title: Commission Implementing Regulation (EU) 2020/1227 of 12 November 2019 laying down implementing technical standards with regard to templates for the provision of information in accordance with the STS notification requirements (Text with EEA relevance)

text:
                  3.9.2020

                  EN

                  Official Journal of the European Union

                  L 289/315

         COMMISSION IMPLEMENTING REGULATION (EU) 2020/1227
         of 12 November 2019
         laying down implementing technical standards with regard to templates for the provision of information in accordance with the STS notification requirements
         (Text with EEA relevance)
         THE EUROPEAN COMMISSION,
         Having regard to the Treaty on the Functioning of the European Union,
         Having regard to Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012 (1), and in particular Article 27(7) thereof,
         Whereas:

                     (1)

                     To facilitate effective and harmonised notifications, information regarding securitisations meeting the requirements on simple, transparent and standardised criteria (STS) set out in Articles 19 to 22 and Articles 23 to 26 of Regulation (EU) 2017/2402 should be reported to the European Securities and Markets Authority (ESMA) in a consistent format and in accordance with uniform standards.

                     (2)

                     The provision of information in a harmonised format allows for efficient data collection by ESMA and facilitates consistency checks and assessment of completeness by investors and competent authorities. The format for each of the fields to be reported in a STS notification should therefore be specified and any information submitted to ESMA should be submitted electronically.

                     (3)

                     This Regulation is based on the draft implementing technical standards submitted by ESMA to the Commission in accordance with Article 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2).

                     (4)

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

               HAS ADOPTED THIS REGULATION:

            Article 1
            Templates for STS notification

               1.   The information referred to in Article 1(1)(a) and Article 1(2)(a) of Commission Delegated Regulation (EU) 2020/1226 (3) shall be provided by means of the template set out in Annex I to this Regulation.

               2.   The information referred to in Article 1(1)(b) and Article 1(2)(b) of Delegated Regulation (EU) 2020/1226 shall be provided by means of the template set out in Annex II to this Regulation.

               3.   The information referred to in Article 1(1)(c) and Article 1(2)(c) of Delegated Regulation (EU) 2020/1226 shall be provided by means of the template set out in Annex III to this Regulation.

               4.   Where the information to be provided pursuant to this Article is not available or required due to the application of the transitional provisions laid down in Article 43 of Regulation (EU) 2017/2402, the notification shall state ‘Not applicable due to the application of transitional provisions’ in the relevant field or fields of the Annexes to this Regulation.

               5.   The information referred to in this Article shall be submitted in an electronic and machine-readable form.

               6.   The ‘Additional information’ referred to in Article 2 of Delegated Regulation (EU) 2020/1226 shall be included in the field ‘Box to complete’ of Annexes I to III to this Regulation.

            Article 2
            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, 12 November 2019.

                  For the Commission

                  The President

               Jean-Claude JUNCKER

            (1)  OJ L 347, 28.12.2017, p. 35.

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

            (3)  Commission Delegated Regulation (EU) 2020/1226 of 12 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council and laying down regulatory technical standards specifying the information to be provided in accordance with the STS notification requirements (See page 285 of this Official Journal).

            ANNEX I

               Field formats to be applied to the STS notification form

                        SYMBOL

                        DATA TYPE

                        DEFINITION

                        {ALPHANUM-n}

                        Up to n alphanumeric characters

                        Free text field. Should be entered in ASCII format (no accented characters).

                        {COUNTRYCODE_2}

                        2 alphanumeric characters

                        2 letter country code, as defined by ISO 3166-1 alpha-2 country code. Should be entered in ASCII format (no accented characters).

                        {CURRENCYCODE_3}

                        3 alphanumeric characters

                        3 letter currency code, as defined by ISO 4217 currency codes. Should be entered in ASCII format (no accented characters).

