LegalizeCommission Implementing Regulation (EU) 2022/1220 of 14 July 2022 laying down implementing technical standards for the application of Directive 2014/65/EU of the European Parliament and of the Council with regard to the format in which branches of third-country firms and competent authorities have to report the information referred to in Article 41(3) and (4) of that Directive (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.
| # | Field | Sub-fields |
|---|---|---|
| 19a | Reporting period | The reporting start date for the calendar year (YYYY-MM-DD) |
| 19b | Reporting period | The reporting end date for the calendar year (YYYY-MM-DD) |
| 20a | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Full corporate name of the branch and Legal Entity Identifier code (LEI) where available |
| 20b | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Address of the branch (to be provided in case of any change to the information previously reported to the competent authority) |
| 20c | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact details of the branch including email address, phone number and website details |
| 20d | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Full legal name of the third-country firm and Legal Entity Identifier (LEI) where available (to be provided in case of any change to the information previously reported to the competent authority) |
| 20e | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Registered address for the head office of the third-country firm (to be provided in case of any change to the information previously reported to the competent authority) |
| 20f | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact details of the third-country firm including email address, phone number, and website details |
| 20g | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Country of the head office of the third-country firm (to be provided in case of any change to the information previously reported to the competent authority) |
| 20h | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Name, address and country of the authority responsible for the supervision of the third-country firm in the third country. When more than one authority is responsible for the supervision of the third-country firm, the details and the respective areas of competence per authority shall be provided (to be provided in case of any change to the information previously reported to the competent authority) |
| 20i | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact person full name |
| 20j | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact person address |
| 20k | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact person phone number |
| 20l | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact person email address |
| 20m | Name and contact details of the third-country firm, including the details of the branch, of the person in charge of submitting the information, of the authorities of the third country responsible for the supervision of the third-country firm | Contact person function/title |
| 21a | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | The list of investment services, investment activities and ancillary services (as specified in Sections A and B of Annex I to Directive 2014/65/EU) provided to eligible counterparties and professional clients within the meaning of Section I of Annex II to Directive 2014/65/EU, in each Member State other than the one where the branch is established |
| 21b | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | The list of categories of financial instruments (as specified in Section C of Annex I to Directive 2014/65/EU) in relation to which such services and activities have been performed |
| 21c | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides portfolio management, the total value of the assets under management for clients in the Member State at the end of the reporting period |
| 21d | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides portfolio management, the average value of the assets under management for clients in the Member State over the reporting period |
| 21e | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides investment advice, the total value of the assets in relation to which that service has been provided to clients in the Member State at the end of the reporting period |
| 21f | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides investment advice, the average value of the assets in relation to which that service has been provided to clients in the Member State over the reporting period |
| 21g | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides the ancillary service of safekeeping and administration on financial instruments for the account of clients or is holding client funds, the total value of the assets (including cash) held by the branch for clients in the Member State at the end of the reporting period |
| 21h | Investment services, investment activities and ancillary services provided by the branch in each Member State other than the one where it is established, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides the ancillary service of safekeeping and administration on financial instruments for the account of clients or is holding client funds, the average value of the assets (including cash) held by the branch for clients in the Member State over the reporting period |
| 22a | Number of clients and counterparties of the branch in Member States other than the one where the branch is established and globally, during the reporting period | The total number of clients and counterparties of the branch in the European Union (excluding the Member State where it is established). |
| 22b | Number of clients and counterparties of the branch in Member States other than the one where the branch is established and globally, during the reporting period | The total number of clients and counterparties of the third-country firm globally |
| 22c | Number of clients and counterparties of the branch in Member States other than the one where the branch is established and globally, during the reporting period | For each Member State other than the Member State where the branch is established and in which the branch provided any investment services, investment activities or ancillary services, the total number of clients and counterparties of the branch in that other Member State, together with: — a breakdown of this number per investment service, investment activity or ancillary service provided in each Member State; and — a breakdown per category of client as set out in Directive 2014/65/EU |
| 23a | Turnover and aggregated value of the assets of the branch in Member States other than the one where the branch is established and of the third-country firm globally, during the reporting period | The turnover of the branch in the Union (not including the Member State where it is established) and the aggregated value of the assets corresponding to the services and activities provided by the third-country firm in the Union (not including the Member State where it is established) |
| 23b | Turnover and aggregated value of the assets of the branch in Member States other than the one where the branch is established and of the third-country firm globally, during the reporting period | The global turnover of the third-country firm |
| 23c | Turnover and aggregated value of the assets of the branch in Member States other than the one where the branch is established and of the third-country firm globally, during the reporting period | For each Member State other than the one where the branch is established and in which the branch provided any investment services, investment activities or ancillary services, the turnover and the aggregated value of the assets corresponding to such investment services, investment activities and ancillary services, together with: — a breakdown per investment service, investment activity or ancillary services provided in the Member State; and — a breakdown per category of client as set out in Directive 2014/65/EU |
| 24a | Where the branch deals on own account, information on the exposure of the third-country firm to counterparties in the Union (not including the Member State where the branch is established), during the reporting period | For each Member State other than the one where the branch is established and in which the branch deals on own account, the monthly minimum, average and maximum exposure to counterparties in that Member State |
| 24b | Where the branch deals on own account, information on the exposure of the third-country firm to counterparties in the Union (not including the Member State where the branch is established), during the reporting period | The monthly minimum, average and maximum exposure to counterparties in the Union (not including the Member State where the branch is established) |
| 25a | Where the branch underwrites financial instruments and/or places financial instruments on a firm commitment basis, information about the value of the financial instruments originating from counterparties in the Union (other than in the Member State where the branch is established) and is underwritten or placed on a firm commitment basis during the reporting period | For each Member State other than the one where the branch is established and in which the branch provides underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis, the total value of financial instruments originating from counterparties in the Member State and underwritten or placed on a firm commitment basis by the branch |
| 25b | Where the branch underwrites financial instruments and/or places financial instruments on a firm commitment basis, information about the value of the financial instruments originating from counterparties in the Union (other than in the Member State where the branch is established) and is underwritten or placed on a firm commitment basis during the reporting period | The total value of financial instruments originating from counterparties in the Union (other than in the Member State where the branch is established) and underwritten or placed on a firm commitment basis by the branch |
| 26 | Information about complaints received by the branch and/or by the third-country firm in relation to the activities of the branch in the Union (other than in the Member State where the branch is established), during the reporting period | The number of complaints received by the branch and/or by the third-country firm in relation to the activities of the branch in Member States other than the one where the branch is established, together with: — a breakdown per Member State; — a breakdown for the five financial instruments generating the highest number of complaints; — a breakdown for the five most frequent topics of the complaints; — the number of complaints handled in the reporting period — the arrangements in place to diligently treat the complaints |
| 27a | Description of the marketing activities of the branch or of the third-country firm in relation to the activities of the branch in the Union (other than in the Member State where the branch is established), during the reporting period | A description of the marketing strategy of the third-country firm used in the Union (other than in the Member State where the branch is established) in relation to the activities of the branch, including details about its geographical scope and the marketing means the third-country firm used (such as any agents, roadshows, telephone calls, websites) |
| 27b | Description of the marketing activities of the branch or of the third-country firm in relation to the activities of the branch in the Union (other than in the Member State where the branch is established), during the reporting period | The list of trading names used by the third-country firm in the Union (other than in the Member State where the branch is established), together with, for each trading name: — the list of Member States in which it is used; — the categories of financial instruments in relation to which it is used; and — the categories of clients in relation to which it is used |
| 27c | Description of the marketing activities of the branch or of the third-country firm in relation to the activities of the branch in the Union (other than in the Member State where the branch is established), during the reporting period | For any agents or similar entities used by the third-country firm in the Union (other than in the Member State where the branch is established) the name of the individual or entity together with the address and contact details |
| 27d | Description of the marketing activities of the branch or of the third-country firm in relation to the activities of the branch in the Union (other than in the Member State where the branch is established), during the reporting period | The list of websites used by the third-country firm in the Union (other than in the Member State where the branch is established), together with, for each website, its URL |
| 28a | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Information and reporting to clients |
| 28a | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of the arrangements of the third-country firm to ensure that it complies with its information and reporting obligations to clients under Articles 24 and 25 of Directive 2014/65/EU and implementing measures for the operations of the branch in the Union (other than in the Member State where the branch is established) |
| 28b | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The language(s) the branch will use with its clients in the Union (other than in the Member State where the branch is established) |
| 28c | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Suitability and appropriateness |
| 28c | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of the arrangements of the third-country firm to ensure that it complies with its obligations to assess suitability or appropriateness, as the case may be, when the branch provides services to clients in the Union (other than in the Member State where the branch is established) |
