LegalizeCommission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Text with EEA relevance. )
This is the act as published. Later amendments are not folded into the text below: each one is a separate act in this repository and an entry in this law's history.
1 amending act · 2026-10-14, 32026R1512
Forms and templates for the cooperation between authorities of the home Member State and of the host Member State
(Article 24(8) of Regulation (EU) No 909/2014)
Table 1
Template for the exchange of information between the competent authority of the home Member State and the competent authority of the host Member State where a CSD has set up a branch
| Field | Content | Frequency |
|---|---|---|
| Details concerning the review and evaluation of the CSD referred to in Article 22(1) of Regulation (EU) No 909/2014 | ||
| Information to be provided by the competent authority of the home Member State | ||
| Corporate name of the CSD | name | when changes occur |
| Legal address of the CSD | address | when changes occur |
| List of services that the CSD provides in accordance with the Annex of Regulation (EU) No 909/2014 | list | when changes occur |
| Structure and ownership of the group to which the CSD belongs | schema | when significant changes occur |
| Level of the capital of the CSD (where relevant, Tier 1 capital and total capital) | table | when significant changes occur |
| Organisation, management body and senior management of the CSD (including CVs) | description | when changes occur |
| Processes and arrangements for governance | description | when changes significantly impact the governance of the CSD |
| Details of the authorities involved in the supervision/oversight of the CSD | name/function | advance notification, where practicable, or as soon as possible |
| Information on any material threats to the CSD's ability to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations | description | advance notification, where practicable, or without undue delay |
| Sanctions and exceptional supervisory measures which may impact the activities of the CSD's branch | description | advance notification, where practicable, or without undue delay |
| Repo on major problems of performance or incidents and remedial actions taken which may impact the activities of the branch | description | when it occurs |
| Difficulties in the CSD's operations that have potentially significant spill-over effects on the branch | Description | as soon as possible |
| Factors which suggest a potentially high risk of contagion from the operations of the CSD to the branch | description | as soon as possible |
| Extension of services or withdrawal of the authorisation | description | advance notification, where practicable, or as soon as possible |
| Headcount statistics | table | yearly basis |
| Financial data, such as balance sheet, profit and loss accounts | table | yearly basis |
| Size of the operations (assets under custody, revenues) | table | yearly basis |
| Risk Management Policy | description | when changes significantly impact the governance or risk management of the CSD |
| Where relevant for the branch, outsourcing agreements concerning the services provided by the branch | schema | when changes significantly impact the governance or risk management of the CSD |
| Other information for the purpose of fulfilling its mandate | Upon the request of the competent authority of the host Member State | |
| Information to be provided by the competent authority of the host Member State | ||
| Corporate name of the branch | name | when changes occur |
| Legal address of the branch | address | when changes occur |
| List of services provided through the branch in accordance with the Annex of Regulation (EU) No 909/2014 | list | when changes occur |
| Organisation, senior management of the branch | description | when changes occur |
| Processes and arrangements specific to the governance of the branch | description | when changes significantly impact the governance or risk management of the CSD |
| Details of the authorities involved in the supervision/oversight of the branch | name/function | advance notification, where practicable, or as soon as possible |
| Information on any material threats to the ability of the CSD's branch to comply with Regulation (EU) No 909/2014 and relevant delegated and implementing regulations | description | advance notification, where practicable, or as soon as possible |
| Sanctions and exceptional supervisory measures applied to the branch | description | advance notification, where practicable, or as soon as possible |
| Repo on major performance problems or incidents and remedial actions taken | description | when it occurs |
| Difficulties in the branch's operations that have potentially significant spill-over effects on the CSD | description | as soon as possible |
| Factors which suggest a potentially high risk of contagion from the operations of the branch to the operations of the CSD | description | as soon as possible |
| Headcount statistics of the branch | table | yearly basis |
| Financial data, such as balance sheet, profit and loss accounts concerning the branch | table | yearly basis |
| Other information for the purpose of fulfilling its mandate | Upon the request of the competent authority of the home Member State |
Table 2
Template to be filled in by the competent authority carrying out on-site inspections of a branch of the CSD
| Field | Content |
|---|---|
| Name of the competent authority requesting the on-site inspection | Name |
| Primary and secondary contact person of the competent authority requesting the on-site inspection | name, telephone number, email address, role |
| Name of the branch of the CSD where the on-site inspection will take place | name and address |
| Name of the CSD that has established the branch | Name |