                        {DATEFORMAT}

                        ISO 8601 date format

                        Dates shall be formatted by the following format: YYYY-MM-DD

                        {Y/N}

                        1 alphanumeric character

                        ‘true’- Y
                        ’false’ – N

                        {ISIN}

                        12 alphanumeric characters

                        ISIN code, as defined in ISO 6166

                        {LEI}

                        20 alphanumeric characters

                        Legal entity identifier, as defined in ISO 17442

               STS notification form for non-ABCP securitisations

                        FIELD CODE

                        FIELD NAME

                        BOX TO COMPLETE

                        FIELD FORMAT

                        STSS0

                        First contact point

                        {ALPHANUM-1000}

                        STSS1

                        Instrument identification code

                        {ISIN}

                        STSS2

                        LEI of the originator or sponsor or original lender

                        {LEI}

                        STSS3

                        Notification identifier

                        {ALPHANUM-100}

                        STSS4

                        Unique Identifier

                        {ALPHANUM-100}

                        STSS5

                        Prospectus Identifier

                        {ALPHANUM-100}

                        STSS6

                        Securitisation repository

                        {ALPHANUM-1000}

                        STSS7

                        Securitisation Name

                        {ALPHANUM-100}

                        STSS8

                        Country of establishment

                        {COUNTRYCODE_2}

                        STSS9

                        Securitisation classification

                        {LIST}

                        STSS10

                        Underlying Exposures Type

                        {LIST}

                        STSS11

                        Issue date

                        {DATEFORMAT}

                        STSS12

                        Notification Date

                        {DATEFORMAT}

                        STSS13

                        Authorised third party

                        {ALPHANUM-100}

                        STSS14

                        Authorised third party (name and country of establishment)

                        {ALPHANUM-1000}
                        {COUNTRYCODE_2}

                        STSS15

                        Competent authority which has authorised the third party

                        {ALPHANUM-100}

                        STSS16

                        STS status

                        {ALPHANUM-1000}

                        STSS17

                        Originator (or original lender) not a EU credit institution

                        {Y/N}

                        STSS18

                        Confirmation of credit-granting criteria

                        {ALPHANUM-1000}

                        STSS19

                        Declaration that credit-granting criteria are subject to supervision

                        {ALPHANUM-1000}

                        STSS20

                        Underlying exposures acquired by true sale

                        {ALPHANUM-10000}

                        STSS21

                        No severe clawback

                        {ALPHANUM-10000}

                        STSS22

                        Exemption for clawback provisions in national insolvency laws

                        {ALPHANUM-1000}

                        STSS23

                        Transfer where the seller is not the original lender

                        {ALPHANUM-1000}

                        STSS24

                        Transfer performed by means of an assignment and perfected at a later stage

                        {ALPHANUM-10000}

                        STSS25

                        Representations and warranties

                        {ALPHANUM-10000}

                        STSS26

                        Criteria for active Portfolio Management

                        {ALPHANUM-10000}

                        STSS27

                        Homogeneity of assets

                        {ALPHANUM}

                        STSS28

                        Underlying Exposure Obligations/no re-securitisation

                        {ALPHANUM-1000}

                        STSS29

                        Soundness of the underwriting standard

                        {ALPHANUM}

                        STSS30

                        Originator/Lender Expertise

                        {ALPHANUM}

                        STSS31

                        Defaulted Assets

                        {ALPHANUM}

                        STSS32

                        At least one payment at the time of transfer

                        {ALPHANUM-1000}

                        STSS33

                        Repayment of the holders/sale of assets.

                        {ALPHANUM}

                        STSS34

                        Compliance with the risk retention requirements

                        {LIST}

                        STSS35

                        Mitigation of Interest rates (IR) and currency risks (FX) Risks

                        {ALPHANUM-10000}

                        STSS36

                        Derivatives Purchased/Sold by SSPE

                        {ALPHANUM-10000}

                        STSS37

                        Derivatives using common standards

                        {ALPHANUM-10000}

                        STSS38

                        Referenced interest payments based on generally used interest rates

                        {ALPHANUM-10000}

                        STSS39

                        No trapping of cash following enforcement or acceleration notice

                        {ALPHANUM-10000}

                        STSS40

                        No amount of cash shall be trapped

                        {ALPHANUM-1000}

                        STSS41

                        Principal receipts shall be passed to investors

                        {ALPHANUM-1000}

                        STSS42

                        Repayment shall not be reversed with regard to their seniority

                        {ALPHANUM-1000}

                        STSS43

                        No provisions shall require automatic liquidation of the underlying exposures at market value

