Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emission allowances trading within the Community Text with EEA relevance

The auction platforms concerned shall publish the auction calendar for the allowances covered by Chapter II of Directive 2003/87/EC, by 31 October of the previous year or as soon as practicable thereafter, and for those covered by Chapter III of that Directive, by 15 July of the previous year or as soon as practicable thereafter, provided that the Commission has instructed the central administrator of the EUTL to enter the respective auction table into the EUTL in accordance with the delegated acts adopted pursuant to Article 19(3) of Directive 2003/87/EC. The auction platforms concerned shall make their determination and publication of the auction calendars only after the determination and publication pursuant to Articles 11 and 13(2) of this Regulation by the auction platforms appointed pursuant to Article 26(1) of this Regulation, unless such an auction platform has not yet been appointed. Without prejudice to the deadline for publication of the auction calendar for allowances covered by Chapter III of Directive 2003/87/EC, the auction platforms concerned may simultaneously determine the auction calendars for allowances covered by Chapter II and Chapter III of Directive 2003/87/EC.

Published calendars shall be consistent with any relevant conditions or obligations listed in Annex III.

CHAPTER IX APPOINTMENT REQUIREMENTS APPLICABLE TO THE AUCTIONEER AND ANY AUCTION PLATFORM

Article 34

Appointment requirements applicable to the auctioneer

• (a) exhibit the least risk of conflict of interest or market abuse having regard to the following:
• (i) any activities on the secondary market;
• (ii) any internal processes and procedures to mitigate the risk of conflict of interest or market abuse;

• (b) are able to fulfil the auctioneer’s functions, in a timely manner, in accordance with the highest professional and quality standards.

Article 35

Appointment requirements applicable to any auction platform

Without prejudice to the first subparagraph, where it is foreseen in the procurement documents for the joint procurement procedure pursuant to Article 26(1), a regulated market whose operator organises a wholesale energy market as defined in Article 2(6) of Regulation (EU) No 1227/2011 of the European Parliament and of the Council ([^E0016]), but does not organise a secondary market in allowances or allowances derivatives, may participate in the procurement procedure pursuant to Article 26(1) of this Regulation. In that case, where such regulated market is appointed as auction platform pursuant to Article 26(1) and its operator does not organise a secondary market in allowances or allowances derivatives by the time of publication of the procurement procedure pursuant to Article 26(1), that operator shall acquire an authorisation and shall organise a secondary market in allowances or allowances derivatives at least 60 trading days prior to the opening of the first bidding window run by the auction platform concerned.

• (a) ensuring respect of the principle of non-discrimination both de facto and de jure;

• (b) full, fair and equitable access to bid in the auctions for SMEs covered by the Union scheme and access to bid in the auctions for small emitters, as defined in Articles 27(1), 27a(1) and 28a(6) of Directive 2003/87/EC;

• (c) ensuring cost-efficiency and avoiding undue administrative burden;

• (d) robust auction supervision, notification of suspicions of money laundering, terrorist financing, criminal activity or market abuse, administration of any required remedial measures or sanctions, including the provision of an extra-judicial dispute resolution mechanism;

• (e) avoiding distortions of competition in the internal market including the carbon market;

• (f) ensuring the proper functioning of the carbon market including the implementation of the auctions;

• (g) connecting to one or more clearing system or settlement system;

• (h) the provision of adequate measures requiring an auction platform to hand over all tangible and intangible assets necessary for the conduct of the auctions by an auction platform’s successor.

An auction platform shall only be appointed pursuant to Articles 26(1) and 30(1) of this Regulation after the Member State, where the candidate regulated market and its market operator are established, has ensured that the competent authorities of that Member State are able to authorise and supervise them in accordance with the national measures transposing Title VI of Directive 2014/65/EU to the extent relevant.

Where the candidate regulated market and its market operator are not established in the same Member State, the first and second subparagraphs shall apply to both the Member State where the candidate regulated market is established and the Member State where its market operator is established.