| Where available, contact person of the CSD or the branch in charge of the on-site inspection | name, telephone number, email address, role |
| Name of the other competent authority | name |
| Primary and secondary contact person of the other competent authority | name, telephone number, email address, role |
| Scheduled date of the on-site inspection | YYYY/MM/DD — YYYY/MM/DD |
| Rationale for the on-site inspection | text |
| Underlying documents that are planned to be used in the context of the on-site inspection | list of documents |
Table 3
Template to be filled in by the competent authority of the home Member State following the request FOR information by the competent authority of the host Member State
| Field | Content |
|---|---|
| Corporate name of the CSD | name |
| Legal address of the CSD | address |
| List of services the CSD provides in accordance with the Annex to Regulation (EU) No 909/2014 | list |
| Corporate name of the CSD participants as Legal Entities | list |
| Home country of the CSD participants (ISO 2-digit country code) | list |
| LEI of the issuers whose securities issues are recorded in securities accounts centrally or not centrally maintained by the CSD | list |
| Home country of issuers (ISO 2-digit country) | list |
| ISIN code of the issued securities constituted under the law of the host Member State initially recorded in the CSD of the home Member State | list |
| Market value or, if not available, nominal value of securities issued by issuers from the host Member State for which the CSD of the home Member State provides the core services referred to in point 1 or 2 of Section A of the Annex to of Regulation (EU) No 909/2014 | figure |
| Market value or, if not available, nominal value of securities recorded in securities accounts not centrally maintained by the CSD of the home Member State for participants and other holders of securities accounts of the host Member State | figure |
| Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State in relation to transactions in securities issued by issuers from the host Member State | figure |
| Value of the settlement instructions against payment plus the market value of the FOP settlement instructions or, if not available, the nominal value of the FOP settlement instructions settled by the CSD of the home Member State from participants as well as for other holders of securities accounts of the host Member State | figure |
| Other information for the purpose of fulfilling its mandate |
Table 4
Template to be filled in by the competent authority of the host Member State having clear and demonstrable grounds for believing that a CSD providing services within its territory in accordance with Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014
| Field | Content |
|---|---|
| Name of the competent authority of the host Member State | Name |
| Primary and secondary contact person of the competent authority of the host Member State | name, telephone number, email address, role |
| Name of the CSD that provides services in the host Member State considered to be in breach of its obligations | name and address |
| Contact person of the CSD that provides services in the host Member State considered to be in breach of its obligations | name, telephone number, email address, role |
| Name of the competent authority of the home Member State | name |
| Primary and secondary contact person of the competent authority of the home Member State | name, telephone number, email address, role |
| Where relevant, primary and secondary contact person of ESMA | name, telephone number, email address, role |
| Description of the grounds for believing that the CSD established in the home Member State providing services in the territory of the host Member State according to Article 23 of Regulation (EU) No 909/2014 is in breach of the obligations arising from the provisions of Regulation (EU) No 909/2014 | text |
ANNEX IV
Format of CSD records
(Article 29(4) of Regulation (EU) No 909/2014)
Table 1
Transaction/Settlement instructions (flow) records
| No | Field | Format |
|---|---|---|
| 1 | Settlement instruction type | (a) DFP — deliver free of payment settlement instructions; (b) RFP — receive free of payment settlement instructions; (c) DVP — delivery versus payment settlement instructions and (d) RVP — receive versus payment settlement instructions; (e) DWP — delivery with payment settlement instructions; (f) RWP — receive with payment settlement instructions; (g) PFOD — payment free of delivery settlement instructions. |
| 2 | Transaction type | (a) TRAD — purchase or sale of securities; (b) COLI/COLO/CNCB — collateral management operations; (c) SECL/SECB — securities lending/borrowing operations; (d) REPU/RVPO/TRPO/TRVO/BSBK/SBBK — repurchase transactions; (e) OTHR (or more granular codes as provided by the CSD) — others. |
| 3 | Unique Instruction Reference of the participant | Unique instruction reference of the participant according to the CSD's rules |
| 4 | Trade date | ISO 8601 date in the format YYYY-MM-DD |
| 5 | Intended Settlement Date | ISO 8601 date in the format YYYY-MM-DD |
| 6 | Settlement timestamp | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 7 | Timestamp of the moment of entry of the settlement instruction into the securities settlement system | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 8 | Timestamp of the moment of irrevocability of the settlement instruction | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 9 | Matching timestamp, where applicable | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 10 | Securities account identifier | Unique securities account identifier provided by the CSD |
