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Commission Implementing Regulation (EU) 2019/912 of 28 May 2019 amending Implementing Regulation (EU) No 650/2014 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.)

Type Implementing Regulation
Publication 2019-06-05
State In force
Text As published
Department European Commission, FISMA
Source EUR-Lex
articles 2

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.

Reform history JSON API
Credit risk data Credit risk data Credit risk data Reference to COREP template data
Credit institutions: Own funds requirements for credit risk Credit institutions: Own funds requirements for credit risk Credit institutions: Own funds requirements for credit risk
010 Credit institutions: own funds requirements for credit risk % of total own funds requirements 26 % of total own funds requirements 26 CA2 (row 040) / (row 010) [Value]
020 Credit institutions: breakdown by approach % based on the total number of credit institutions 27 Standardised Approach (SA) [Value]
030 Credit institutions: breakdown by approach % based on the total number of credit institutions 27 IRB approach when neither own estimates of Loss Given Default nor conversion factors are used [Value]
040 Credit institutions: breakdown by approach % based on the total number of credit institutions 27 IRB approach when own estimates of Loss Given Default and/or conversion factors are used [Value]
050 Credit institutions: breakdown by approach % based on total own funds requirements for credit risk SA CA2 (row 050) / (row 040) [Value]
060 Credit institutions: 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 010, col 260) / CA2 (row 040) [Value]
070 Credit institutions: 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 010, col 260) / CA2 (row 040) [Value]
080 Credit institutions: 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 250 / row 240) [Value]
090 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Central governments and central banks CA2 (row 260 / row 240) [Value]
100 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Institutions CA2 (row 270 / row 240) [Value]
110 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Corporates - SME CA2 (row 280 / row 240) [Value]
120 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Corporates - Specialised Lending CA2 (row 290 / row 240) [Value]
130 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Corporates - Other CA2 (row 300 / row 240) [Value]
140 Credit institutions: 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 310 / row 240) [Value]
150 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Central governments and central banks CA2 (row 320 / row 240) [Value]
160 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Institutions CA2 (row 330 / row 240) [Value]
170 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Corporates - SME CA2 (row 340 / row 240) [Value]
180 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Corporates - Specialised Lending CA2 (row 350 / row 240) [Value]
190 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Corporates - Other CA2 (row 360 / row 240) [Value]
200 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Retail - Secured by real estate SME CA2 (row 370 / row 240) [Value]
210 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Retail - Secured by real estate non-SME CA2 (row 380 / row 240) [Value]
220 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Retail - Qualifying revolving CA2 (row 390 / row 240) [Value]
230 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Retail - Other SME CA2 (row 400 / row 240) [Value]
240 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Retail - Other non-SME CA2 (row 410 / row 240) [Value]
250 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Equity IRB CA2 (row 420 / row 240) [Value]
260 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Securitisation positions IRB CA2 (row 430 / row 240) [Value]
270 Credit institutions: breakdown by IRB exposure class % based on total IRB risk weighted exposure amount Other non credit-obligation assets CA2 (row 450 / row 240) [Value]
Credit risk data Credit risk data Credit risk data Reference to COREP template data
280 Credit institutions: Own funds requirements for credit risk Credit institutions: Own funds requirements for credit risk Credit institutions: Own funds requirements for credit risk
290 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Central governments or central banks CA2 (row 070 / row 050) [Value]
300 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Regional governments or local authorities CA2 (row 080 / row 050) [Value]
310 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Public sector entities CA2 (row 090 / row 050) [Value]
320 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Multilateral Development Banks CA2 (row 100 / row 050) [Value]
330 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount International Organisations CA2 (row 110 / row 050) [Value]
340 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Institutions CA2 (row 120 / row 050) [Value]
350 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Corporates CA2 (row 130 / row 050) [Value]
360 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Retail CA2 (row 140 / row 050) [Value]
370 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Secured by mortgages on immovable property CA2 (row 150 / row 050) [Value]
380 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Exposures in default CA2 (row 160 / row 050) [Value]
390 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Items associated with particular high risk CA2 (row 170 / row 050) [Value]
400 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Covered bonds CA2 (row 180 / row 050) [Value]
410 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Claims on institutions and corporates with a short-term credit assessment CA2 (row 190 / row 050) [Value]
420 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Collective investment undertakings CA2 (row 200 / row 050) [Value]
430 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Equity CA2 (row 210 / row 050) [Value]
440 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Other items CA2 (row 211 / row 050) [Value]
450 Credit institutions: breakdown by SA exposure class* % based on total SA risk weighted exposure amount Securitisation positions SA CA2 (row 220 / row 050) [Value]
460 Credit institutions: breakdown by credit risk mitigation (CRM) approach % based on the total number of credit institutions 28 Financial collateral simple method [Value]
470 Credit institutions: breakdown by credit risk mitigation (CRM) approach % based on the total number of credit institutions 28 Financial collateral comprehensive method [Value]
Investment firms: Own funds requirements for credit risk Investment firms: Own funds requirements for credit risk Investment firms: Own funds requirements for credit risk
480 Investment firms: own funds requirements for credit risk % of total own funds requirements 29 % of total own funds requirements 29 CA2 (row 040) / (row 010) [Value]
490 Investment firms: breakdown by approach % based on the total number of investment firms 27 SA [Value]
500 Investment firms: breakdown by approach % based on the total number of investment firms 27 IRB [Value]
510 Investment firms: breakdown by approach % based on total own funds requirements for credit risk 30 SA (CA2 (row 050) / (row 040) [Value]
520 Investment firms: breakdown by approach % based on total own funds requirements for credit risk 30 IRB (CA2 (row 240) / row 040) [Value]
Additional information on securitisation (in MEUR) Additional information on securitisation (in MEUR) Additional information on securitisation (in MEUR) Reference to COREP template data
Credit institutions: originator Credit institutions: originator Credit institutions: originator
530 Total amount of securitisation exposures originated on balance sheet and off-balance sheet Total amount of securitisation exposures originated on balance sheet and off-balance sheet Total amount of securitisation exposures originated on balance sheet and off-balance sheet CR SEC SA (row 030, col 010) + CR SEC IRB (row 030, col 010) [Value]
540 Total amount of securitisation positions retained (securitisation positions - original exposure pre conversion factors) on balance sheet and off-balance sheet Total amount of securitisation positions retained (securitisation positions - original exposure pre conversion factors) on balance sheet and off-balance sheet Total amount of securitisation positions retained (securitisation positions - original exposure pre conversion factors) on balance sheet and off-balance sheet CR SEC SA (row 030, col 050) + CR SEC IRB (row 030, col 050) [Value]
Exposures and losses from lending collateralised by immovable property (MEUR)31 Exposures and losses from lending collateralised by immovable property (MEUR)31 Exposures and losses from lending collateralised by immovable property (MEUR)31 Reference to COREP template data
550 Use of residential property as collateral Sum of exposures secured by residential property 32 Sum of exposures secured by residential property 32 CR IP Losses (row 010, col 050) [Value]
560 Use of residential property as collateral Sum of losses stemming from lending up to the reference percentages 33 Sum of losses stemming from lending up to the reference percentages 33 CR IP Losses (row 010, col 010) [Value]
570 Use of residential property as collateral Of which: immovable property valued with mortgage lending value 34 Of which: immovable property valued with mortgage lending value 34 CR IP Losses (row 010, col 020) [Value]
580 Use of residential property as collateral Sum of overall losses 35 Sum of overall losses 35 CR IP Losses (row 010, col 030) [Value]
590 Use of residential property as collateral Of which: immovable property valued with mortgage lending value 34 Of which: immovable property valued with mortgage lending value 34 CR IP Losses (row 010, col 040) [Value]
600 Use of commercial immovable property as collateral Sum of exposures secured by immovable commercial property 32 Sum of exposures secured by immovable commercial property 32 CR IP Losses (row 020, col 050) [Value]
610 Use of commercial immovable property as collateral Sum of losses stemming from lending up to the reference percentages 33 Sum of losses stemming from lending up to the reference percentages 33 CR IP Losses (row 020, col 010) [Value]
620 Use of commercial immovable property as collateral Of which: immovable property valued with mortgage lending value 34 Of which: immovable property valued with mortgage lending value 34 CR IP Losses (row 020, col 020) [Value]
630 Use of commercial immovable property as collateral Sum of overall losses 35 Sum of overall losses 35 CR IP Losses (row 020, col 030) [Value]
640 Use of commercial immovable property as collateral Of which: immovable property valued with mortgage lending value 34 Of which: immovable property valued with mortgage lending value 34 CR IP Losses (row 020, col 040) [Value]
PART 3
Data on market risk

36 (year XXXX)
Market risk data Market risk data Market risk data Reference to COREP template data
Credit institutions: Own funds requirements for market risk Credit institutions: Own funds requirements for market risk Credit institutions: Own funds requirements for market risk
010 Credit institutions: own funds requirements for market risk % of total own funds requirements 37 % of total own funds requirements 37 CA2 (row 520) / (row 010) [Value]
020 Credit institutions: breakdown by approach % based on the total number of credit institutions 38 Standardised approach [Value]
030 Credit institutions: breakdown by approach % based on the total number of credit institutions 38 Internal models [Value]
040 Credit institutions: breakdown by approach % based on total own funds requirements for market risk Standardised approach CA2 (row 530) / (row 520) [Value]
050 Credit institutions: breakdown by approach % based on total own funds requirements for market risk Internal models CA2 (row 580) / (row 520) [Value]
Investment firms: Own funds requirements for market risk Investment firms: Own funds requirements for market risk Investment firms: Own funds requirements for market risk
060 Investment firms: own funds requirements for market risk % of total own funds requirements 37 % of total own funds requirements 37 CA2 (row 520) / (row 010) [Value]
070 Investment firms: breakdown by approach % based on the total number of investment firms 38 Standardised approach [Value]
080 Investment firms: breakdown by approach % based on the total number of investment firms 38 Internal models [Value]
090 Investment firms: breakdown by approach % based on total own funds requirements for market risk Standardised approach CA2 (row 530) / (row 520) [Value]
100 Investment firms: breakdown by approach % based on total own funds requirements for market risk Internal models CA2 (row 580) / (row 520) [Value]
PART 4
Data on operational risk (year XXXX)
Operational risk data Operational risk data Operational risk data Reference to COREP template data
Credit institutions: Own funds requirements for operational risk Credit institutions: Own funds requirements for operational risk Credit institutions: Own funds requirements for operational risk
010 Credit institutions: own funds requirements for operational risk % of total own funds requirements 39 % of total own funds requirements 39 CA2 (row 590) / (row 010) [Value]
020 Credit institutions: breakdown by approach % based on the total number of credit institutions 40 Basic Indicator Approach (BIA) [Value]
030 Credit institutions: breakdown by approach % based on the total number of credit institutions 40 Standardised Approach (TSA) / Alternative Standardised Approach (ASA) [Value]
040 Credit institutions: breakdown by approach % based on the total number of credit institutions 40 Advanced Measurement Approach (AMA) [Value]
050 Credit institutions: breakdown by approach % based on total own funds requirements for operational risk BIA CA2 (row 600) / (row 590) [Value]
060 Credit institutions: breakdown by approach % based on total own funds requirements for operational risk TSA/ASA CA2 (row 610) / (row 590) [Value]
070 Credit institutions: breakdown by approach % based on total own funds requirements for operational risk AMA CA2 (row 620) / (row 590) [Value]
Credit institutions: Losses due to operational risk Credit institutions: Losses due to operational risk Credit institutions: Losses due to operational risk
080 Credit institutions: total gross loss Total gross loss as % of total gross income 41 Total gross loss as % of total gross income 41 OPR Details (row 920, col 080) / OPR ((sum (row 010 to row 130), col 030) [Value]
Investment firms: Own funds requirements for operational risk Investment firms: Own funds requirements for operational risk Investment firms: Own funds requirements for operational risk
090 Investment firms: own funds requirements for operational risk % of total own funds requirements 39 % of total own funds requirements 39 CA2 (row 590) / (row 010) [Value]
100 Investment firms: breakdown by approach % based on the total number of investment firms 40 BIA [Value]
110 Investment firms: breakdown by approach % based on the total number of investment firms 40 TSA/ASA [Value]
120 Investment firms: breakdown by approach % based on the total number of investment firms 40 AMA [Value]
130 Investment firms: breakdown by approach % based on total own funds requirements for operational risk BIA CA2 (row 600) / (row 590) [Value]
140 Investment firms: breakdown by approach % based on total own funds requirements for operational risk TSA/ASA CA2 (row 610) / (row 590) [Value]
150 Investment firms: breakdown by approach % based on total own funds requirements for operational risk AMA CA2 (row 620) / (row 590) [Value]
Investment firms: Losses due to operational risk Investment firms: Losses due to operational risk Investment firms: Losses due to operational risk
160 Investment firms: total gross loss Total gross loss as % of total gross income 41 Total gross loss as % of total gross income 41 OPR Details (row 920, col 080) / OPR (sum (row 010 to row 130), col 030) [Value]
PART 5
Data on supervisory measures and administrative penalties

42 (year XXXX)
Supervisory measures Supervisory measures data
Credit institutions Credit institutions
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 Supervisory measures data
Investment firms Investment firms
037 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]
038 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]
039 Supervisory measures taken in accordance with Article 102(1)(a) to reinforce governance arrangements and internal capital management [Article 104(1)(b)] [Value]
040 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]
041 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]
042 Supervisory measures taken in accordance with Article 102(1)(a) to restrict/limit business or activities [Article 104(1)(e)] [Value]
043 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]
044 Supervisory measures taken in accordance with Article 102(1)(a) to limit variable remuneration [Article 104(1)(g)] [Value]
045 Supervisory measures taken in accordance with Article 102(1)(a) to strengthen own funds by using net profits [Article 104(1)(h)] [Value]
046 Supervisory measures taken in accordance with Article 102(1)(a) to restrict/prohibit distributions or interest payments [Article 104(1)(i)] [Value]
047 Supervisory measures taken in accordance with Article 102(1)(a) to impose additional or more frequent reporting requirements [Article 104(1)(j)] [Value]
048 Supervisory measures taken in accordance with Article 102(1)(a) to impose specific liquidity requirements [Article 104(1)(k)] [Value]
049 Supervisory measures taken in accordance with Article 102(1)(a) to impose additional disclosure requirements [Article 104(1)(l)] [Value]
050 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]
051 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]
052 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]
053 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]
054 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]
055 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]
056 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]
057 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]
058 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]
059 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]
060 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]
061 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]
062 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]
063 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]
064 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]
Administrative penalties43 Administrative penalties43 data
Credit institutions Credit institutions
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)(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)(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 [Article 67(2)(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 [Article 67(2)(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 [points (e) to (g) of Article 67(2)] [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]
Investment firms Investment firms
078 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]
079 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]
080 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]
081 Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) administrative pecuniary penalties imposed on a legal person [points (c) to (e) of Article 66(2)] [Value]
082 Administrative penalties (for breaches of authorisation/ acquisitions of qualifying holding requirements) suspensions of the voting rights of shareholders [Article 66(2)(f)] [Value]
083 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) [Value]
084 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 66(2) of Directive 2013/36/EU applied: [Value]
085 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)(a)] [Value]
086 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)(b)] [Value]
087 Administrative penalties (for other breaches of requirements imposed by Directive 2013/36/EU or Regulation (EU) No 575/2013) withdrawals of authorisation of investment firms [Article 67(2)(c)] [Value]
088 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 investment firms [Article 67(2)(d)] [Value]
089 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 [points (e) to (g) of Article 67(2)] [Value]
090 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.
PART 6
Data on waivers

