LegalizeCommission Implementing Regulation (EU) No 650/2014 of 4 June 2014 laying down implementing technical standards with regard to the format, structure, contents list and annual publication date of the information to be disclosed by competent authorities in accordance with Directive 2013/36/EU of the European Parliament and of the Council Text with EEA relevance
| Credit risk data | Credit risk data | Credit risk data | Reference to COREP template | data | |||
|---|---|---|---|---|---|---|---|
| Credit institutions and investment firms [^E0026] : Own funds requirements for credit risk | Credit institutions and investment firms [^E0026] : Own funds requirements for credit risk | Credit institutions and investment firms [^E0026] : Own funds requirements for credit risk | |||||
| 010 | Own funds requirements for credit risk | % of total own funds requirements [^E0027] | % of total own funds requirements [^E0027] | CA2 (row 0040) / (row 0010) | [Value] | ||
| 020 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0026] [^E0028] | Standardised Approach (SA) | [Value] | |||
| 030 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0026] [^E0028] | IRB approach when neither own estimates of Loss Given Default nor conversion factors are used | [Value] | |||
| 040 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0026] [^E0028] | IRB approach when own estimates of Loss Given Default and/or conversion factors are used | [Value] | |||
| 050 | Breakdown by approach | % based on total own funds requirements for credit risk | SA | CA2 (row 0050) / (row 0040) | [Value] | ||
| 060 | Breakdown by approach | % based on total own funds requirements for credit risk | IRB approach when neither own estimates of Loss Given Default nor conversion factors are used | CR IRB, Foundation IRB (row 0010, col 0260) / CA2 (row 0040) | [Value] | ||
| 070 | Breakdown by approach | % based on total own funds requirements for credit risk | IRB approach when own estimates of Loss Given Default and/or conversion factors are used | CR IRB, Advanced IRB (row 0010, col 0260) / CA2 (row 0040) | [Value] | ||
| 080 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | IRB approach when neither own estimates of Loss Given Default nor conversion factors are used | CA2 (row 0250 / row 0240) | [Value] | ||
| 090 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Central governments and central banks | CA2 (row 0260 / row 0240) | [Value] | ||
| 100 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Institutions | CA2 (row 0270 / row 0240) | [Value] | ||
| 110 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Corporates - SME | CA2 (row 0280 / row 0240) | [Value] | ||
| 120 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Corporates - Specialised Lending | CA2 (row 0290 / row 0240) | [Value] | ||
| 130 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Corporates - Other | CA2 (row 0300 / row 0240) | [Value] | ||
| 140 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | IRB approach when own estimates of Loss Given Default and/or conversion factors are used | CA2 (row 0310 / row 0240) | [Value] | ||
| 150 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Central governments and central banks | CA2 (row 0320 / row 0240) | [Value] | ||
| 160 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Institutions | CA2 (row 0330 / row 0240) | [Value] | ||
| 170 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Corporates - SME | CA2 (row 0340 / row 0240) | [Value] | ||
| 180 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Corporates - Specialised Lending | CA2 (row 0350 / row 0240) | [Value] | ||
| 190 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Corporates - Other | CA2 (row 0360 / row 0240) | [Value] | ||
| 200 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Retail - Secured by real estate SME | CA2 (row 0370 / row 0240) | [Value] | ||
| 210 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Retail - Secured by real estate non-SME | CA2 (row 0380 / row 0240) | [Value] | ||
| 220 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Retail - Qualifying revolving | CA2 (row 0390 / row 0240) | [Value] | ||