| 11 | Cash account identifier | Unique cash account identifier provided by the central bank or the CSD authorised in accordance with point (a) of Article 54(2) of Regulation (EU) No 909/2014 or a designated credit institution referred to in point (b) of Article 54(2) of Regulation (EU) No 909/2014 |
| 12 | Settlement bank identifier | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 13 | Identifier of the instructing participant | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 14 | Identifier of the instructing participant's counterparty | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) (with the obligation to convert to LEI for the purposes of reporting to authorities) |
| 15 | Identifier of the instructing participant's client, where known to the CSD | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons Where available national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level |
| 16 | Identifier of the client of the instructing participant's counterparty, where known to the CSD | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) or other available form of identification for legal persons Where available, national identifier for natural persons (50 alphanumerical digits) which allows the unique identification of the natural person at a national level |
| 17 | Securities identifiers | ISO 6166 ISIN 12 character alphanumerical code |
| 18 | Settlement currency | ISO 4217 Currency Code, 3 alphabetical digits |
| 19 | Settlement cash amount | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character |
| 20 | Quantity or nominal amount of securities | Up to 20 numerical characters reported as whole numbers without decimals |
| 21 | Status of settlement instructions | PEND — Pending instruction (settlement at the ISD is still possible) PENF — Failing instruction (settlement at the ISD is no longer possible) SETT — Full settlement PAIN — Partially settled CANS — Instruction cancelled by the system CANI — Instruction cancelled by the participant Remaining part of securities to be settled (if Status of the instruction is PAIN) Information on the remaining XXX amount of securities against YYY cash to be delivered Matching status MACH if matched or NMAT if the instruction is not matched Hold status of the instruction Possible values: PREA [Your InstructionOnHold] CSDH [CSD Hold] CVAL [CSDValidation] CDLR [ConditionalDeliveryAwaitingRelease] BLANK if not on hold Opt-out of partial settlement Possible values: NPAR if opt-out of partial settlement is activated BLANK if partial settlement is allowed Reason codes for not settled instructions (if Status of the instruction is PEND or PENF) BLOC AccountBlocked CDLR ConditionalDeliveryAwaitingRelease CLAC CounterpartyInsufficientSecurities CMON CounterpartyInsufficientMoney CSDH CSDHold CVAL CSDValidation FUTU AwaitingSettlementDate INBC IncompleteNumberCount LACK LackOfSecurities LATE MarketDeadlineMissed LINK PendingLinkedInstruction MONY InsufficientMoney OTHR Other PART TradeSettlesInPartials PRCY CounterpartyInstructionOnHold PREA YourInstructionOnHold SBLO SecuritiesBlocked CONF AwaitingConfirmation CDAC ConditionalDeliveryAwaitingCancellation |
| 22 | Place of trading | Populated by the MIC (ISO Market Identification Code) (ISO 10383) if the instruction is resulting from a trade concluded on a trading venue or blank for OTC transactions |
| 23 | If applicable, place of clearing | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code of the CCP clearing the transaction, or Bank Identifier Code (BIC) of the CCP with the obligation to convert to LEI for the purposes of reporting to authorities |
| 24 | Where a buy-in process is initiated for a transaction, the following details regarding: a) the final results of the buy-in process (including the number and value of the bought-in financial instruments if the buy-in is successful); b) if applicable, payment of cash compensation (including the amount of the cash compensation); c) if applicable, cancellation of the initial settlement instruction. | Buy-in initiated: Y/N Buy-in successful: Y/N/P Number of bought-in financial instruments: Up to 20 numerical characters reported as whole numbers without decimals. Value of bought-in financial instruments: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character Payment of cash compensation: Y/N Amount of the cash compensation: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character Cancellation of the initial settlement instruction: Y/N |
| 25 | For each settlement instruction that fails to settle on ISD, the amount of the penalties referred to in Article 7(2) of Regulation (EU) No 909/2014 | Amount of penalties: Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character |
Table 2
Position (stock) records
| No | Field | Format |
|---|---|---|
| 1 | Identifiers of issuers for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014 | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) for legal persons with the obligation to convert to LEI for the purposes of reporting to authorities |
| 2 | Identifier of each securities issue for which the CSD provides the core service referred to in point 1 or 2 of Section A of the Annex to Regulation (EU) No 909/2014 | ISO 6166 ISIN 12 character alphanumerical code |
| 3 | Identifier of each securities issue recorded in securities accounts not centrally maintained by the CSD | ISO 6166 ISIN 12 character alphanumerical code |
| 4 | Identifier of the issuer CSD or of the relevant third country entity performing similar functions to an issuer CSD for each securities issue referred to in point 3 | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 5 | For each securities issue referred to in points 2 and 3, the law under which the securities recorded by the CSD are constituted | ISO 3166 2 character country code |
| 6 | Country of incorporation of the issuers of each securities issue referred to in points 2 and 3 | ISO 3166 2 character country code |