| 28d | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Best execution |
| 28d | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Where the branch executes orders for its clients in the Union (other than in the Member State where the branch is established), the description of the arrangements to ensure that it executes client orders on terms most favourable to the clients |
| 28e | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Client order handling rules |
| 28e | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of the arrangements of the third-country firm which provide for the prompt, fair and expeditious execution of client orders with a focus on the operations of the branch in the Union (other than in the Member State where the branch is established) |
| 28f | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Product governance arrangements |
| 28f | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Where the third-country firm manufactures and/or distributes financial instruments in the Union (other than in the Member State where the branch is established), description of the product governance arrangements set up by the third-country firm for its operations in the Union. |
| 28g | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The arrangements of the third-country firm to identify, prevent and manage conflicts of interest |
| 28g | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of the measures the third-country firm has put in place to identify and to prevent or manage conflicts of interest that arise in the course of providing investment and ancillary services, including those arising from the remuneration policy of the persons involved in the provision of investment services, investment activities and ancillary services provided in the Union (other than in the Member State where the branch is established) |
| 28h | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The arrangements of the third-country firm to handle complaints |
| 28h | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | A description of the procedure that clients of the third-country firm in the Union (other than in the Member State where the branch is established) need to follow to lodge a complaint |
| 28j | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The department responsible for handling the complaints of clients of the branch |
| 28k | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The language(s) clients must lodge their complaints |
| 28l | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The relevant courts (in case of litigation) referred to in any contractual arrangements between the third-country firm and its clients in the Union (other than in the Member State where the branch is established) |
| 28m | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The alternative dispute resolution entity/ies competent to deal with cross-border disputes involving clients in the Union (other than in the Member State where the branch is established) |
| 28n | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The third-country firm’s membership of an investor compensation scheme |
| 28n | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of the third-country firm’s membership of an investor compensation scheme including whether clients and counterparties of the branch in the Union (other than in the Member State where the branch is established) will be eligible to such scheme, its scope, a description of the eligibility conditions and the amounts and financial instruments covered by the scheme |
| 28o | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The arrangements of the third-country firm to protect and manage client funds and assets |
| 28o | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of safeguarding arrangements for any client fund or client asset in the Union (other than in the Member State where the branch is established) (in particular, where financial instruments and funds are held in a custodian, the name of the custodian, and related contracts) |
| 28p | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | Other arrangements |
| 28p | Description of the investor protection arrangements of the third-country firm available to the clients of the branch in the Union (other than in the Member State where the branch is established), including the rights of those clients resulting from the investor-compensation scheme referred to in Article 39(2), point (f) of Directive 2014/65/EU (to be provided in case of any change to the information previously reported to the competent authority) | The description of any other arrangements that the third-country firm may deem relevant to the provision of services and performance of the activities of the branch in the Union (other than in the Member State where the branch is established) in an honest, fair and professional manner that promotes the interests of clients |
| 29a | Information on the outsourcing arrangements of the third-country firm applicable to the operations of the branch (to be provided in case of any change to the information previously reported to the competent authority) | The list and description of the outsourced functions (or those intended to be outsourced) for the provision of the branch’s investment services and performance of its activities in the Union (other than in the Member State where the branch is established) |
| 29b | Information on the outsourcing arrangements of the third-country firm applicable to the operations of the branch (to be provided in case of any change to the information previously reported to the competent authority) | The description of the resources (in particular, human and technical, and the internal control system) allocated to the control of the outsourced functions, services or activities insofar as they are related to the operations of the branch in the Union (other than in the Member State where the branch is established) |
| 30 | Information on the arrangements (including IT arrangements) set up by the third-country firm applicable to the activities of the branch for algorithmic trading, for high frequency trading and for direct electronic access (to be provided in case of any change to the information previously reported to the competent authority) | Description of any arrangements and resources (in particular human and IT resources) that the third-country firm may have put in place and/or allocated for the activities of its branch in the Union (other than in the Member State where the branch is established) for algorithmic trading, high frequency trading and direct electronic access and for the control of such activities |
| 31 | Any other information considered by the competent authority necessary to enable comprehensive monitoring of the activities of the branch in the Union | Any other information considered by the competent authority necessary to enable comprehensive monitoring of the activities of the branch in the Union |
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