The Member State of each competent national authority referred in paragraph 5 of this Article shall ensure that the national measures transposing Articles 70, 71 and 74 of Directive 2014/65/EU apply in relation to the persons responsible for failure to comply with their obligations under Title III of Directive 2014/65/EU as transposed into the national legal order of the Member State of their establishment pursuant to paragraph 4 of this Article.

For the purposes of this paragraph, national measures transposing Articles 79 to 87 of Directive 2014/65/EU shall apply to cooperation between competent national authorities of different Member States and with European Securities and Markets Authority established pursuant to Regulation (EU) No 1095/2010 of the European Parliament and of the Council ([^E0017]).

CHAPTER X REPORTING ON TRANSACTIONS

Article 36

Obligation to report transactions

Where there are errors or omissions in the transaction reports, the auction platform reporting the transaction shall correct the information and submit a corrected report to the competent national authority.

The report shall be drawn up using data standards and formats established in the Commission Delegated Regulation (EU) 2017/590 and shall include all the relevant details referred to in Annex I of Commission Delegated Regulation (EU) 2017/590.

CHAPTER XI PAYMENT AND TRANSFER OF THE AUCTION PROCEEDS

Article 44

Payment by successful bidders and transfer of proceeds to the Member States

The exchange rate shall be the rate published on a recognised financial newswire service specified in the contract appointing the auction platform concerned, immediately following the close of the bidding window.

Article 45

Consequences of late or non-payment

• (a) interest for each day beginning with the date on which payment was due pursuant to Article 61(3)(d) and ending on the date on which payment is made at an interest rate set out in the contract appointing the auction platform concerned, calculated on a daily basis;

• (b) a penalty, which shall accrue to the auctioneer less any costs deducted by the clearing system or settlement system.

• (a) the central counterparty shall interpose to take delivery of the allowances and effect payment of the sum due to the auctioneer;

• (b) the settlement agent shall apply collateral taken from the bidder to effect payment of the sum due to the auctioneer.

CHAPTER XII DELIVERY OF THE AUCTIONED ALLOWANCES

Article 46

Transfer of the auctioned allowances

Allowances auctioned by any auction platform shall be transferred by the Union registry prior to the opening of a bidding window, into a nominated holding account, to be held in escrow by the clearing system or settlement system acting as custodian, until delivery of the allowances to successful bidders or their successors in title, pursuant to the results of the auction, as provided for in the applicable delegated acts adopted pursuant to Article 19(3) of Directive 2003/87/EC.

Article 47

Delivering the auctioned allowances

A bidder may be allocated allowances from more than one Member State auctioning in the same auction if necessary to make up the volume of allowances notified to the bidder pursuant to Article 61(3)(a).

Article 48

Late delivery of the auctioned allowances

CHAPTER XIII MANAGEMENT OF COLLATERAL

Article 49

Collateral given by the bidder

Article 50

Collateral given by the auctioneer

CHAPTER XIV FEES AND COSTS

Article 51

Structure and level of fees

Without prejudice to the first subparagraph, where it is foreseen in the procurement documents for the procurement procedures pursuant to Article 26(1) or Article 30(5), the operator of the auction platform may increase the fees paid by the successful bidders pursuant to Article 52(1) of this Regulation to a maximum of 120 % of the comparable standard fees paid by the successful buyers of allowances on the secondary market during the years when the auction volumes are reduced by more than 200 million allowances pursuant to Decision (EU) 2015/1814.

Article 52

Costs of the auction process

The costs referred to in the first subparagraph shall be deducted from the auction proceeds payable to the auctioneers, pursuant to Article 44(2) and (3).

The foregoing shall also apply to Member States that have not joined the joint action as provided in Article 26(1) within 6 months of the entry into force of the joint procurement agreement referred to in the first subparagraph of Article 26(6).

The first subparagraph shall not apply where a Member State joins the joint action as provided in Article 26(1) following the expiry of the appointment period referred to in the second subparagraph of Article 30(5), or where it uses the auction platform appointed pursuant to Article 26(1) to auction its share of allowances in the absence of a listing, pursuant to Article 30(7), of an auction platform that has been notified pursuant to Article 30(6).

The costs borne by bidders under paragraph 1 shall be reduced by the amount of the costs borne by a Member State under this paragraph.