| 230 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Retail - Other SME | CA2 (row 0400 / row 0240) | [Value] | ||
| 240 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Retail - Other non-SME | CA2 (row 0410 / row 0240) | [Value] | ||
| 250 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Equity IRB | CA2 (row 0420 / row 0240) | [Value] | ||
| 270 | Breakdown by IRB exposure class | % based on total IRB risk weighted exposure amount | Other non credit-obligation assets | CA2 (row 0450 / row 0240) | [Value] | ||
| Credit risk data | Credit risk data | Credit risk data | Reference to COREP template | data | |||
| 280 | Credit institutions and investment firms [^E0026] : Own funds requirements for credit risk | Credit institutions and investment firms [^E0026] : Own funds requirements for credit risk | Credit institutions and investment firms [^E0026] : Own funds requirements for credit risk | ||||
| 290 | Breakdown by SA exposure class* | % based on total IRB risk weighted exposure amount | % based on total SA risk weighted exposure amount | Central governments or central banks | CA2 (row 0070 / row 0050) | [Value] | |
| 300 | Breakdown by SA exposure class* | % based on total IRB risk weighted exposure amount | % based on total SA risk weighted exposure amount | Regional governments or local authorities | CA2 (row 0080 / row 0050) | [Value] | |
| 310 | Breakdown by SA exposure class* | Public sector entities | % based on total SA risk weighted exposure amount | CA2 (row 0090 / row 0050) | [Value] | ||
| 320 | Breakdown by SA exposure class* | Multilateral Development Banks | % based on total SA risk weighted exposure amount | CA2 (row 0100 / row 0050) | [Value] | ||
| 330 | Breakdown by SA exposure class* | International Organisations | % based on total SA risk weighted exposure amount | CA2 (row 0110 / row 0050) | [Value] | ||
| 340 | Breakdown by SA exposure class* | Institutions | % based on total SA risk weighted exposure amount | CA2 (row 0120 / row 0050) | [Value] | ||
| 350 | Breakdown by SA exposure class* | Corporates | % based on total SA risk weighted exposure amount | CA2 (row 0130 / row 0050) | [Value] | ||
| 360 | Breakdown by SA exposure class* | Retail | % based on total SA risk weighted exposure amount | CA2 (row 0140 / row 0050) | [Value] | ||
| 370 | Breakdown by SA exposure class* | Secured by mortgages on immovable property | % based on total SA risk weighted exposure amount | CA2 (row 0150 / row 0050) | [Value] | ||
| 380 | Breakdown by SA exposure class* | Exposures in default | % based on total SA risk weighted exposure amount | CA2 (row 0160 / row 0050) | [Value] | ||
| 390 | Breakdown by SA exposure class* | Items associated with particular high risk | % based on total SA risk weighted exposure amount | CA2 (row 0170 / row 0050) | [Value] | ||
| 400 | Breakdown by SA exposure class* | Covered bonds | % based on total SA risk weighted exposure amount | CA2 (row 0180 / row 0050) | [Value] | ||
| 410 | Breakdown by SA exposure class* | Claims on institutions and corporates with a short-term credit assessment | % based on total SA risk weighted exposure amount | CA2 (row 0190 / row 0050) | [Value] | ||
| 420 | Breakdown by SA exposure class* | Collective investment undertakings | % based on total SA risk weighted exposure amount | CA2 (row 0200 / row 0050) | [Value] | ||
| 430 | Breakdown by SA exposure class* | Equity | % based on total SA risk weighted exposure amount | CA2 (row 0210 / row 0050) | [Value] | ||
| 440 | Breakdown by SA exposure class* | Other items | % based on total SA risk weighted exposure amount | CA2 (row 0211 / row 0050) | [Value] | ||
| 455 | Securitisations | Securitisation positions | CA2 (row 0470 / row 0010) | [Value] | |||
| 460 | Breakdown by credit risk mitigation (CRM) approach | % based on the total number of credit institutions and investment firms [^E0026] [^E0029] | Financial collateral simple method | [Value] | |||
| 470 | Breakdown by credit risk mitigation (CRM) approach | % based on the total number of credit institutions and investment firms [^E0026] [^E0029] | Financial collateral comprehensive method | [Value] | |||