| 7 | Issuers' securities accounts identifiers, in the case of issuer CSDs | Unique securities account identifier provided by the issuer CSD |
| 8 | Issuers' cash accounts identifiers, in the case of issuer CSDs | International Bank Account Number (IBAN) |
| 9 | Identifiers of settlement banks used by each issuer, in the case of issuer CSDs | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 10 | Participants' identifiers | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 11 | Participants' country of incorporation | ISO 3166 2 character country code |
| 12 | Participants' securities accounts identifiers | Unique securities account identifier provided by the CSD |
| 13 | Participants' cash accounts identifiers | Unique cash account identifier provided by the central bank |
| 14 | Identifiers of settlement banks used by the each participant | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code, or Bank Identifier Code (BIC) with the obligation to convert to LEI for the purposes of reporting to authorities |
| 15 | Country of incorporation of settlement banks used by each participant | ISO 3166 2 character country code |
| 16 | Type of securities accounts: (i) CSD participant's own account; (ii) CSD participant's client individual account; (iii) CSD participant's clients omnibus account. | OW = own account IS = individually segregated account OM = omnibus account |
| 17 | End of day balances of securities accounts for each ISIN | Files, documents |
| 18 | For each securities account and ISIN, the number of securities subject to settlement restrictions, type of restriction and, where relevant, the identity of the beneficiary of the restriction at the end of day | Files, documents |
| 19 | Records of settlement fails, as well as of the measures adopted by the CSD and its participants to improve settlement efficiency, in accordance with the delegated acts adopted by the Commission on the basis of regulatory technical standards referred to in Articles 6(5) and 7(15) of Regulation (EU) No 909/2014 | Files, documents |
Table 3
Ancillary services records
| No. | Ancillary Services under Regulation (EU) No 909/2014 | Types of records | Format |
|---|---|---|---|
| 1 | Organising a securities lending mechanism, as agent among participants of a securities settlement system | a) Identification of delivering/receiving parties, b) Details regarding each securities lending/borrowing operation, including volume and value of securities lent or borrowed, ISIN, c) Purpose of each securities lending/borrowing operations, d) Types of collateral, e) Collateral valuation. | Files, documents |
| 2 | Providing collateral management services, as agent for participants in a securities settlement system | a) Identification of delivering/receiving parties, b) Details regarding each operation, including volume and value of securities, ISIN, c) Types of collateral used, d) Purpose of the use of collateral, e) Collateral valuation. | Files, documents |
| 3 | Settlement matching, instruction routing, trade confirmation, trade verification | a) Identification of the entities for which the CSD provides services, b) Types of operations, c) Details regarding each operation, including volume and value of securities serviced, ISIN. | Files, documents |
| 4 | Services related to shareholders' registers | a) Identification of the entities for which the CSD provides services, b) Types of services, c) Details regarding each operation, including volume and value of securities serviced, ISIN. | Files, documents |
| 5 | Supporting the processing of corporate actions, including tax, general meetings and information services | a) Identification of the entities for which the CSD provides services, b) Types of services, c) Details regarding each operation, including volume and value of securities/cash serviced, beneficiaries of the operation, ISIN. | Files, documents |
| 6 | New issue services, including allocation and management of ISIN codes and similar codes | a) Identification of the entities for which the CSD provides the services, b) Types of services, c) Details regarding each operation, including ISIN. | Files, documents |
| 7 | Instruction routing and processing, fee collection and processing and related reporting | a) Identification of the entities for which the CSD provides the services, b) Types of services, c) Details regarding each operation, including volume and value of securities/cash serviced, beneficiaries of the operation, ISIN, purpose of the operation. | Files, documents |
| 8 | Establishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services | a) Details regarding the CSD links, including identification of CSDs, b) Types of services. | Files, documents |
| 9 | Providing general collateral management services as an agent | a) Identification of delivering/receiving parties, b) Details regarding each operation, including volume and value of securities serviced, ISIN, c) Types of collateral, d) Purpose of collateral use, e) Collateral valuation. | Files, documents |
| 10 | Providing regulatory reporting | a) Identification of the entities for which the CSD provides reporting services, b) Types of services. c) Details regarding the data provided, including the legal basis and the purpose. | Files, documents |
| 11 | Providing information, data and statistics to market/census bureaus or other governmental or inter-governmental entities | a) Identification of the entities for which the CSD provides services, b) Types of services. c) Details regarding the data provided, including the legal basis and the purpose. | Files, documents |
| 12 | Providing IT services | a) Identification of the entities for which the CSD provides the services, b) Types of services. c) Details regarding the IT services. | Files, documents |