                        {ALPHANUM-1000}

                        STSS44

                        Securitisations featuring non-sequential priority of payments

                        {ALPHANUM-1000}

                        STSS45

                        Revolving securitisation with early amortisation events for termination of revolving period based on prescribed triggers

                        {ALPHANUM-10000}

                        STSS46

                        Deterioration in the credit quality of the underlying exposures

                        {ALPHANUM-10000}

                        STSS47

                        Occurrence of an insolvency-related event of the originator or servicer

                        {ALPHANUM-10000}

                        STSS48

                        Value of the underlying exposures held by the SSPE falls below a pre-determined threshold

                        {ALPHANUM-10000}

                        STSS49

                        Failure to generate sufficient new underlying exposures meeting pre-determined credit quality (trigger for termination of the revolving period)

                        {ALPHANUM-10000}

                        STSS50

                        Information regarding contractual obligations of the servicer, trustee and other ancillary service providers

                        {ALPHANUM-1000}

                        STSS51

                        Servicing Continuity Provisions

                        {ALPHANUM-1000}

                        STSS52

                        Derivative Counterparties Continuity Provisions

                        {ALPHANUM-1000}

                        STSS53

                        Liquidity providers and account bank continuity provisions

                        {ALPHANUM-1000}

                        STSS54

                        Required expertise from the servicer & policies & adequate procedures & risk management controls in place

                        {ALPHANUM}

                        STSS55

                        Clear & consistent definitions (problem loans)

                        {ALPHANUM-1000}

                        STSS56

                        Priorities of payment and triggers events

                        {ALPHANUM-1000}

                        STSS57

                        Timely resolution of conflicts between classes of investors and responsibilities of trustees

                        {ALPHANUM-1000}

                        STSS58

                        Historical Default and Loss Performance Data

                        {ALPHANUM-1000}

                        STSS59

                        Sample of the underlying exposures subject to external verifications

                        {ALPHANUM-1000}

                        STSS60

                        Availability of a liability cash flow model to potential investors

                        {ALPHANUM-1000}

                        STSS61

                        Environmental performance/residential loans or car loans or leases

                        {ALPHANUM-10000}

                        STSS62

                        Originator and sponsor responsible for compliance with Article 7 of Regulation (EU) 2017/2402

                        {ALPHANUM-1000}

            ANNEX II

               Field formats to be applied to the STS notification form

                        SYMBOL

                        DATA TYPE

                        DEFINITION

                        {ALPHANUM-n}

                        Up to n alphanumeric characters

                        Free text field. Should be entered in ASCII format (no accented characters).

                        {COUNTRYCODE_2}

                        2 alphanumeric characters

                        2 letter country code, as defined by ISO 3166-1 alpha-2 country code. Should be entered in ASCII format (no accented characters).

                        {CURRENCYCODE_3}

                        3 alphanumeric characters

                        3 letter currency code, as defined by ISO 4217 currency codes. Should be entered in ASCII format (no accented characters).

                        {DATEFORMAT}

                        ISO 8601 date format

                        Dates shall be formatted by the following format: YYYY-MM-DD

                        {Y/N}

                        1 alphanumeric character

                        ‘true’- Y
                        ’false’ – N

                        {ISIN}

                        12 alphanumeric characters

                        ISIN code, as defined in ISO 6166

                        {LEI}

                        20 alphanumeric characters

                        Legal entity identifier, as defined in ISO 17442

               STS notification form for ABCP securitisations

                        FIELD CODE

                        FIELD NAME

                        BOX TO COMPLETE

                        FIELD FORMAT

                        STSAT0

                        First contact point

                        {ALPHANUM-1000}

                        STSAT1

                        Instrument identification code

                        {ISIN}

                        STSAT2

                        LEI of the originator or sponsor or original lender

                        {LEI}

                        STSAT3

                        Notification identifier

                        {ALPHANUM-100}

                        STSAT4

                        Unique Identifier

                        {ALPHANUM-100}

                        STSAT5

                        Prospectus Identifier

                        {ALPHANUM-100}

                        STSAT6

                        Securitisation repository

                        {ALPHANUM-1000}

                        STSAT7

                        Securitisation Name

                        {ALPHANUM-100}

                        STSAT8

                        Place of establishment

                        {ALPHANUM-1000}

                        STSAT9

                        Securitisation Type

                        {LIST}

                        STSAT10

                        Underlying Exposures Type

                        {LIST}

                        STSAT11

                        Issue date

                        {DATEFORMAT}

                        STSAT12

                        Notification Date

                        {DATEFORMAT}

                        STSAT13

                        Authorised third party

                        {ALPHANUM-100}

                        STSAT14

                        Authorised third party (name and country of establishment)