| Breakdown by credit risk mitigation (CRM) approach | % based on the total number of credit institutions and investment firms [^E0026] [^E0029] | Exposures and losses from lending collateralised by immovable property (MEUR) [^E0030] | Exposures and losses from lending collateralised by immovable property (MEUR) [^E0030] | Exposures and losses from lending collateralised by immovable property (MEUR) [^E0030] | Reference to COREP template | data | |
| 550 | Use of residential property as collateral | % based on the total number of credit institutions and investment firms [^E0026] [^E0029] | Sum of exposures secured by residential property [^E0031] | Sum of exposures secured by residential property [^E0031] | CR IP Losses (row 0010, col 0050) | [Value] | |
| 560 | Use of residential property as collateral | Sum of losses stemming from lending up to the reference percentages [^E0032] | Sum of losses stemming from lending up to the reference percentages [^E0032] | CR IP Losses (row 0010, col 0010) | [Value] | ||
| 570 | Use of residential property as collateral | Of which: immovable property valued with mortgage lending value [^E0033] | Of which: immovable property valued with mortgage lending value [^E0033] | CR IP Losses (row 0010, col 0020) | [Value] | ||
| 580 | Use of residential property as collateral | Sum of overall losses [^E0034] | Sum of overall losses [^E0034] | CR IP Losses (row 0010, col 0030) | [Value] | ||
| 590 | Use of residential property as collateral | Of which: immovable property valued with mortgage lending value [^E0033] | Of which: immovable property valued with mortgage lending value [^E0033] | CR IP Losses (row 0010, col 0040) | [Value] | ||
| 600 | Use of commercial immovable property as collateral | Sum of exposures secured by immovable commercial property [^E0031] | Sum of exposures secured by immovable commercial property [^E0031] | CR IP Losses (row 0020, col 0050) | [Value] | ||
| 610 | Use of commercial immovable property as collateral | Sum of losses stemming from lending up to the reference percentages [^E0032] | Sum of losses stemming from lending up to the reference percentages [^E0032] | CR IP Losses (row 0020, col 0010) | [Value] | ||
| 620 | Use of commercial immovable property as collateral | Of which: immovable property valued with mortgage lending value [^E0033] | Of which: immovable property valued with mortgage lending value [^E0033] | CR IP Losses (row 0020, col 0020) | [Value] | ||
| 630 | Use of commercial immovable property as collateral | Sum of overall losses [^E0034] | Sum of overall losses [^E0034] | CR IP Losses (row 0020, col 0030) | [Value] | ||
| 640 | Use of commercial immovable property as collateral | Of which: immovable property valued with mortgage lending value [^E0033] | Of which: immovable property valued with mortgage lending value [^E0033] | CR IP Losses (row 0020, col 0040) | [Value] |
Investment firms subjected to Regulation (EU) No 575/2013 and Directive 2013/36/EU.
Ratio of the own fund requirements for credit risk as defined in Article 92(3), points (a) and (f) of Regulation (EU) No 575/2013 to the total own funds as defined in Article 92(3) of that Regulation.
If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported for the three approaches may be higher than 100 %.
In the exceptional cases, where an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %.
The amount of the estimated losses shall be reported at the reporting reference date.
As defined in Article 430a(1), points (c) and (f) of Regulation (EU) No 575/2013, respectively; the market value and mortgage lending value according to Article 4 (1), points (74) and (76) of that Regulation; only for the part of exposure treated as fully and completely secured according to Article 124 (1) of that Regulation.
As defined in Article 430a(1), points (a) and (d) of Regulation (EU) No 575/2013, respectively; the market value and mortgage lending value according to Article 4 (1), points (74) and (76) of that Regulation.
When the value of the collateral has been calculated as mortgage lending value.
As defined in Article 430a(1), points (b) and (e) of Regulation (EU) No 575/2013, respectively; the market value and mortgage lending value according to Article 4 (1), points (74) and (76) of that Regulation.