| 13 | Providing cash accounts to, and accepting deposits from, participants in a securities settlement system and holders of securities accounts, within the meaning of point 1 of Annex I of Directive 2013/36/EU of the European Parliament and of the Council[^ntr1-L_2017065EN.01018001-E0001] | a) Identification of the entities for which the CSD provides the services, b) Cash accounts details, c) Currency, d) Deposits amounts, e) End of day balances of the cash accounts provided by the CSD or the designated credit institution (for each currency) | Files, documents |
| 14 | Providing cash credit for reimbursement no later than the following business day, cash lending to pre-finance corporate actions and lending securities to holders of securities accounts, within the meaning of point 2 of Annex I to Directive 2013/36/EU | a) Identification of the entities for which the CSD provides services, b) Types of services c) Details regarding each operation, including volume and value of securities/cash serviced, ISIN, d) Types of collateral used, e) Collateral valuation, f) Purpose of operations, g) Information about any incidents in relation to such services and remedial actions, including follow-up. | Files, documents |
| 15 | Payment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU | a) Identification of the entities for which the CSD provides the services, b) Types of services, c) Details regarding each operation, including volume of cash, and purpose of operation. | Files, documents |
| 16 | Guarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU | a) Identification of the entities for which the CSD provides the services, b) Types of services, c) Details regarding each operation, including volume and value of securities/cash, and purpose of operation. | Files, documents |
| 17 | Treasury activities involving foreign exchange and transferable securities related to managing participants' long balances, within the meaning of points 7(b) and (e) of Annex I to Directive 2013/36/EU | a) Identification of the entities for which the CSD provides the services, b) Types of services, c) Details regarding each operation, including volume and value of securities/cash, and purpose of operation. | Files, documents |
Table 4
Business records
| No | Item | Format | Description |
|---|---|---|---|
| 1 | Organisational charts | Charts | Management body, senior management, relevant committees, operational units and all other units or divisions of the CSD |
| 2 | Identities of the shareholders or persons (natural or legal persons), that exercise direct or indirect control over the management of the CSD or that hold participations in the capital of the CSD and the amounts of those holdings | S = Shareholder/M = Member D = Direct/I = Indirect N = Natural person/L = Legal person Amount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character. | Shareholders or persons that exercise direct or indirect control over the management of the CSD or hold participations in the capital of the CSD (fields to be added for each of the relevant shareholder/person) |
| 3 | CSD participations in the capital of other legal entities | Free text Amount of the holding = Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. The negative symbol, if populated, is not counted as a numerical character. | Identification of each legal entity (fields to be added for each legal entity) |
| 4 | Documents attesting the policies, procedures and processes required under the CSD's organisational requirements and in relation to the services provided by the CSD | Files, documents | |
| 5 | Minutes of management body meetings and of meetings of senior management committees and other committees of the CSD | Files, documents | |
| 6 | Minutes of the meetings of user committee(s) | Files, documents | |
| 7 | Minutes of the meetings with consultation groups composed of participants and clients, if any | Files, documents | |
| 8 | Internal and external audit reports, risk management reports, compliance and internal control reports, including responses from senior management to such reports | Files, documents | |
| 9 | All outsourcing contracts | Files, documents | |
| 10 | Business continuity policy and disaster recovery plan | Files, documents | |
| 11 | Records reflecting all assets and liabilities and capital accounts of the CSD | Files, documents | |
| 12 | Records reflecting all costs and revenues, including costs and revenues which are accounted separately in accordance with Article 34(6) of Regulation (EU) No 909/2014 | Files, documents | |
| 13 | Formal complaints received | Free text | For each formal complaint: information on complainant's name and address; date of receiving the complaint; names of all persons identified in the complaint; description of the nature of the complaint; content and outcome of the complaint; date when the complaint was resolved. |
| 14 | Information on any interruption or dysfunction of services | Free text | Records of any interruption or dysfunction of services, including a detailed report on the timing, effects of such interruption or dysfunction and remedial actions taken |
| 15 | Records of the results of the back and stress tests performed for the CSDs providing banking-type ancillary services | Files, documents | |
| 16 | Written communications with the competent authority, ESMA and relevant authorities | Files, documents | |
| 17 | Legal opinions received in accordance with the relevant provisions on organisational requirements provided in Chapter VII of Delegated Regulation (EU) 2017/392 | Files, documents | |
| 18 | Legal documentation regarding CSD link arrangements in accordance with Chapter XII of Delegated Regulation (EU) 2017/392 | Files, documents | |
| 19 | Tariffs and fees applied to the different services, including any discount or rebate | Free text |
[^ntr1-L_2017065EN.01018001-E0001]: 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).