                        {ALPHANUM-1000}
                        {COUNTRYCODE_2}

                        STSAT15

                        Competent authority which has authorised the third party

                        {ALPHANUM-100}

                        STSAT16

                        STS status

                        {ALPHANUM-1000}

                        STSAT17

                        Originator (or original lender) not a EU credit institution

                        {Y/N}

                        STSAT18

                        Confirmation of credit-granting criteria

                        {ALPHANUM-1000}

                        STSAT19

                        Declaration that credit-granting criteria are subject to supervision

                        {ALPHANUM-1000}

                        STSAT20

                        Underlying exposures acquired by true sale

                        {ALPHANUM-10000}

                        STSAT21

                        No severe clawback

                        {ALPHANUM-10000}

                        STSAT22

                        Exemption for clawback provisions in national insolvency laws

                        {ALPHANUM-1000}

                        STSAT23

                        Transfer where the seller is not the original lender

                        {ALPHANUM-1000}

                        STSAT24

                        Transfer performed by means of an assignment and perfected at a later stage

                        {ALPHANUM-10000}

                        STSAT25

                        Representations and warranties

                        {ALPHANUM-10000}

                        STSAT26

                        Criteria for active Portfolio Management

                        {ALPHANUM-10000}

                        STSAT27

                        No re-securitisation

                        {ALPHANUM-1000}

                        STSAT28

                        Transferred underlying exposures without defaulted exposures

                        {ALPHANUM}

                        STSAT29

                        At least one payment made at the time of transfer

                        {ALPHANUM-1000}

                        STSAT30

                        Repayment of the holders/sale of assets.

                        {ALPHANUM}

                        STSAT31

                        Mitigation of Interest rates (IR) and currency risks (FX) Risks

                        {ALPHANUM-10000}

                        STSAT32

                        Derivatives Purchased/Sold by SSPE

                        {ALPHANUM-10000}

                        STSAT33

                        Derivatives in Underlying Exposures

                        {ALPHANUM-10000}

                        STSAT34

                        Derivatives using common standards

                        {ALPHANUM-10000}

                        STSAT35

                        Clear and consistent definitions relating to the treatment of problem loans

                        {ALPHANUM-1000}

                        STSAT36

                        Priority of Payments and triggers events

                        {ALPHANUM-1000}

                        STSAT37

                        Historical Default and Loss Performance Data

                        {ALPHANUM-1000}

                        STSAT38

                        Homogeneity of assets

                        {ALPHANUM}

                        STSAT39

                        Underlying Exposure Obligations

                        {ALPHANUM-1000}

                        STSAT40

                        Underlying Exposure Obligations

                        {ALPHANUM-1000}

                        STSAT41

                        Referenced interest payments based on generally used interest rates

                        {ALPHANUM-10000}

                        STSAT42

                        No trapping of cash flow following enforcement or acceleration notice

                        {ALPHANUM-10000}

                        STSAT43

                        No trapping of cash/enforcement or acceleration

                        {ALPHANUM-1000}

                        STSAT44

                        Principal receipts shall be passed to investors

                        {ALPHANUM-1000}

                        STSAT45

                        No provisions shall require automatic liquidation of the underlying exposures at market value

                        {ALPHANUM-1000}

                        STSAT46

                        Soundness of the underwriting standards

                        {ALPHANUM}

                        STSAT47

                        Seller Expertise

                        {ALPHANUM}

                        STSAT48

                        Revolving ABCP transaction/credit quality trigger.