Part 3
Data on market risk
() (year XXXX)
| Market risk data | Market risk data | Market risk data | Reference to COREP template | data | |
|---|---|---|---|---|---|
| Credit institutions and investment firms [^E0036] : Own funds requirements for market risk | Credit institutions and investment firms [^E0036] : Own funds requirements for market risk | Credit institutions and investment firms [^E0036] : Own funds requirements for market risk | |||
| 010 | Own funds requirements for market risk | % of total own funds requirements [^E0037] | % of total own funds requirements [^E0037] | CA2 (row 0520) / (row 0010) | [Value] |
| 020 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0036] [^E0038] | Standardised approach | [Value] | |
| 030 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0036] [^E0038] | Internal models | [Value] | |
| 040 | Breakdown by approach | % based on total own funds requirements for market risk | Standardised approach | CA2 (row 0530) / (row 0520) | [Value] |
| 050 | Breakdown by approach | % based on total own funds requirements for market risk | Internal models | CA2 (row 0580) / (row 0520) | [Value] |
The template shall include information on all institutions and not only on those with market risk positions.
Investment firms subjected to Regulation (EU) No 575/2013 and Directive 2013/36/EU.
Ratio of the total risk exposure amount for position, foreign exchange and commodities risks as defined in Articles 92(3), points (b)(i) and (c) of Regulation (EU) No 575/2013 and Article 92(4), point (b) of that Regulation to the total risk exposure amount as defined in Article 92(3) of that Regulation.
If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %, but also lower than 100 % as entities with small trading portfolio are not obliged to determine market risk.
Part 4
Data on operational risk (year XXXX)
| Operational risk data | Operational risk data | Operational risk data | Reference to COREP template | data | ||
|---|---|---|---|---|---|---|
| Credit institutions and investment firms [^E0039] : Own funds requirements for operational risk | Credit institutions and investment firms [^E0039] : Own funds requirements for operational risk | Credit institutions and investment firms [^E0039] : Own funds requirements for operational risk | ||||
| 010 | Own funds requirements for operational risk | % of total own funds requirements [^E0040] | % of total own funds requirements [^E0040] | CA2 (row 0590) / (row 0010) | [Value] | |
| 020 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0039] [^E0041] | Basic Indicator Approach (BIA) | [Value] | ||
| 030 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0039] [^E0041] | Standardised Approach (TSA) /Alternative Standardised Approach (ASA) | [Value] | ||
| 040 | Breakdown by approach | % based on the total number of credit institutions and investment firms [^E0039] [^E0041] | Advanced Measurement Approach (AMA) | [Value] | ||
| 050 | Breakdown by approach | % based on total own funds requirements for operational risk | BIA | CA2 (row 0600) / (row 0590) | [Value] | |
| 060 | Breakdown by approach | % based on total own funds requirements for operational risk | TSA/ASA | CA2 (row 0610) / (row 0590) | [Value] | |
| 070 | Breakdown by approach | % based on total own funds requirements for operational risk | AMA | CA2 (row 0620) / (row 0590) | [Value] | |
| Credit institutions and investment firms [^E0039] : Losses due to operational risk | Credit institutions and investment firms [^E0039] : Losses due to operational risk | Credit institutions and investment firms [^E0039] : Losses due to operational risk | ||||
| 080 | Total gross loss | % based on total own funds requirements for operational risk | Total gross loss as % of total gross income [^E0042] | Total gross loss as % of total gross income [^E0042] | OPR Details (row 0920, col 0080) / OPR (sum (row 0010 to row 0130), col 0030) | [Value] |
Investment firms subjected to Regulation (EU) No 575/2013 and Directive 2013/36/EU
Ratio of the total risk exposure amount for operational risk as defined in Article 92(3) of Regulation (EU) No 575/2013 to the total risk exposure amount as defined in Article 92(3) of that Regulation (in %).
If an institution uses more than one approach, it shall be counted in each of these approaches. Hence, the sum of the percentages reported may be higher than 100 %.
Only with respect to entities, which use AMA or TSA/ASA approach; ratio of the total loss amount for all business lines to the sum of the relevant indicator for banking activities subject to TSA/ASA and AMA for the last year (in %).
Part 5
Data on supervisory measures and administrative penalties
() (year XXXX)
| Supervisory measures | Supervisory measures | data | ||
|---|---|---|---|---|
| Credit institutions and investment firms [^E0044] | Credit institutions and investment firms [^E0044] | |||
| 010 | Supervisory measures taken in accordance with Article 102(1)(a) | Total number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU: | [Value] | |
| 011 | Supervisory measures taken in accordance with Article 102(1)(a) | to hold own funds in excess of the minimum capital requirements [Article 104(1)(a)] | [Value] | |
| 012 | Supervisory measures taken in accordance with Article 102(1)(a) | to reinforce governance arrangements and internal capital management [Article 104(1)(b)] | [Value] | |
| 013 | Supervisory measures taken in accordance with Article 102(1)(a) | to present a plan to restore compliance with supervisory requirements [Article 104(1)(c)] | [Value] | |
| 014 | Supervisory measures taken in accordance with Article 102(1)(a) | to apply a specific provisioning policy or treatment of assets [Article 104(1)(d)] | [Value] | |
| 015 | Supervisory measures taken in accordance with Article 102(1)(a) | to restrict/limit business or activities [Article 104(1)(e)] | [Value] | |
| 016 | Supervisory measures taken in accordance with Article 102(1)(a) | to reduce the risk inherent in the activities, products and systems [Article 104(1)(f)] | [Value] | |
| 017 | Supervisory measures taken in accordance with Article 102(1)(a) | to limit variable remuneration [Article 104(1)(g)] | [Value] | |
| 018 | Supervisory measures taken in accordance with Article 102(1)(a) | to strengthen own funds by using net profits [Article 104(1)(h)] | [Value] | |
| 019 | Supervisory measures taken in accordance with Article 102(1)(a) | to restrict/prohibit distributions or interest payments [Article 104(1)(i)] | [Value] | |
| 020 | Supervisory measures taken in accordance with Article 102(1)(a) | to impose additional or more frequent reporting requirements [Article 104(1)(j)] | [Value] | |
| 021 | Supervisory measures taken in accordance with Article 102(1)(a) | to impose specific liquidity requirements [Article 104(1)(k)] | [Value] | |
| 022 | Supervisory measures taken in accordance with Article 102(1)(a) | to impose additional disclosure requirements [Article 104(1)(l)] | [Value] | |
| 023 | Supervisory measures taken in accordance with Article 102(1)(a) | Number and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU) | [Value] | |
| 024 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | Total number of supervisory measures taken in accordance with Article 104(1) of Directive 2013/36/EU: | [Value] | |
| 025 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to hold own funds in excess of the minimum capital requirements [Article 104(1)(a)] | [Value] | |
| 026 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to reinforce governance arrangements and internal capital management [Article 104(1)(b)] | [Value] | |
| 027 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to present a plan to restore compliance with supervisory requirements [Article 104(1)(c)] | [Value] | |
| 028 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to apply a specific provisioning policy or treatment of assets [Article 104(1)(d)] | [Value] | |
| 029 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to restrict/limit business or activities [Article 104(1)(e)] | [Value] | |
| 030 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to reduce the risk inherent in the activities, products and systems [Article 104(1)(f)] | [Value] | |
| 031 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to limit variable remuneration [Article 104(1)(g)] | [Value] | |
| 032 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to strengthen own funds by using net profits [Article 104(1)(h)] | [Value] | |
| 033 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to restrict/prohibit distributions or interest payments [Article 104(1)(i)] | [Value] | |
| 034 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to impose additional or more frequent reporting requirements [Article 104(1)(j)] | [Value] | |
| 035 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to impose specific liquidity requirements [Article 104(1)(k)] | [Value] | |
| 036 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | to impose additional disclosure requirements [Article 104(1)(l)] | [Value] | |
| 037 | Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | Number and nature of other supervisory measures taken (not listed in Article 104(1) of Directive 2013/36/EU) | [Value] | |
| Supervisory measures taken in accordance with Article 102(1)(b) and other provisions of Directive 2013/36/EU or Regulation (EU) No 575/2013 | Administrative penalties [^E0045] | Administrative penalties [^E0045] | data | |