CHAPTER XV AUCTION SURVEILLANCE, REMEDIAL MEASURES AND SANCTIONS

Article 53

Monitoring of auctions

• (a) fair and open access;

• (b) transparency;

• (c) price formation;

• (d) technical and operational aspects of the implementation of the contract appointing the auction platform concerned;

• (e) the relationship between the auction processes and the secondary market in respect of the information under points (a) to (d);

• (f) any evidence of anti-competitive behaviour, market abuse, money laundering, terrorist financing or criminal activity that the auction platform has been made aware while carrying out its functions pursuant to Article 27 or Article 31(1);

• (g) any breach of this Regulation or non-conformity with the objectives of Article 10(4) of Directive 2003/87/EC that the auction platform has been made aware while carrying out its functions pursuant to Article 27 or Article 31(1) of this Regulation;

• (h) follow-up to any information reported under points (a) to (g). In addition, by 31 January of each year, the auction platform shall also provide a summary and an analysis of these monthly reports of the previous year.

Article 54

Monitoring the relationship with bidders

• (a) scrutinising bids made throughout the course of that relationship to ensure that the bidding behaviour of bidders is consistent with the auction platform’s knowledge of the customer, its business and risk profile, including, where necessary, the source of funds;

• (b) maintaining effective arrangements and procedures for the regular monitoring of the compliance by persons admitted to bid pursuant to Article 19(1), (2) and (3) with its market conduct rules;

• (c) monitoring transactions undertaken by persons admitted to bid pursuant to Articles 19(1), (2) and (3) and by persons as defined in Article 3(26) using its systems in order to identify breaches of the rules referred to in point (b) of this subparagraph, unfair or disorderly auctioning conditions or conduct that may invoke market abuse.

Where scrutinising bids in accordance with point (a) of the first subparagraph, the auction platform concerned shall pay particular attention to any activity which it regards as particularly likely, by its nature, to be related to money laundering, terrorist financing or criminal activity.

• (a) request any information of the bidder, pursuant to Article 19(2) and (3) and Article 20(5) and (7), for the purposes of monitoring the relationship with that bidder following its admission to bid in the auctions, throughout the subsistence of that relationship and for a period of 5 years following its termination;

• (b) require any person admitted to bid to re-submit an application for admission to bid at regular intervals;

• (c) require any person admitted to bid to promptly notify the auction platform concerned of any changes to the information submitted to it pursuant to Article 19(2) and (3) and Article 20(5) and (7).

• (a) the application for admission to bid submitted by an applicant, pursuant to Article 19(2) and (3), including any amendments thereto;

• (b) the checks carried out in:
• (i) processing the application for admission to bid submitted, pursuant to Articles 19, 20 and 21;
• (ii) scrutinising and monitoring the relationship, pursuant to points (a) and (c) of paragraph 1, following an applicant’s admission to bid;

• (c) all information relating to a given bid submitted by a given bidder in an auction, including any withdrawal or modification of such bids, pursuant to the second subparagraph of Article 6(3) and Article 6(4);

• (d) all information relating to the conduct of each auction in which a bidder has submitted a bid.

Article 55

Notification of money laundering, terrorist financing or criminal activity

The competent national authorities referred to in the first subparagraph shall have the powers provided for in the national measures transposing Article 48(2) and (3) of Directive (EU) 2015/849.

An auction platform appointed pursuant to Article 26(1) or 30(1) may be held liable for infringements of Article 20(7) and (10), Article 21(1) and (2), and Article 54 of this Regulation and paragraphs 2 and 3 of this Article. The national measures transposing Articles 58 to 62 of Directive (EU) 2015/849 shall apply in this regard.

• (a) informing the FIU, including by filing a report, on their own initiative, where they know, suspect or have reasonable grounds to suspect that funds in relation to the auctions, regardless of the amount involved, are the proceeds of criminal activity or are related to terrorist financing, and by promptly responding to requests by the FIU for additional information in such cases;

• (b) providing the FIU directly, at its request, with all necessary information.

All suspicious transactions, including attempted transactions, shall be reported.