                        {ALPHANUM}

                        STSAT49

                        Securitisation Participant Duties

                        {ALPHANUM-1000}

                        STSAT50

                        Servicing Continuity Provisions

                        {ALPHANUM-1000}

                        STSAT51

                        Derivative counterparty and account bank continuity provisions

                        {ALPHANUM-1000}

                        STSAT52

                        Sponsor Robustness

                        {ALPHANUM-1000}

            ANNEX III

               Field formats to be applied to the STS notification form

                        SYMBOL

                        DATA TYPE

                        DEFINITION

                        {ALPHANUM-n}

                        Up to n alphanumeric characters

                        Free text field. Should be entered in ASCII format (no accented characters).

                        {COUNTRYCODE_2}

                        2 alphanumeric characters

                        2 letter country code, as defined by ISO 3166-1 alpha-2 country code. Should be entered in ASCII format (no accented characters).

                        {CURRENCYCODE_3}

                        3 alphanumeric characters

                        3 letter currency code, as defined by ISO 4217 currency codes. Should be entered in ASCII format (no accented characters).

                        {DATEFORMAT}

                        ISO 8601 date format

                        Dates shall be formatted by the following format: YYYY-MM-DD

                        {Y/N}

                        1 alphanumeric character

                        ‘true’- Y
                        ’false’ – N

                        {ISIN}

                        12 alphanumeric characters

                        ISIN code, as defined in ISO 6166

                        {LEI}

                        20 alphanumeric characters

                        Legal entity identifier, as defined in ISO 17442

               STS notification form for ABCP Programme

                        FIELD CODE

                        FIELD NAME

                        BOX TO COMPLETE

                        FIELD FORMAT

                        STSAP0

                        First contact point

                        {ALPHANUM-1000}

                        STSAP1

                        Instrument identification code

                        {ISIN}

                        STSAP2

                        LEI of the sponsor

                        {LEI}

                        STSAP3

                        Notification identifier

                        {ALPHANUM-100}

                        STSAP4

                        Unique Identifier

                        {ALPHANUM-100}

                        STSAP5

                        Prospectus Identifier

                        {ALPHANUM-100}

                        STSAP6

                        Securitisation repository

                        {ALPHANUM-1000}

                        STSAP7

                        ABCP programme name

                        {ALPHANUM-100}

                        STSAP8

                        Country of establishment

                        {ALPHANUM-1000}

                        STSAP9

                        Instrument classification

                        {LIST}

                        STSAP10

                        Issue date

                        {DATEFORMAT}

                        STSAP11

                        Notification date

                        {DATEFORMAT}

                        STSAP12

                        Authorised third party

                        {ALPHANUM-100}

                        STSAP13

                        Authorised third party (name and country of establishment)

                        {ALPHANUM-1000}
                        {COUNTRYCODE_2}

                        STSAP14

                        Competent authority which has authorised the third party

                        {ALPHANUM-100}

                        STSAP15

                        STS status

                        {ALPHANUM-1000}

                        STSAP16

                        Sponsor to be supervised credit institution

                        {ALPHANUM-1000}

                        STSAP17

                        Sponsor Support as liquidity provider

                        {ALPHANUM-1000}

                        STSAP18

                        Demonstration to credit institution’s competent authority

                        {ALPHANUM-1000}

                        STSAP19

                        Compliance with sponsor’s due diligence requirements

                        {ALPHANUM-1000}

                        STSAP20

                        Compliance with the risk retention requirements (transaction level/programme level)

                        {LIST}

                        STSAP21

                        Compliance at ABCP programme level with Article 7 of Regulation (EU) 2017/2402

                        {ALPHANUM-1000}

                        STSAP22

                        Drawn down of liquidity where liquidity facility are not renewed

                        {ALPHANUM-10000}

                        STSAP23

                        Compliance of ABCP transactions within an ABCP programme with Article 24(1) to (8) and (12) to (20) of Regulation (EU) 2017/2402

                        {ALPHANUM-1000}

                        STSAP24

                        Maximum of 5 % of the aggregate amount of the underlying exposures being temporally non-compliant

                        {ALPHANUM}

                        STSAP25

                        Remaining weighted of the average life (WAL) not more than two years

                        {ALPHANUM-1000}

                        STSAP26

                        Fully supported ABCP Programme (Sponsor Support)