ANNEX V
Forms and templates for access procedures
(Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014)
Table 1
Template for the request to establish a CSD link or for the request for access between a CSD and a CCP or a trading venue
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: requesting party | ||||
| Addressee: receiving party | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| II. Identification of requesting party | II. Identification of requesting party | II. Identification of requesting party | II. Identification of requesting party | II. Identification of requesting party |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request (name, function, phone number, email address) | Name | Function | Phone | |
| III. Services that form the object of the request | III. Services that form the object of the request | III. Services that form the object of the request | III. Services that form the object of the request | III. Services that form the object of the request |
| Types of services | ||||
| Description of services | ||||
| IV. Identification of authorities | IV. Identification of authorities | IV. Identification of authorities | IV. Identification of authorities | IV. Identification of authorities |
| Name and contact details of the competent authority of the requesting party | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | Name | Function | Phone | |
| V. Any other relevant information and/or documents | V. Any other relevant information and/or documents | V. Any other relevant information and/or documents | V. Any other relevant information and/or documents | V. Any other relevant information and/or documents |
Table 2
Template for the response granting access following a request to establish a CSD link or a request for access between a CSD and a CCP or a trading venue
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: receiving party | ||||
| Addressee: requesting party | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| II. Identification of the receiving CSD | II. Identification of the receiving CSD | II. Identification of the receiving CSD | II. Identification of the receiving CSD | II. Identification of the receiving CSD |
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request (name, function, phone number, email address) | Name | Function | Phone | |
| III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party |
| Corporate name of the requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request (name, function, phone number, email address) | Name | Function | Phone | |
| Access granted | YES | YES | YES | YES |
| IV. Identification of authorities | IV. Identification of authorities | IV. Identification of authorities | IV. Identification of authorities | IV. Identification of authorities |
| Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| V. Any other relevant information and/or documents | V. Any other relevant information and/or documents | V. Any other relevant information and/or documents | V. Any other relevant information and/or documents | V. Any other relevant information and/or documents |
Table 3
Template for the refusal of access to a CSD
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: receiving CSD | ||||
| Addressee: requesting party | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving CSD | ||||
| II. Identification of the receiving CSD | II. Identification of the receiving CSD | II. Identification of the receiving CSD | II. Identification of the receiving CSD | II. Identification of the receiving CSD |
| Corporate name of receiving CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party |
| Corporate name of the requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access | Name | Function | Phone | |
| IV. Risk analysis of the request for access | IV. Risk analysis of the request for access | IV. Risk analysis of the request for access | IV. Risk analysis of the request for access | IV. Risk analysis of the request for access |
| Legal risks resulting from the provision of services | ||||
| Financial risks resulting from the provision of services | ||||
| Operational risks resulting from the provision of services | ||||
| V. Outcome of the risk analysis | V. Outcome of the risk analysis | V. Outcome of the risk analysis | V. Outcome of the risk analysis | V. Outcome of the risk analysis |
| Access would affect the risk profile of the CSD | YES | YES | NO | NO |
| Access would affect the smooth and orderly functioning of the financial markets | YES | YES | NO | NO |
| Access would cause systemic risk | YES | YES | NO | NO |
| In case of refusal of access, a summary of the reasons for such a refusal | ||||
| Deadline for complaint by the requesting party to the competent authority of the receiving CSD | ||||
| Access granted | NO | NO | NO | NO |
| VI. Identification of authorities | VI. Identification of authorities | VI. Identification of authorities | VI. Identification of authorities | VI. Identification of authorities |
| Name and contact details of the competent authority of the receiving CSD | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | Name | Function | Phone | |
| VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents |
Table 4
Template for the refusal of access to the transaction feeds of a CCP or a trading venue
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: receiving party | ||||
| Addressee: requesting CSD | ||||
| Date of request for access | ||||
| Reference number given by the requesting CSD | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| II. Identification of the receiving party | II. Identification of the receiving party | II. Identification of the receiving party | II. Identification of the receiving party | II. Identification of the receiving party |
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address) | ||||
| III. Identification of the requesting CSD | III. Identification of the requesting CSD | III. Identification of the requesting CSD | III. Identification of the requesting CSD | III. Identification of the requesting CSD |
| Corporate name of the requesting CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| IV. Risk analysis of the request for access | IV. Risk analysis of the request for access | IV. Risk analysis of the request for access | IV. Risk analysis of the request for access | IV. Risk analysis of the request for access |