The national measures transposing the compliance management and communication policies and procedures, referred to in Article 33(2) of Directive (EU) 2015/849, shall designate the person or persons responsible for forwarding information pursuant to this Article.

Article 56

Notification of market abuse

Article 57

Maximum bid-size and other remedial measures

• (a) the same group of undertakings including any parent undertakings, its subsidiary undertakings and affiliate undertakings;

• (b) the same business grouping;

• (c) a separate economic unit having an independent power of decision where they are controlled, directly or indirectly, by public bodies or state-owned entities.

Article 58

Market conduct rules or any other contractual arrangements

Articles 53 to 57 shall be without prejudice to any other action that an auction platform appointed pursuant to Article 26(1) or 30(1) is entitled to take under its market conduct rules or any other contractual arrangements in place, directly or indirectly, with any bidders admitted to bid in the auctions, provided that such action does not conflict with or undermine the provisions of Articles 53 to 57.

Article 59

Conduct rules for other persons authorised to bid on behalf of others pursuant to Article 18(1)(b) and (c) and Article 18(2)

• (a) persons authorised to bid pursuant to Article 18(2).

• (a) they shall accept instructions from their clients on comparable terms;

• (b) they shall refuse to bid on behalf of a client if they have reasonable grounds to suspect money laundering, terrorist financing, criminal activity or market abuse, subject to national legislation transposing Articles 35 and 39 of Directive (EU) 2015/849;

• (c) they may refuse to bid on behalf of a client if they have reasonable grounds to suspect that the client is unable to pay for the allowances for which it is seeking to bid;

• (d) they shall enter into a written agreement with their clients. Agreements entered into shall not impose any unfair conditions or restrictions on the client concerned. They shall provide for all the terms and conditions relating to the services offered including in particular payment and delivery of the allowances;

• (e) they may require their clients to make a deposit by way of advance payment for allowances;

• (f) they may not unduly limit the number of bids that a client might submit;

• (g) they may not prevent or restrict their clients from engaging the services of other entities eligible pursuant to Article 18(1)(b) to (e) and Article 18(2) to bid on their behalf in the auctions;

• (h) they shall pay due regard to the interests of their clients who request them to submit bids on their behalf in the auctions;

• (i) they shall treat clients fairly and without discrimination;

• (j) they shall maintain adequate internal systems and procedures to process requests from clients to act as agent in an auction and to be able to participate effectively in an auction in particular with regard to the submission of bids on behalf of their clients, collect payment and collateral from and transfer allowances to clients for whom they act;

• (k) they shall prevent the disclosure of confidential information from that part of their business responsible for receiving, preparing and submitting bids on behalf of their clients to that part of their business responsible for preparing and submitting bids on their own account or to that part of their business responsible for dealing on their own account on the secondary market;

• (l) they shall keep records of information obtained or created in their role as intermediaries handling bids on behalf of their clients in the auctions, for five years from the date of obtaining or creating the information concerned.

The amount of the deposit referred to in point (e) shall be calculated on a just and reasonable basis.

The method of calculating the deposit referred to in point (e) shall be set out in the agreements entered into pursuant to point (d).

Any part of the deposit referred to in point (e) not used to satisfy payment for allowances shall be refunded to the payee within a reasonable period after the auction as stated in the agreements entered into pursuant to point (d).

• (a) they shall provide any information requested by any auction platform where they are admitted to bid to fulfil its functions under this Regulation;

• (b) they shall act with integrity, reasonable skill, care and diligence.

• (a) they are of sufficiently good repute and sufficiently experienced as to ensure proper respect of the conduct rules provided for in paragraphs 2 and 3;

• (b) they have put in place the necessary processes and checks to manage conflicts of interest and serve the best interests of their clients;

• (c) they comply with the requirements of national legislation transposing Directive (EU) 2015/849;

• (d) they comply with any other measures deemed necessary having regard to the nature of the bidding services being offered and the level of sophistication of the clients in question in terms of their investor or trading profile as well as any risk-based assessment of the likelihood of money laundering, terrorist financing or criminal activity.

• (a) its competent national authorities have at their disposal the necessary investigative powers and sanctions that are effective, proportionate and dissuasive;

• (b) a mechanism is established for the handling of complaints and the withdrawal of authorisations where the authorised persons are in breach of their obligations pursuant to such authorisation;

• (c) its competent national authorities may withdraw the authorisation granted under paragraph 5 where a person referred to in paragraph 1 has seriously and systematically infringed the provisions of paragraphs 2 and 3.

CHAPTER XVI TRANSPARENCY AND CONFIDENTIALITY

Article 60

Publication

Information which is no longer relevant shall be archived. Such archives shall be accessible through the same auctioning web-site.

Article 61

Announcement and notification of the auction results

• (a) the volume of the allowances auctioned;

• (b) the auction clearing price in euros;

• (c) the total volume of bids submitted;

• (d) the total number of bidders and the number of successful bidders;

• (e) in case of cancellation of an auction, the auctions to which the volume of allowances will be carried over;

• (f) the total revenue earned from the auction;

• (g) the distribution of the revenue between the Member States, in the case of auction platforms appointed pursuant to Article 26(1).

• (a) the total number of allowances to be allocated to that bidder;

• (b) which of its tied bids, if any, were randomly selected;

• (c) the payment due either in euros or in the currency of a Member State not member of the euro-zone, chosen by the bidder provided that the clearing system or settlement system is capable of handling the national currency in question;

• (d) the date by which the payment due must be paid in cleared funds into the auctioneer's nominated bank account.

The exchange rate shall be the rate published on a recognised financial newswire service specified in the contract appointing the auction platform concerned, immediately following the close of the bidding window.

Article 62

Protection of confidential information

• (a) the contents of a bid;

• (b) the contents of any instructions to bid even when no bid is submitted;

• (c) information which discloses, or from which can be deduced, the identity of the bidder in question and either of the following:
• (i) the number of allowances which a bidder wishes to acquire in an auction;
• (ii) the price which a bidder is willing to pay for those allowances;

• (d) information about, or derived from, one or more bids or instructions to bid which either separately or collectively would be likely to:
• (i) give an indication as to the demand for allowances prior to any auction;
• (ii) give an indication as to the auction clearing price prior to any auction;

• (e) information provided by persons in the framework of the establishment or maintenance of the relationship with bidders or in the framework of the monitoring of that relationship pursuant to Articles 19, 20, 21 and 54;

• (g) business secrets provided by persons participating in a competitive procurement process to appoint an auction platform;

• (h) information on the algorithm used for the random selection of tied bids, referred to in Article 7(2);

• (i) information on the methodology to define what constitutes an auction clearing price significantly under the prevailing secondary market price before and during an auction, referred to in Article 7(6).

• (a) has already lawfully been made available to the public;

• (b) is made public with the written consent of a bidder, person admitted to bid, or person applying for admission to bid;

• (c) is required to be disclosed or to be publicly available by an obligation under Union law;

• (d) is made public pursuant to a court order;

• (e) is disclosed or made public for the purposes of any criminal, administrative, or judicial investigations or proceedings carried out in the Union;

• (g) is aggregated or redacted prior to its disclosure, so that it is unlikely that information relating to the following is discernable:
• (i) individual bids or instructions to bid;
• (ii) individual auctions;
• (iii) individual bidders, prospective bidders or persons applying for admission to bid;
• (iv) individual applications for admission to bid;
• (v) individual relationships with bidders;

• (i) is referred to in paragraph 1(g) provided that it is disclosed to persons working for Member States or the Commission involved in the competitive procurement process referred to in paragraph 1(g), who are themselves bound by an obligation of professional secrecy under their terms of employment;

• (j) is made public after the end of a period of 30 months starting from either of the following dates, subject to any subsisting professional secrecy obligations under Union law:
• (i) the date of the opening of the bidding window of the auction in which the confidential information is first disclosed with respect to confidential information in paragraph 1(a) to (d);
• (ii) the date of the termination of the relationship with a bidder with respect to confidential information in paragraph 1(e); —————
• (iv) the date of submission of the information in the competitive procurement process with respect to confidential information in paragraph 1(g).

• (a) the competent national authorities supervising an auction platform;

• (b) the competent national authorities responsible for investigating and prosecuting money laundering, terrorist financing, criminal activity or market abuse;

• (c) the Commission.