                        {ALPHANUM-10000}

                        STSAP27

                        No re-securitisation and no credit enhancement establishing a second layer of tranching at the ABCP programme level

                        {ALPHANUM-1000}

                        STSAP28

                        No call options

                        {ALPHANUM-1000}

                        STSAP29

                        Interest rate and currency risks at ABCP programme appropriately mitigated and documented

                        {ALPHANUM}

                        STSAP30

                        Requirements for ABCP programme documentation (responsibilities of the trustee to investors)

                        {ALPHANUM-1000}

                        STSAP31

                        Requirements for the ABCP programme documentation (contractual obligations of the sponsor)

                        {ALPHANUM-1000}

                        STSAP32

                        Requirements for the ABCP programme documentation (process & responsibilities in case of defaulted servicer)

                        {ALPHANUM-1000}

                        STSAP33

                        Requirements for the ABCP programme documentation (provisions for replacement of derivatives counterparties and the account bank)

                        {ALPHANUM-1000}

                        STSAP34

                        Requirements for the ABCP programme documentation (procedures to ensure collateralisation of the funding commitment)

                        {ALPHANUM-1000}

                        STSAP35

                        Requirements for the ABCP programme documentation (liquidity facility & maturing securities to be repaid where the sponsor does not renew the funding commitment of the liquidity facility before its expiry)

                        {ALPHANUM-1000}

                        STSAP36

                        Servicer Expertise

                        {ALPHANUM}


title: Commission Implementing Regulation (EU) 2020/1228 of 29 November 2019 laying down implementing technical standards with regard to the format of applications for registration as a securitisation repository or for extension of a registration of a trade repository pursuant to Regulation (EU) 2017/2402 of the European Parliament and of the Council (Text with EEA relevance)

text:
                  3.9.2020

                  EN

                  Official Journal of the European Union

                  L 289/330

         COMMISSION IMPLEMENTING REGULATION (EU) 2020/1228
         of 29 November 2019
         laying down implementing technical standards with regard to the format of applications for registration as a securitisation repository or for extension of a registration of a trade repository pursuant to Regulation (EU) 2017/2402 of the European Parliament and of the Council
         (Text with EEA relevance)
         THE EUROPEAN COMMISSION,
         Having regard to the Treaty on the Functioning of the European Union,
         Having regard to Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation (1), and in particular Article 10(8) thereof,
         Whereas:

                     (1)

                     A uniform format for applications to the European Securities and Markets Authority (ESMA) for registration as a securitisation repository or for extension of a registration of a trade repository should ensure that all information required pursuant to Commission Delegated Regulation (EU) 2020/1230 (2) is submitted to, and easily identified by, ESMA.

                     (2)

                     It is important that the information in those applications be submitted in a format that enables storage for future use and reproduction. Therefore, these applications should be submitted in a durable medium.

                     (3)

                     In order to facilitate the identification of the information submitted within those applications, a unique reference number and a title for each of their documents should be provided. For the same reason, the applicant should be required to identify any information submitted by reference to the provision of Delegated Regulation (EU) 2020/1230 which that information relates to.

                     (4)

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

                     (5)

                     In accordance with Article 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (3), ESMA has conducted an open public consultation on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of that Regulation,

               HAS ADOPTED THIS REGULATION:

            Article 1
            Format of the application for registration and extension of registration

               (1)   Applicants for registration as a securitisation repository under Article 10(5)(a) of Regulation (EU) 2017/2402 shall complete the formats set out in Annex 1 to this Regulation.

               (2)   Trade repositories applying for an extension of registration under Article 10(5)(b) of Regulation (EU) 2017/2402 shall complete the formats set out in Annex 2 to this Regulation.

               (3)   For the purposes of paragraphs 1 and 2, the applications shall be submitted:

                           (a)

                           in a durable medium as defined in Article 2(1)(m) of Directive 2009/65/EC of the European Parliament and of the Council (4);

                           (b)

                           with a unique reference number assigned to each document included in the application.

            Article 2
            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, 29 November 2019.

                  For the Commission

                  The President

               Jean-Claude JUNCKER

            (1)  OJ L 347, 28.12.2017, p. 35.

