Reporting procedures
1. Competent authorities shall transmit the information on national prudential provisions to EIOPA for the first time within six months from the entry into force of this Regulation and then annually, by 30 June of each calendar year subsequent to the year in which that six month period ends.
2. The first transmission shall relate to national prudential provisions which are in force on the date this Regulation enters into force. The annual transmissions shall relate to national prudential provisions which are in force on 1 March of the relevant calendar year.
3. Competent authorities may transmit updated information on their national prudential provisions to EIOPA at any time on a voluntary basis.
Reporting format and templates
1. Where competent authorities report and update their national prudential provisions, they shall use the template provided in the Annex indicating the following:
(a)
the name of the competent authority, the name of the Member State and the date of transmission to EIOPA;
(b)
whether it is a first, a voluntary or an annual transmission;
(c)
whether the transmission relates to insurance undertakings as referred to in Article 4 of Directive 2003/41/EC and the type of that insurance undertaking;
(d)
whether there is more than one structural type of institution for occupational retirement provision in the Member State and if so, the names of the structural types and the national prudential provisions applicable to them;
(e)
whether the reported provisions apply to different territories within a Member State and if so, the territorial scope of those reported provisions;
(f)
references to the respective official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable;
(g)
a hyperlink to the relevant section of the website containing the full text of the acts and other relevant instruments, where available.
2. Where in a Member State there are national prudential provisions which are not covered by the template list set out in the Annex, the relevant competent authority shall indicate those provisions in the category ‘Other’ in the template.
3. Competent authorities shall submit completed templates to EIOPA in electronic format.
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
ANNEXSupplementary provisions
ANNEX
Template regarding the national provisions of prudential nature relevant to the field of occupational pension schemes
Name of a competent authority
Name of a Member State
Date of transmission to EIOPA
Report relates to business of occupational retirement provision of insurance undertakings as referred to in Article 2(1)(c)
(please mark x)
Yes
There is more than one structural type of institutions for occupational retirement provision in our jurisdiction as referred to in Article 2(1)(d)
(please mark x)
Yes
No
No
If yes, please provide the type of the insurance undertaking as referred to in the national legislation:
If yes, please provide their names and make clear if different national prudential provisions apply to different structural types of institutions for occupational retirement provision.
Type of a report
(please mark x)
a)
first transmission — Article 1(1) and Article 1(2)
Different territorial extent of the reported provisions as referred to in Article 2(1)(e)
(please mark x)
Yes
b)
voluntary transmission — Article 1(3)
No
c)
annual transmission — Article 1(1)
If yes, please indicate the territorial scope of each of the reported provisions.
Code
Item
Corresponding provisions in Directive 2003/41/EC
10
Activities of an institution
Article 7
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
20
Legal separation between sponsoring undertakings and institutions for occupational retirement provision
Article 8
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
30
Conditions of operation
Article 9
31
Article 9(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
32
Article 9(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
33
Article 9(3)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
34
Article 9(4)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
35
Article 9(5)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
40
Annual accounts and annual reports
Article 10
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
50
Statement of investment policy principles
Article 12
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
60
Information to be provided to the competent authorities
Article 13
61
Article 13(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
62
Article 13(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
70
Powers of intervention and duties of the competent authorities
Article 14
71
Article 14(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
72
Article 14(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
73
Article 14(3)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
74
Article 14(4)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
75
Article 14(5)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
80
Technical provisions
Article 15
81
Article 15(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
82
Article 15(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
83
Article 15(3)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
84
Article 15(4)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
85
Article 15(5)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
86
Article 15(6)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
90
Funding of technical provisions
Article 16
91
Article 16(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
92
Article 16(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
93
Article 16(3)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
100
Regulatory own funds
Article 17
101
Article 17(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
102
Article 17(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
103
Article 17(3)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
110
Investment rules
Article 18
111
Article 18(1)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
112
Article 18(2)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
113
Article 18(3)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
114
Article 18(4)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
115
Article 18(5)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
116
Article 18(6)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
117
Article 18(7)
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
120
Management and custody
Article 19
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
Other as referred to in Article 2(2)
National prudential provisions that are not covered by the above list.
Official names and numbers of the acts and other relevant instruments, including the title and number of any relevant Sections or Articles, if applicable:
Hyperlink(s) to the full text of the national legislation:
