a year

                  100

                     Remaining maturity of more than a year

                  110-130

                     Deposits

                  110

                     Total

                  120

                        Of which Eligible deposits

                  130

                        Of which Covered deposits

                  Excluded from the scope of bail-in by article 44(2)(a).

                  140

                     Secured debt

                  Excluded from the scope of bail-in by article 44(2)(b).

                  150

                     Other liabilities excluded by Article 44(2) of BRRD

                  Excluded from the scope of bail-in by articles 44(2)(a-d) to 44(2)(f-g).

                  160-170

                     Derivatives

                  Only on-balance sheet items. Off-balance sheet items should be reported in Annex VII.

                  160

                     Exposure after prudential netting

                  170

                     Exposure after deducting margin and collateral

                  180

                     Total

                  Sum of columns 010-110, 140-160.

            9.   ANNEX VI — PLEDGED COLLATERAL
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (7) an identification of the processes needed to determine to whom the institution has pledged collateral, the person that holds the collateral and the jurisdiction in which the collateral is located

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-040

                     Issuer of collateral

                  030

                     Entity name

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  050

                     Type of collateral

                  Covers all types of pledging including where there is an off-balance sheet liability or no liability (e.g. collateral swaps, default funds).

                  060

                     Identification number

                  ISIN code. Where the ‘ISIN code’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  070-080

                     Holder of collateral

                  070

                     Entity name

                  080

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  090

                     Amount

                  100

                     Currency

                  Identification according to ISO 4217

                  110

                     Jurisdiction

                  Law of the jurisdiction applicable to the holder of the collateral as identified in column 070 (e.g. German law).

                  120-130

                     Counterparty

                  120

                     Name

                  130

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  140

                     Amount

                  150

                     Currency

                  Identification according to ISO 4217.

                  160

                     Jurisdiction

                  Law of the jurisdiction applicable to the pledge contract.

            10.   ANNEX VII — OFF-BALANCE SHEET
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (8) a description of the off balance sheet exposures of the institution and its legal entities, including a mapping to its critical operations and core business lines

         (21) information on off-balance sheet activities, hedging strategies

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030

                     Off-balance sheet item

                  To be identified under the three following categories: ‘guarantees’, ‘credit lines’, ‘other’. This template should not include on balance sheet items.

                  040-050

                     Counterparty

                  040

                     Entity name

                  050

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  060-070

                     Amount

                  060

                     Total

                  Nominal value.

                  070

                        of which committed

                  To be filled in for credit lines only.

                  080

                     Currency

                  Identification according to ISO 4217.

                  090

                     Critical operations

                  100

                     Core business lines

                  110

                     Additional information

            11.   ANNEX VIII, SECTION 1 – PAYMENT, CLEARING AND SETTLEMENT SYSTEMS
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (11) each system on which the institution conducts a material number or value amount of trades, including a mapping to the institution’s legal persons, critical operations and core business lines

         (12) each payment, clearing or settlement system of which the institution is directly or indirectly a member, including a mapping to the institution’s legal persons, critical operations and core business lines

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-060

                     System

                  030

                     System type

                  Categorise systems using the following options: ‘Payment’, ‘Settlement’, ‘Securities clearing’, ‘Derivatives clearing’, ‘Depository’, ‘CCP’, and ‘Other’. Where more than one applies, specify all types.

                  040

                     Designation

                  050

                     Participation mode

                  Direct or indirect.

                  060

                     Identification code

                  BIC code. Where the ‘BIC code’ is not available another form of identification shall be provided, e.g. institution code or account number. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  070-080

                     Representative institution

                  Should only be filled when access is indirect.

                  070

                     Entity name

                  080

                     Identification code

                  090

                     Mapping to critical function

                  100

                     Mapping to core business line

                  110

                     Membership requirements

                  Qualitative and quantitative information necessary to understand the risk of the institution’s membership being cancelled.

                  120

                     Impact of resolution proceedings on membership or contract with the representative institution

                  130

                     Substitutability

                  Name of potential other payment system provider that could substitute the payment system provider listed in column 040.

                  140

                     Additional information

            12.   ANNEX IX, TEMPLATE 1 — INFORMATION SYSTEMS (GENERAL INFORMATION)
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (13) a detailed inventory and description of the key management information systems, including those for risk management, accounting and financial and regulatory reporting used by the institution including a mapping to the institution’s legal persons, critical operations and core business lines

         (14) an identification of the owners of the systems identified in point (13), service level agreements related thereto, and any software and systems or licenses, including a mapping to their legal entities, critical operations and core business lines

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     System

                  010

                     Identification

                  020

                     Type

                  To be chosen between ‘risk management’, ‘accounting’, ‘financial reporting’, ‘regulatory reporting’ and ‘other’.

                  030

                     Description

                  040-050

                     Group entity party to the contract

                  040

                     Entity name

                  050

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  060

                     Type of contract

                  License, shared service, or other

                  070-080

                     Counterparty

                  070

                     Entity name

                  080

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  090-110

                     Person responsible

                  090

                     Name

                  100

                     Phone number

                  110

                     E-mail address

                  120

                     Impact of resolution proceedings on continuity of access to information systems

            13.   ANNEX IX, TEMPLATE 2 — INFORMATION SYSTEMS (MAPPING)
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (13) a detailed inventory and description of the key management information systems, including those for risk management, accounting and financial and regulatory reporting used by the institution including a mapping to the institution’s legal persons, critical operations and core business lines

         (14) an identification of the owners of the systems identified in point (13), service level agreements related thereto, and any software and systems or licenses, including a mapping to their legal entities, critical operations and core business lines

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010

                     System

                  020-050

                     User

                  020

                     Entity name

                  030

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  040

                     Critical functions

                  Means ‘critical functions’ pursuant to Articles 2(1)(35) and 2(2) of Directive 2014/59/EU.

                  050

                     Core business lines

                  Means ‘core business lines’ pursuant to Articles 2(1)(36) and 2(2) of Directive 2014/59/EU.

            14.   ANNEX X — INTERCONNECTEDNESS
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (15) an identification and mapping of the legal persons and the interconnections and interdependencies among the different legal persons such as:

                  —

                     common or shared personnel, facilities and systems;

                  —

                     capital, funding or liquidity arrangements;

                  —

                     existing or contingent credit exposures;

                  —

                     cross guarantee agreements, cross-collateral arrangements, cross-default provisions and cross-affiliate netting arrangements;

                  —

                     risk transfers and back-to-back trading arrangements; service level agreements

            Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity A

                  010

                     Entity name

                  Must be different from the name listed in column 030.

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Must be different from the identifier listed in column 040
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-040

                     Legal entity B

                  030

                     Entity name

                  Must be different from the name listed in column 010.

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Must be different from the identifier listed in column 020
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  050

                     Type of interconnectedness

                  To be chosen between the following categories:

                              —

                              Personnel

                              —

                              Facilities

                              —

                              System

                              —

                              Capital arrangements

                              —

                              Funding arrangements

                              —

                              Liquidity arrangements

                              —

                              Credit exposure

                              —

                              Cross-guarantee agreement

                              —

                              Cross-collateral arrangement

                              —

                              Cross-default provision

                              —

                              Cross-affiliate netting arrangements

                              —

                              Risk transfers

                              —

                              Back-to-back trading arrangements

                              —

                              Service level agreement

                              —

                              Other

                  060

                     Description

                  To be mandatory filled when columns 010 to 050 are filled.

            15.   ANNEX XI — AUTHORITIES
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (16) the competent and resolution authority for each legal person

         (18) description of the arrangements that the institution has in place to ensure that, in the event of resolution, the resolution authority will have all the necessary information, as determined by the resolution authority, for applying the resolution tools and powers

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

                  030-050

                     Supervisory authority/ies

                  030

                     Name of the authority

                  040

                     Phone number

                  050

                     E-mail address

                  060-080

                     Resolution authority

                  060

                     Name of the authority

                  070

                     Phone number

                  080

                     E-mail address

                  090-110

                     Deposit guarantee authority

                  090

                     Name of the authority

                  100

                     Phone numbers

                  110

                     E-mail address

            16.   ANNEX XII – LEGAL IMPACT OF RESOLUTION
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:

         (19) all the agreements entered into by the institutions and their legal entities with third parties the termination of which may be triggered by a decision of the authorities to apply a resolution tool and whether the consequences of termination may affect the application of the resolution tool

      Instructions concerning specific columns:

                  Columns

                  Legal reference and instructions

                  010-020

                     Legal entity

                  010

                     Entity name

                  020

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.

                  030-040

                     Third party

                  030

                     Entity name

                  040

                     Legal Entity Identifier

                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.

                  050

                     Type of contract

                  060

                     Termination affecting resolution tool

                  Y (‘yes’) or N (‘no’).

                  070

                     Comments


title: Commission Implementing Regulation (EU) No 1353/2013 of 9 December 2013 entering a name in the register of protected designations of origin and protected geographical indications [Liers vlaaike (PGI)]

text:
               18.12.2013

               EN

               Official Journal of the European Union

               L 341/32

         COMMISSION IMPLEMENTING REGULATION (EU) No 1353/2013
   of 9 December 2013
   entering a name in the register of protected designations of origin and protected geographical indications [Liers vlaaike (PGI)]
   THE EUROPEAN COMMISSION,
   Having regard to the Treaty on the Functioning of the European Union,
   Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs (1), and in particular Article 52(2) thereof,
   Whereas:

               (1)

               Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Belgium's application to register the name ‘Liers vlaaike’ was published in the Official Journal of the European Union
                   (2).

               (2)

               As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Liers vlaaike’ should therefore be entered in the register,

         HAS ADOPTED THIS REGULATION:
   Article 1
   The name contained in the Annex to this Regulation is hereby entered in the register.
   Article 2
   This Regulation shall enter into force on the twentieth day following that 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, 9 December 2013.

            For the Commission, On behalf of the President,
         Dacian CIOLOȘ

            Member of the Commission

      (1)  OJ L 343, 14.12.2012, p. 1.

      (2)  OJ C 177, 22.6.2013, p. 8.

      ANNEX
      Agricultural products and foodstuffs listed in Annex I(I) to Regulation (EU) No 1151/2012:

         Class 2.4.   Bread, pastry, cakes, confectionery, biscuits and other baker’s wares

      BELGIUM
      Liers vlaaike (PGI)


title: Commission Implementing Regulation (EU) No 515/2012 of 18 June 2012 establishing the standard import values for determining the entry price of certain fruit and vegetables

text:
               19.6.2012

               EN

               Official Journal of the European Union

               L 158/9

         COMMISSION IMPLEMENTING REGULATION (EU) No 515/2012
   of 18 June 2012
   establishing the standard import values for determining the entry price of certain fruit and vegetables
   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),
   Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit and vegetables sectors (2), and in particular Article 136(1) thereof,
   Whereas:

               (1)

               Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.

               (2)

               The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the Official Journal of the European Union,

         HAS ADOPTED THIS REGULATION:
   Article 1
   The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in 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, 18 June 2012.

            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 157, 15.6.2011, p. 1.

      ANNEX
      Standard import values for determining the entry price of certain fruit and vegetables

                  (EUR/100 kg)

                  CN code

                  Third country code (1)

                  Standard import value

                  0702 00 00

                  MK

                  45,6

                  TR

                  33,3

                  ZZ

                  39,5

                  0707 00 05

                  MK

                  19,0

                  TR

                  119,6

                  ZZ

                  69,3

                  0709 93 10

                  TR

                  98,9

                  ZZ

                  98,9

                  0805 50 10

                  AR

                  71,2

                  BO

                  105,1

                  TR

                  100,8

                  UY

                  109,5

                  ZA

                  101,0

                  ZZ

                  97,5

                  0808 10 80

                  AR

                  112,7

                  BR

                  88,6

                  CH

                  68,9

                  CL

                  89,5

                  NZ

                  134,1

                  US

                  153,4

                  ZA

                  109,2

                  ZZ

                  108,1

                  0809 10 00

                  IL

                  705,0

                  TR

                  229,1

                  ZZ

                  467,1

                  0809 29 00

                  TR

                  361,9

                  ZZ

                  361,9

                  0809 40 05

                  ZA

                  249,8

                  ZZ

                  249,8

         (1)  Nomenclature of countries laid down by Commission Regulation (EC) No 1833/2006 (OJ L 354, 14.12.2006, p. 19). Code ‘ZZ’ stands for ‘of other origin’.


title: Commission Implementing Regulation (EU) No 1322/2013 of 11 December 2013 on the granting of unlimited duty-free access to the Union for 2014 to certain goods originating in Norway resulting from the processing of agricultural products covered by Council Regulation (EC) No 1216/2009

text:
               12.12.2013

               EN

               Official Journal of the European Union

               L 333/68

         COMMISSION IMPLEMENTING REGULATION (EU) No 1322/2013
   of 11 December 2013
   on the granting of unlimited duty-free access to the Union for 2014 to certain goods originating in Norway resulting from the processing of agricultural products covered by Council Regulation (EC) No 1216/2009
   THE EUROPEAN COMMISSION,
   Having regard to the Treaty on the Functioning of the European Union,
   Having regard to Council Regulation (EC) No 1216/2009 of 30 November 2009 laying down the trade arrangements applicable to certain goods resulting from the processing of agricultural products (1), and in particular Article 7(2) thereof,
   Having regard to Council Decision 2004/859/EC of 25 October 2004 concerning the conclusion of an Agreement in the form of an Exchange of Letters between the European Community and the Kingdom of Norway on Protocol 2 to the bilateral Free Trade Agreement between the European Economic Community and the Kingdom of Norway (2), and in particular Article 3 thereof,
   Whereas:

               (1)

               Protocol No 2 to the Agreement between the European Economic Community and the Kingdom of Norway (3), of 14 May 1973 and Protocol 3 to the EEA Agreement, as amended by Decisions of the EEA Joint Committee No 140/2001 (4) and No 138/2004 (5) (hereinafter referred to as ‘Protocol 3 to the EEA Agreement’) determine the trade arrangements for certain agricultural and processed agricultural products between the Contracting Parties.