| Risks resulting from the provision of services | ||||
| V. Outcome of the risk analysis | V. Outcome of the risk analysis | V. Outcome of the risk analysis | V. Outcome of the risk analysis | V. Outcome of the risk analysis |
| Access would affect the smooth and orderly functioning of the financial markets | YES | YES | NO | NO |
| Access would cause systemic risk | YES | YES | NO | NO |
| A summary of the reasons for such a refusal | ||||
| Deadline for complaint by the requesting CSD to the competent authority of the receiving party | ||||
| Access granted | NO | NO | NO | NO |
| VI. Identification of authorities | VI. Identification of authorities | VI. Identification of authorities | VI. Identification of authorities | VI. Identification of authorities |
| Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address) | Name | Function | Phone | |
| VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents |
Table 5
Template for the complaint for refusal of access to a CSD
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: requesting party | ||||
| Addressee: competent authority of receiving CSD | ||||
| Date of request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of request for access | ||||
| Reference number given by the receiving CSD | ||||
| II. Identification of the requesting party | II. Identification of the requesting party | II. Identification of the requesting party | II. Identification of the requesting party | II. Identification of the requesting party |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| III. Identification of the receiving CSD | III. Identification of the receiving CSD | III. Identification of the receiving CSD | III. Identification of the receiving CSD | III. Identification of the receiving CSD |
| Corporate name of the receiving CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access | IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access | IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access | IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access | IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access |
| Comments of the requesting party on the legal risks resulting from the provision of services | ||||
| Comments of the requesting party on the financial risks resulting from the provision of services | ||||
| Comments of the requesting party on the operational risks resulting from the provision of services | ||||
| Comments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities. | ||||
| Comments of the requesting party on the reasons of the receiving party for refusal of access | ||||
| Any relevant additional information | ||||
| V. Annexes | V. Annexes | V. Annexes | V. Annexes | V. Annexes |
| Copy of the initial application for access submitted by the requesting party to the receiving CSD | Copy of the initial application for access submitted by the requesting party to the receiving CSD | Copy of the initial application for access submitted by the requesting party to the receiving CSD | Copy of the initial application for access submitted by the requesting party to the receiving CSD | Copy of the initial application for access submitted by the requesting party to the receiving CSD |
| Copy of the response of the receiving CSD to the initial request for access | Copy of the response of the receiving CSD to the initial request for access | Copy of the response of the receiving CSD to the initial request for access | Copy of the response of the receiving CSD to the initial request for access | Copy of the response of the receiving CSD to the initial request for access |
| VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents |
Table 6
Template for the complaint for refusal of access to the transaction feeds of a CCP or a trading venue
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: requesting CSD | ||||
| Addressee: competent authority of receiving party | ||||
| Date of request for access | ||||
| Reference number given by the requesting CSD | ||||
| Date of receipt of request for access | ||||
| Reference number given by the receiving party | ||||
| II. Identification of the requesting CSD | II. Identification of the requesting CSD | II. Identification of the requesting CSD | II. Identification of the requesting CSD | II. Identification of the requesting CSD |
| Corporate name of requesting CSD | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| III. Identification of the receiving party | III. Identification of the receiving party | III. Identification of the receiving party | III. Identification of the receiving party | III. Identification of the receiving party |
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access | IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access | IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access | IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access | IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access |
| Comments of the requesting CSD on the risks resulting from the provision of services | ||||
| Comments of the requesting CSD on the reasons of the receiving party for refusal of access | ||||
| Any relevant additional information | ||||
| V. Annexes | V. Annexes | V. Annexes | V. Annexes | V. Annexes |
| Copy of the initial application for access submitted by the requesting CSD to the receiving party | Copy of the initial application for access submitted by the requesting CSD to the receiving party | Copy of the initial application for access submitted by the requesting CSD to the receiving party | Copy of the initial application for access submitted by the requesting CSD to the receiving party | Copy of the initial application for access submitted by the requesting CSD to the receiving party |
| Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access |
| VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents | VI. Any other relevant information and/or documents |
Table 7
Template for the consultation of other authorities on the assessment of refusal of access or for referral to ESMA
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: competent authority of the receiving party | ||||
| Addressee: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (e) ESMA (in case of referral to ESMA) | ||||
| Date of the request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Date of receipt of refusal of access complaint | ||||
| Reference number given by the competent authority of the receiving party | ||||