| Credit institutions and investment firms [^E0044] | Credit institutions and investment firms [^E0044] | |||
| 065 | Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) | Total number of administrative penalties from Article 66(2) of Directive 2013/36/EU applied: | [Value] | |
| 066 | Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) | public statements identifying the natural/legal person responsible and the nature of the breach [Article 66(2)(a)] | [Value] | |
| 067 | Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) | orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 66(2)(b)] | [Value] | |
| 068 | Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) | administrative pecuniary penalties imposed on legal/natural person [points (c) to (e) of Article 66(2)] | [Value] | |
| 069 | Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) | suspensions of the voting rights of shareholders [Article 66(2)(f)] | [Value] | |
| 070 | Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) | Number and nature of other administrative penalties applied (not specified in Article 66(2) of Directive 2013/36/EU) | [free text] | |
| 071 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | Total number of administrative penalties from Article 67(2) of Directive 2013/36/EU applied: | [Value] | |
| 072 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | public statements identifying the natural/legal person responsible and the nature of the breach [Article 67(2), point (a)] | [Value] | |
| 073 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | orders requiring the natural/legal person responsible to cease the conduct and to desist from a repetition of that conduct [Article 67(2), point (b)] | [Value] | |
| 074 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | withdrawals of authorisation of credit institution and investment firm [Article 67(2), point (c)] | [Value] | |
| 075 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | temporary bans against natural person from exercising functions in credit institutions and investment firms [Article 67(2), point (d)] | [Value] | |
| 076 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | administrative pecuniary penalties imposed on legal/natural person [Article 67(2), point (e) to (g)] | [Value] | |
| 077 | Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) | Number and nature of other administrative penalties applied (not specified in Article 67(2) of Directive 2013/36/EU) | [free text] | |
| Competent authorities shall not disclose supervisory actions or decisions directed at specific institutions. When publishing information on the general criteria and methodologies, competent authorities shall not disclose any supervisory measures directed at specific institutions, whether taken with respect to a single institution or to a group of institutions. | Competent authorities shall not disclose supervisory actions or decisions directed at specific institutions. When publishing information on the general criteria and methodologies, competent authorities shall not disclose any supervisory measures directed at specific institutions, whether taken with respect to a single institution or to a group of institutions. | Competent authorities shall not disclose supervisory actions or decisions directed at specific institutions. When publishing information on the general criteria and methodologies, competent authorities shall not disclose any supervisory measures directed at specific institutions, whether taken with respect to a single institution or to a group of institutions. | Competent authorities shall not disclose supervisory actions or decisions directed at specific institutions. When publishing information on the general criteria and methodologies, competent authorities shall not disclose any supervisory measures directed at specific institutions, whether taken with respect to a single institution or to a group of institutions. |
Information shall be reported based on the date of decision.
Due to differences in national regulations as well as in supervisory practices and approaches across the competent authorities the figures provided in this table might not allow for a meaningful comparison between jurisdictions. Any conclusions without carefully considering these differences can be misleading.
Investment firms subjected to Regulation (EU) No 575/2013 and Directive 2013/36/EU.
[^E0045]: (3)
The administrative penalties imposed by competent authorities. Competent authorities shall report all administrative penalties against which there is no appeal available in their jurisdiction by the reference date of the disclosure. Competent authorities of Member States where it is permitted to publish administrative penalties subject to an appeal, shall also report those administrative penalties unless the appeal annulling the administrative penalty is issued.