               (2)

               Protocol 3 to the EEA Agreement provides for a zero duty applying to waters containing added sugar or other sweetening matter or flavoured, classified under CN code 2202 10 00, and other non-alcoholic beverages containing sugar or other sweetening matter or flavoured but not containing products of headings 0401 to 0404 or fat obtained from products of headings 0401 to 0404, classified under CN code 2202 90 10.

               (3)

               The zero duty for the waters and other beverages in question has been temporarily suspended for Norway by the Agreement in the form of an Exchange of Letters between the European Community and the Kingdom of Norway concerning Protocol 2 to the bilateral Free Trade Agreement between the European Economic Community and the Kingdom of Norway (6) (hereinafter referred to as ‘the Agreement in the form of an Exchange of Letters’) approved by Decision 2004/859/EC. According to the Agreement in the form of an Exchange of Letters, duty free imports of goods of the CN codes 2202 10 00 and ex 2202 90 10 originating in Norway are to be permitted only within the limits of a duty free quota while a duty is to be paid for imports outside the quota allocation.

               (4)

               Furthermore, the Agreement in the form of an Exchange of Letters requires that the products in question be granted unlimited duty-free access to the Union if the tariff quota has not been exhausted by 31 October of the previous year. According to data provided to the Commission, the annual quota for 2013 for the waters and beverages in question opened by Commission Implementing Regulation (EU) No 1085/2012 (7) had not been exhausted by 31 October 2013. Therefore, the products in question should be granted unlimited duty free access to the Union from 1 January to 31 December 2014.

               (5)

               It is therefore necessary not to apply for 2014 the temporary suspension of the duty free regime applied under Protocol No 2 to the Agreement between the European Economic Community and the Kingdom of Norway of 14 May 1973.

               (6)

               For reasons of legal certainty, it is appropriate to repeal provisions of Union law which no longer produce legal effects with regard to present or future situations. Implementing Regulation (EU) No 1085/2012 should therefore be repealed.

               (7)

               The measures provided for in this Regulation are in accordance with the opinion of the Committee on horizontal questions concerning trade in processed agricultural products not listed in Annex I,

         HAS ADOPTED THIS REGULATION:
   Article 1
   1.   From 1 January to 31 December 2014, the goods classified under CN codes 2202 10 00 (waters, including mineral waters and aerated waters, containing added sugar or other sweetening matter or flavoured) and ex 2202 90 10 (other non-alcoholic beverages containing sugar (sucrose or invert sugar)) originating in Norway shall be granted unlimited duty free access to the Union.
   2.   The rules of origin applicable to the goods referred to in paragraph 1 shall be those set out in Protocol No 3 of the Agreement between the European Economic Community and the Kingdom of Norway of 14 May 1973.
   Article 2
   Implementing Regulation (EU) No 1085/2012 is repealed.
   Article 3
   This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union.
   It shall apply from 1 January 2014.

      This Regulation shall be binding in its entirety and directly applicable in all Member States.
      Done at Brussels, 11 December 2013.

            For the Commission

            The President

         José Manuel BARROSO

      (1)  OJ L 328, 15.12.2009, p. 10.

      (2)  OJ L 370, 17.12.2004, p. 70.

      (3)  OJ L 171, 27.6.1973, p. 2.

      (4)  Decision of the EEA Joint Committee No 140/2001 of 23 November 2001 amending Protocols 2 and 3 to the EEA Agreement, concerning processed and other agricultural products (OJ L 22, 24.1.2002, p. 34).

      (5)  Decision of the EEA Joint Committee No 138/2004 of 29 October 2004 amending Protocol 3 to the EEA Agreement, concerning products referred to in Article 8(3)(b) of the Agreement (OJ L 342, 18.11.2004, p. 30).

      (6)  OJ L 370, 17.12.2004, p. 72.

      (7)  Commission Implementing Regulation (EU) No 1085/2012 of 20 November 2012 opening the tariff quota for the year 2013 for the importation into the European Union of certain goods originating in Norway resulting from the processing of agricultural products covered by Council Regulation (EC) No 1216/2009 (OJ L 322, 21.11.2012, p. 2).