44 (year XXXX)
Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Five, Seven and Eight of Regulation (EU) No 575/2013 Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Five, Seven and Eight of Regulation (EU) No 575/2013 Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Five, Seven and Eight of Regulation (EU) No 575/2013
Legal reference in Regulation (EU) No 575/2013 Article 7(1) and (2) (waivers for subsidiaries) 45 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 to Five and Eight of Regulation (EU) No 575/2013 Permission granted to parent institutions to incorporate subsidiaries in the calculation of their prudential requirements set out in Parts Two to Five and Eight of Regulation (EU) No 575/2013 Permission granted to parent institutions to incorporate subsidiaries in the calculation of their prudential requirements set out in Parts Two to Five and Eight of Regulation (EU) No 575/2013
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(1) 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(3) 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 Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013 Exemption from the application on an individual basis of prudential requirements set out in Parts Two to Eight of Regulation (EU) No 575/2013
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]
16

The total assets figure shall be the total assets value of the country for the national competent authorities, only for rows 020 and 030, and for the ECB the total assets value of Significant Institutions for the whole SSM.

17

GDP at market price; suggested source – Eurostat/ECB.

18

EEA countries shall not be included.

19

Number of branches as defined in point (1) of Article 4(1) of CRR. Any number of places of business set up in the same country by a credit institution with headquarters in a third country should be counted as a single branch.

20

Number of subsidiaries as defined in point (16) of Article 4(1) of CRR. Any subsidiary of a subsidiary undertaking shall be regarded as a subsidiary of the parent undertaking, which is at the head of those undertakings.

21

Ratio of Common Equity Tier 1 capital as defined in Article 50 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).

22

Ratio of Additional Tier 1 Capital as defined in Article 61 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).

23

Ratio of Tier 2 Capital as defined in Article 71 of CRR to the own funds as defined in point (118) of Article 4(1) and Article 72 of CRR, expressed in percentage (%).

24

The 8 % of total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR.

25

The ratio of the own funds to the total risk exposure amount as defined in point (c) of Article 92(2) of CRR, expressed in percentage (%).

26

Ratio of the own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR to the total own funds as defined in Articles 92(3), 95, 96 and 98 of CRR.

27

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 %.

28

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 %.

29

Ratio of the own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR to the total own funds as defined in Articles 92(3), 95, 96 and 98 of CRR.

30

The percentage of the own fund requirements of investment firms that apply the SA and IRB approach respectively in relation to the total own fund requirements for credit risk as defined in points (a) and (f) of Article 92(3) of CRR.

31

The amount of the estimated losses shall be reported at the reporting reference date.

32

As defined in points (c) and (f) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1); only for the part of exposure treated as fully and completely secured according to Article 124 (1) of CRR;

33

As defined in points (a) and (d) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1).

34

When the value of the collateral has been calculated as mortgage lending value.

35

As defined in points (b) and (e) of Article 101(1) of CRR, respectively; the market value and mortgage lending value according to points (74) and (76) of Article 4 (1).

36

The template shall include information on all institutions and not only on those with market risk positions.

37

Ratio of the total risk exposure amount for position, foreign exchange and commodities risks as defined in point (i) of point (b), points (i) and (iii) of point (c) of Articles 92(3) of CRR and point (b) of Article 92(4) of CRR to the total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR (in %).

38

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.

39

Ratio of the total risk exposure amount for operational risk as defined in Article 92(3) of CRR to the total risk exposure amount as defined in Articles 92(3), 95, 96 and 98 of CRR (in %).

40

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 some investment firms are not obliged to count operational risk capital charges.

41

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 %).

42

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.

43

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.

44

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’.

45

The number of institutions which have been granted the waiver shall be used as a basis for counting the waivers.

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