            (2)  Commission Delegated Regulation (EU) 2020/1230 of 29 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration of a securitisation repository and the details of the application for a simplified application for an extension of registration of a trade repository (see page 345 of this Official Journal).

            (3)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 176/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

            (4)  Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).

            ANNEX I

               Formats for an application for registration as a securitisation repository

               Table 1

               General information

                        Date of application

                        Corporate name of securitisation repository

                        Place of incorporation and scope of business activity

                        Legal entity identifier (LEI) registered with the Global Legal Entity Identifier Foundation

                        Legal address of the securitisation repository

                        Legal address of any subsidiaries of the securitisation repository

                        Legal address of any branches of the securitisation repository

                        Uniform resource locator (URL) of the securitisation repository’s website

                        The securitisation types, risk transfer methods and underlying exposure types for which the applicant repository is applying to be registered

                        If the applicant is authorised or registered by a competent authority in the Member State where it is established, the name of the authority and any reference number related to the authorisation or registration

                        Name of the person(s) responsible for the application

                        Contact details of the person(s) responsible for the application

                        Name of person(s) responsible for the securitisation repository compliance (or any other staff involved in compliance assessments for the securitisation repository)

                        Contact details of the person(s) responsible for the securitisation repository compliance, or any other staff involved in compliance assessments for the securitisation repository, in relation to its provision of core securitisation services

                        Name of any parent undertaking

                        LEI registered with the Global Legal Entity Identifier Foundation of any parent undertaking

                        Legal address of any parent undertaking

                        Name of the responsible supervisory authority for any parent undertaking

                        Reference number of the responsible supervisory authority for any parent undertaking

                        Name of any ultimate parent undertaking

                        LEI registered with the Global Legal Entity Identifier Foundation of any ultimate parent undertaking

                        Legal address of any ultimate parent undertaking

                        Name of the responsible supervisory authority for any ultimate parent undertaking

                        Reference number of the responsible supervisory authority for any ultimate parent undertaking

               Table 2

               Document references
                (1)

                        Provision of Commission Delegated Regulation (EU) 2020/1230 containing the information requirement to which the document relates

                        Unique reference number of document

                        Title of the document

                        Chapter or section or page of the document where the information is provided or reason why the information is not provided

               (1)  For all information required in Commission Delegated Regulation (EU) 2020/1230 with the exception of points (a) to (c), (e), (f), (h) and (i) of Article 2(2) and Article 7(2) thereof.

            ANNEX II

               Formats for an application of a trade repository for extension of registration

               Table 1

               General information

                        Date of application

                        Date of registration of the applicant as a trade repository

                        Corporate name of securitisation repository

                        Legal entity identifier (LEI) registered with the Global Legal Entity Identifier Foundation

                        Legal address of the securitisation repository

                        Legal address of any subsidiaries of the securitisation repository

                        Legal address of any branches of the securitisation repository

                        Uniform resource locator (URL) of the securitisation repository’s website

                        Legal Entity Identifier (LEI) registered with the Global Legal Entity Identifier Foundation

                        The securitisation types, risk transfer methods and underlying exposure types for which the applicant repository is applying to be registered

                        If the applicant is authorised or registered by a competent authority in the Member State where it is established, the name of the authority and any reference number related to the authorisation or registration

                        Name of the person(s) responsible for the application

                        Contact details of the person(s) responsible for the application

                        Name of person(s) responsible for the securitisation repository compliance, or any other staff involved in compliance assessments for the securitisation repository, in relation to its provision of core securitisation services

                        Contact details of the person(s) responsible for the securitisation repository compliance (or any other staff involved in compliance assessments for the securitisation repository)

               Table 2

               Document references
                (1)

                        Provision of Commission Delegated Regulation (EU) 2020/1230 containing the information requirement to which the document relates

                        Unique reference number of document

                        Title of the document

                        Chapter or section or page of the document where the information is provided or reason why the information is not provided

               (1)  For all information required in Commission Delegated Regulation (EU) 2020/1230 with the exception of points (a) to (c), (e), (f), (h) and (i) of Article 2(2) and Article 7(2) thereof.