| II. Identification of authorities | II. Identification of authorities | II. Identification of authorities | II. Identification of authorities | II. Identification of authorities |
| Name and contact details of the competent authority of the receiving party | Name | Function | Phone | |
| Where applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | Name | Function | Phone | |
| III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address) | ||||
| IV. Identification of the receiving party | IV. Identification of the receiving party | IV. Identification of the receiving party | IV. Identification of the receiving party | IV. Identification of the receiving party |
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party |
| Comments of the competent authority concerning: (a) the reasons of the receiving party for refusal of access, and (b) the arguments of the requesting party | ||||
| Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | ||||
| Refusal to grant access is deemed unjustified | YES | YES | NO | NO |
| Reasons provided by the competent authority of the receiving party in support of its assessment | ||||
| VI. Annexes | VI. Annexes | VI. Annexes | VI. Annexes | VI. Annexes |
| Copy of the initial application for access submitted by the requesting party to the receiving party | Copy of the initial application for access submitted by the requesting party to the receiving party | Copy of the initial application for access submitted by the requesting party to the receiving party | Copy of the initial application for access submitted by the requesting party to the receiving party | Copy of the initial application for access submitted by the requesting party to the receiving party |
| Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access | Copy of the response of the receiving party to the initial request for access |
| Copy of the complaint from the requesting party regarding the refusal of access | Copy of the complaint from the requesting party regarding the refusal of access | Copy of the complaint from the requesting party regarding the refusal of access | Copy of the complaint from the requesting party regarding the refusal of access | Copy of the complaint from the requesting party regarding the refusal of access |
| VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents | VII. Any other relevant information and/or documents |
Table 8
Template for the response to the consultation by the competent authority or other authorities on the assessment of refusal of access, and for referral to ESMA
| I. General information | I. General information | I. General information | I. General information | I. General information |
| Sender: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014. | ||||
| Addressee: (a) competent authority of the receiving party; or (b) ESMA | ||||
| Date of the request for access | ||||
| Reference number given by the requesting party | ||||
| Date of receipt of the request for access | ||||
| Reference number given by the receiving party | ||||
| Date of receipt of the complaint for refusal of access | ||||
| Reference number given by the competent authority of the receiving party | ||||
| Date of receipt of the assessment provided by the competent authority to the receiving party | ||||
| Reference number given by the competent authority of the requesting party | ||||
| II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party | II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party | II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party | II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party | II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party |
| Name and contact details of: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014. | Name | Function | Phone | |
| III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party | III. Identification of the requesting party |
| Corporate name of requesting party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the request for access (name, function, phone number, email address) | ||||
| IV. Identification of the receiving party | IV. Identification of the receiving party | IV. Identification of the receiving party | IV. Identification of the receiving party | IV. Identification of the receiving party |
| Corporate name of receiving party | ||||
| Country of origin | ||||
| Legal address | ||||
| LEI | ||||
| Name and contact details of the person responsible for the assessment of the request for access | Name | Function | Phone | |
| V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party | V. Assessment by the competent authority of the receiving party |
| Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the competent authority of the receiving party in support of its assessment. | ||||
| Refusal to grant access is deemed unjustified | YES | YES | NO | NO |
| Reasons provided by the authority in support of its assessment | ||||
| VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 | VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 |
| Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the competent authority of the receiving party in support of its assessment. | ||||
| Refusal to grant access is deemed unjustified | YES | YES | NO | NO |
| Reasons provided by the authority in support of its assessment | ||||
| VII. Annexes | VII. Annexes | VII. Annexes | VII. Annexes | VII. Annexes |
| Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I | Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I | Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I | Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I | Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I |
| Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II | Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II | Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II | Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II | Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II |
| VIII. Any other relevant information and/or documents | VIII. Any other relevant information and/or documents | VIII. Any other relevant information and/or documents | VIII. Any other relevant information and/or documents | VIII. Any other relevant information and/or documents |
Table 9
Template for the response to the complaint for refusal of access
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