Confidential information exchanged under this paragraph shall not be disclosed to other persons than those referred to in points (a), (b) and (c) contrary to paragraph 2.

Article 63

Language regime

Where a Member State provides, at its own cost, for the translation of all information covered by paragraph 1 provided by the auction platform appointed pursuant to Article 26(1), any Member State having appointed an auction platform pursuant to Article 30(1) shall also provide, at its own cost, for the translation into the same language(s) of all information covered by paragraph 1 provided by the auction platform it has appointed pursuant to Article 30(1).

• (a) their applications for admission to bid, including any supporting documents;

• (b) their bids, including any withdrawal or modifications thereof;

• (c) any queries relating to points (a) or (b).

An auction platform may request a certified translation into a language customary in the sphere of international finance.

All other oral or written communication by any auction platform to applicants for admission to bid, persons admitted to bid or bidders participating in an auction, shall be made in the language chosen under the first subparagraph at no additional cost to the applicants, persons and bidders in question, provided that a Member State has decided to provide a translation in that language under paragraph 2.

However, even where a Member State pursuant to paragraph 2 has decided to provide a translation in the language chosen under the first subparagraph of this paragraph, the applicant for admission to bid, the person admitted to bid or the bidder participating in an auction, may waive its right under the second subparagraph of this paragraph by giving prior written consent for the auction platform concerned to use only a language customary in the sphere of international finance.

Persons submitting a translation of a document referred to in paragraph 3 and any auction platform notifying a translated document under paragraph 4 shall be responsible for ensuring that it is an accurate translation of the original.

CHAPTER XVII FINAL PROVISIONS

Article 64

Right of appeal

Article 65

Correction of errors

Article 66

Entry into force

This Regulation shall enter into force on the day following 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.

ANNEX I

Template for the notification of voluntary cancellation by a Member State under Article 12(4) of Directive 2003/87/EC

	Notification pursuant to Article 12(4) of Directive 2003/87/EC	Notification pursuant to Article 12(4) of Directive 2003/87/EC
1.	Member State and public authority submitting the notification:
2.	Date of the notification:
3.	Identification of the closed electricity generation installation (‘installation’) on the territory of the Member State in accordance with the data recorded in EUTL, established by the delegated act adopted pursuant to Article 19(3) of Directive 2003/87/EC, including:
a)	The name of the installation:
b)	The installation identifier from the EUTL:
c)	The name of the installation operator:
4.	The date of closure of the installation and revocation of the greenhouse gas permit:
5.	Description and reference of the additional national measures that triggered the closure of the installation:
6.	The verified emission reports of the installation for the five years preceding the year of the closure:
7.	The total volume of allowances to be cancelled:
8.	The years over which the allowances are to be cancelled:
9.	The exact volume of allowances to be cancelled in each of the years referred to in point 8:

ANNEX II

List of the elements referred to in Article 20(3)

• 1. Proof of eligibility pursuant to Article 18(1) or (2).

• 1. The applicant’s name, address, telephone and facsimile numbers.

• 1. The account identifier of the applicant’s nominated holding account.

• 1. Full details of the applicant’s nominated bank account.

• 1. The name, address, telephone and facsimile numbers, as well as the electronic mail address of one or more representatives of the bidder as defined in the third subparagraph of Article 6(3).

• 1. For legal persons, proof of:

• (a) their incorporation stating: the legal form of the applicant; the law by which it is governed; whether or not the applicant is a publicly listed company of one or more recognised stock exchange(s);

• (b) if applicable, the registration number of the applicant in the relevant register where the applicant is registered, failing which the applicant shall provide the memorandum, statutes or other document attesting to its incorporation.

• 1. For legal persons and/or legal arrangements, such information as is required to identify the beneficial owner and understand the ownership and control structure of such legal person or arrangement.

• 1. For natural persons, proof of their identity, by means of an identity card, driving licence, passport or similar government issued document containing the full name, photograph, date of birth and permanent residential address in the Union of the applicant concerned, which may be supported by other appropriate corroborating documents wherever necessary.