Part 6
Data on waivers () (year XXXX)
| Exemption from the application on an individual basis of prudential requirements set out in Parts Two, Three, Four, Seven, Seven A and Eight of Regulation (EU) No 575/2013 and in Chapter 2 of Regulation (EU) 2017/2402 | Exemption from the application on an individual basis of prudential requirements set out in Parts Two, Three, Four, Seven, Seven A and Eight of Regulation (EU) No 575/2013 and in Chapter 2 of Regulation (EU) 2017/2402 | Exemption from the application on an individual basis of prudential requirements set out in Parts Two, Three, Four, Seven, Seven A and Eight of Regulation (EU) No 575/2013 and in Chapter 2 of Regulation (EU) 2017/2402 | |
| Legal reference in Regulation (EU) No 575/2013 | Article 7(1) and (2) (waivers for subsidiaries) [^E0047] | Article 7(3) (waivers for parent institutions) | |
| 010 | Total number of waivers granted | [Value] | [Value] |
| 011 | Number of waivers granted to parent institutions which have or hold participations in subsidiaries established in third countries | N/A | [Value] |
| 012 | Total amount of consolidated own funds held in the subsidiaries established in third countries (in MEUR) | N/A | [Value] |
| 013 | Percentage of the total consolidated own funds held in subsidiaries established in third countries (%) | N/A | [Value] |
| 014 | Percentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%) | N/A | [Value] |
| Permission granted to parent institutions to incorporate subsidiaries in the calculation of their prudential requirements set out in Parts Two, Three, Four, Seven, Seven A and Eight of Regulation (EU) No 575/2013 and in Chapter 2 of Regulation (EU) 2017/2402 | Permission granted to parent institutions to incorporate subsidiaries in the calculation of their prudential requirements set out in Parts Two, Three, Four, Seven, Seven A and Eight of Regulation (EU) No 575/2013 and in Chapter 2 of Regulation (EU) 2017/2402 | Permission granted to parent institutions to incorporate subsidiaries in the calculation of their prudential requirements set out in Parts Two, Three, Four, Seven, Seven A and Eight of Regulation (EU) No 575/2013 and in Chapter 2 of Regulation (EU) 2017/2402 | |
| Legal reference in Regulation (EU) No 575/2013 | Article 9(1) (Individual consolidation method) | Article 9(1) (Individual consolidation method) | |
| 015 | Total number of permissions granted | [Value] | [Value] |
| 016 | Number of permissions granted to parent institutions to incorporarte subsidiaries established in third countries in the calculation of their requirement | [Value] | [Value] |
| 017 | Total amount of consolidated own funds held in the subsidiaries established in third countries (in MEUR) | [Value] | [Value] |
| 018 | Percentage of the total consolidated own funds held in subsidiaries established in third countries (%) | [Value] | [Value] |
| 019 | Percentage of the consolidated own funds requirements allocated to subsidiaries established in third countries (%) | [Value] | [Value] |
| Exemption from the application on an individual basis of liquidity requirements set out in Part Six of Regulation (EU) No 575/2013 | Exemption from the application on an individual basis of liquidity requirements set out in Part Six of Regulation (EU) No 575/2013 | Exemption from the application on an individual basis of liquidity requirements set out in Part Six of Regulation (EU) No 575/2013 | |
| Legal reference in Regulation (EU) No 575/2013 | Article 8 (Liquidity waivers for subsidiaries) | Article 8 (Liquidity waivers for subsidiaries) | |
| 020 | Total number of waivers granted | [Value] | [Value] |
| 021 | Number of waivers granted pursuant to Article 8(2) where all institutions within a single liquidity sub-group are authorised in the same Member State | [Value] | [Value] |
| 022 | Number of waivers granted pursuant to Article 8(3) where all institutions within a single liquidity sub-group are authorised in several Member States | [Value] | [Value] |
| 023 | Number of waivers granted pursuant to Article 8(4) to institutions which are members of the same Institutional Protection Scheme | [Value] | [Value] |
| Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013 and Chapter 2 of Regulation (EU) 2017/2402 | Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013 and Chapter 2 of Regulation (EU) 2017/2402 | Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013 and Chapter 2 of Regulation (EU) 2017/2402 | |
| Legal reference in Regulation (EU) No 575/2013 | Article 10 (Credit institutions permanently affiliated to a central body) | Article 10 (Credit institutions permanently affiliated to a central body) | |
| 024 | Total number of waivers granted | [Value] | [Value] |
| 025 | Number of waivers granted to credit institutions permanently affiliated to a central body | [Value] | [Value] |
| 026 | Number of waivers granted to central bodies | [Value] | [Value] |
Competent authorities shall report Information on waiver practices based on the total number of waivers by the competent authority, which are still effective or in force. The information to be reported is limited to those entities granted a waiver. Where the information is not available, i.e. not part of the regular reporting, it shall be reported as ‘N/A’.
The number of institutions which have been granted the waiver shall be used as a basis for counting the waivers.
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