• 1. For operators, the permit referred to in Article 4 of Directive 2003/87/EC.

• 1. For aircraft operators, proof of their being listed pursuant to Article 18a(3) of Directive 2003/87/EC or the monitoring plan submitted and approved pursuant to Article 3g of that Directive.

• 1. Such information as is required to carry out the customer due diligence measures referred to in Article 19(2)(e).

• 1. The applicant’s latest audited annual report and accounts including the profit and loss account and balance sheet, if any; if none, a VAT return, or such further information as required to be satisfied as to the applicant’s solvency and creditworthiness.

• 1. The VAT registration number, if any, and, where the applicant is not registered for VAT, any other means of identifying the applicant by the tax authorities of the Member State of establishment or where it is tax resident, or such further information as required to be satisfied as to the applicant’s fiscal status within the Union.

• 1. A statement that, to the best of the applicant’s knowledge, the applicant satisfies the requirements of Article 19(2)(f).

• 1. Proof of compliance with the requirements of Article 19(2)(g).

• 1. Proof that the applicant satisfies the requirements of Article 19(3).

• 1. A statement that the applicant has the necessary legal capacity and authority to bid on its own account or on behalf of others in an auction.

• 1. A statement that to the best of the applicant’s knowledge there is no legal, regulatory, contractual or any other impediment preventing it from performing its obligations under this Regulation.

• 1. A statement of whether the applicant proposes to pay in euros or in a currency of a Member State that is not part of the euro-zone, with an indication of the currency chosen.

ANNEX III

Auction platforms other than those appointed pursuant to Article 26(1), their appointing Member States and any applicable conditions or obligations referred to in Article 30(7)

—————
Auction platforms appointed by the United Kingdom	Auction platforms appointed by the United Kingdom	Auction platforms appointed by the United Kingdom
4	Auction platform	ICE Futures Europe (ICE)
	Legal Basis	Article 30(1)
	Term of appointment	From 10 November 2017 at the earliest until 9 November 2022 at the latest without prejudice to the second subparagraph of Article 30(5).
	Definitions	For the purposes of the condition and obligations applying to ICE the following definitions shall apply: (a)‘ICE exchange rules’ — means ICE Regulations, including in particular contract rules and procedures relating to the ICE FUTURES EUA AUCTION CONTRACT and the ICE FUTURES EUAA AUCTION CONTRACT; (b)‘exchange member’ — means a member as defined in Section A.1 of ICE exchange rules; (c)‘client’ — means a client of an exchange member, as well as clients of their clients down the chain, who facilitate the admission of persons to bid and act on behalf of bidders.
	Conditions	Admission to the auctions shall not be dependent on becoming an exchange member of or a participant in the secondary market organised by ICE or of any other trading place operated by ICE or by any third party.
	Obligations	1. ICE shall require that any decisions that have been taken by ICE's exchange members or their clients with respect to granting admission to bid in the auctions, revoking or suspending such admission, regardless of whether the decision is taken with regard to an admission to bid in the auction only or to an admission to bid in the auctions and also become a member of or participant in the secondary market, be communicated to ICE by the exchange members or their clients taking such decisions in the following way: (a)  in case of decisions refusing to grant admission to bid and decisions revoking or suspending access to auctions, on an individual basis without delay; (b)  in case of other decisions, upon request. ICE shall ensure that any such decisions may be subject to examination by ICE with regard to their compliance with the obligations incumbent upon the auction platform under Regulation (EU) No 1031/2010, and that ICE's exchange members or their clients abide by the results of any such examination by ICE. This may include, but not be limited to, recourse to any applicable ICE exchange rules, including disciplinary procedures, or any other action as appropriate to facilitate admission to bid in the auctions. 2.  ICE shall draw up and maintain on its webpage a comprehensive and up-to-date list of exchange members or their clients that are eligible to facilitate admission to bid in the United Kingdom's auctions on ICE, and such list shall include auction only access providers as set out in the ICE exchange rules, and exchange members or their clients providing admission to bid in the auctions to persons who may also be members of or participants in the secondary market. In addition, ICE shall draw up and maintain on its webpage a readily comprehensible practical guidance informing SMEs and small emitters of the steps they need to take to access the auctions through such exchange members or their clients. 3.  All fees and conditions applied by ICE and its clearing system to persons admitted to bid or bidders shall be clearly stated, easily understandable and publicly available on ICE's webpage, which shall be kept up-to-date. ICE shall provide that where additional fees and conditions are applied by an exchange member or its client, for admission to bid, such fees and conditions shall also be clearly stated, easily understandable and publicly available on the webpages of those offering the services with direct references to those webpages available on ICE's webpage, distinguishing between fees and conditions which are being applied to persons admitted to bid only in the auctions, if these are available, from fees and conditions applied to persons admitted to bid in the auctions who are also a member of or participant in the secondary market. 4.  Without prejudice to other legal remedies, ICE shall provide for the availability of the ICE Complaints Resolution Procedures for complaints which may arise in connection with decisions on granting admission to bid in the auctions, refusing to grant admission to bid in the auctions, revoking or suspending admissions to bid in the auctions already granted as more specifically referred to in point 1, taken by ICE's exchange members or their clients, and all such complaints shall be eligible complaints for the purposes of ICE Complaints Resolution Procedures.   6.  ICE shall ensure full compliance with the condition and obligations for its listing which are set out in this Annex. 7.  The United Kingdom shall notify the Commission of any substantive changes in the contractual arrangements with ICE notified to the Commission.
Auction platforms appointed by Germany	Auction platforms appointed by Germany	Auction platforms appointed by Germany
5	Auction platform	European Energy Exchange AG (EEX)
	Legal Basis	Article 30(1)
	Term of appointment	From 5 January 2019 at the earliest for a maximum period of five years until 4 January 2024, without prejudice to the second subparagraph of Article 30(5).
	Conditions	Admission to the auctions shall not be dependent on becoming a member of or a participant in the secondary market organised by EEX or of any other trading place operated by EEX or by any third party.
	Obligations	1. Within two months from 5 January 2019, EEX shall submit its exit strategy to Germany. The exit strategy shall be without prejudice to the obligations of EEX laid down in the contract with the Commission and the Member States concluded pursuant to Article 26 and the rights of the Commission and those Member States under that contract. 2. Germany shall notify the Commission of any substantive changes in the relevant contractual relations with EEX notified to the Commission on 12 April 2018.

[^E0002]: Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).

[^E0003]: Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1).

[^E0004]: Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of undertakings, amending Directive 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and 83/349/EEC (OJ L 182, 29.6.2013, p. 19).

[^E0005]: OJ L 24, 29.1.2004, p. 1.

[^E0006]: OJ C 95, 16.4.2008, p. 1.

[^E0007]: Directive (EU) 2015/849 of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing, amending Regulation (EU) No 648/2012 of the European Parliament and of the Council, and repealing Directive 2005/60/EC of the European Parliament and of the Council and Commission Directive 2006/70/EC (OJ L 141, 5.6.2015, p. 73).

[^E0008]: Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC (OJ L 173, 12.6.2014, p. 1).

[^E0009]: OJ L 166, 11.6.1998, p. 45.

[^E0010]: OJ L 124, 20.5.2003, p. 36.

[^E0011]: Decision (EU) 2015/1814 of the European Parliament and of the Council of 6 October 2015 concerning the establishment and operation of a market stability reserve for the Union greenhouse gas emission trading scheme and amending Directive 2003/87/EC (OJ L 264, 9.10.2015, p. 1).

[^E0012]: Regulation (EU) 2018/842 of the European Parliament and of the Council of 30 May 2018 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement and amending Regulation (EU) No 525/2013 (OJ L 156, 19.6.2018, p. 26).

[^E0013]: Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).

[^E0014]: Commission Delegated Regulation (EU) 2019/856 of 26 February 2019 supplementing Directive 2003/87/EC of the European Parliament and of the Council with regard to the operation of the Innovation Fund (OJ L 140, 28.5.2019, p. 6).

[^E0015]: Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).

[^E0016]: Regulation (EU) No 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency (OJ L 326, 8.12.2011, p. 1).

[^E0017]: Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).