Commission Implementing Regulation (EU) 2020/1228 of 29 November 2019 laying down implementing technical standards with regard to the format of applications for registration as a securitisation repository or for extension of a registration of a trade repository pursuant to Regulation (EU) 2017/2402 of the European Parliament and of the Council (Text with EEA relevance)
Format of the application for registration and extension of registration
(1) Applicants for registration as a securitisation repository under Article 10(5)(a) of Regulation (EU) 2017/2402 shall complete the formats set out in Annex 1 to this Regulation.
(2) Trade repositories applying for an extension of registration under Article 10(5)(b) of Regulation (EU) 2017/2402 shall complete the formats set out in Annex 2 to this Regulation.
(3) For the purposes of paragraphs 1 and 2, the applications shall be submitted:
(a)
in a durable medium as defined in Article 2(1)(m) of Directive 2009/65/EC of the European Parliament and of the Council ( 4 ) ;
(b)
with a unique reference number assigned to each document included in the application.
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 .
Supplementary provisions
Formats for an application for registration as a securitisation repository
ANNEX ISupplementary provisions
ANNEX I
Formats for an application for registration as a securitisation repository
Table 1
General information
Date of application
Corporate name of securitisation repository
Place of incorporation and scope of business activity
Legal entity identifier (LEI) registered with the Global Legal Entity Identifier Foundation
Legal address of the securitisation repository
Legal address of any subsidiaries of the securitisation repository
Legal address of any branches of the securitisation repository
Uniform resource locator (URL) of the securitisation repository’s website
The securitisation types, risk transfer methods and underlying exposure types for which the applicant repository is applying to be registered
If the applicant is authorised or registered by a competent authority in the Member State where it is established, the name of the authority and any reference number related to the authorisation or registration
Name of the person(s) responsible for the application
Contact details of the person(s) responsible for the application
Name of person(s) responsible for the securitisation repository compliance (or any other staff involved in compliance assessments for the securitisation repository)
Contact details of the person(s) responsible for the securitisation repository compliance, or any other staff involved in compliance assessments for the securitisation repository, in relation to its provision of core securitisation services
Name of any parent undertaking
LEI registered with the Global Legal Entity Identifier Foundation of any parent undertaking
Legal address of any parent undertaking
Name of the responsible supervisory authority for any parent undertaking
Reference number of the responsible supervisory authority for any parent undertaking
Name of any ultimate parent undertaking
LEI registered with the Global Legal Entity Identifier Foundation of any ultimate parent undertaking
Legal address of any ultimate parent undertaking
Name of the responsible supervisory authority for any ultimate parent undertaking
Reference number of the responsible supervisory authority for any ultimate parent undertaking
Table 2
Document references
( 1 )
Provision of Commission Delegated Regulation (EU) 2020/1230 containing the information requirement to which the document relates
Unique reference number of document
Title of the document
Chapter or section or page of the document where the information is provided or reason why the information is not provided
( 1 ) For all information required in Commission Delegated Regulation (EU) 2020/1230 with the exception of points (a) to (c), (e), (f), (h) and (i) of Article 2(2) and Article 7(2) thereof.
Formats for an application of a trade repository for extension of registration
ANNEX IISupplementary provisions
ANNEX II
Formats for an application of a trade repository for extension of registration
Table 1
General information
Date of application
Date of registration of the applicant as a trade repository
Corporate name of securitisation repository
Legal entity identifier (LEI) registered with the Global Legal Entity Identifier Foundation
Legal address of the securitisation repository
Legal address of any subsidiaries of the securitisation repository
Legal address of any branches of the securitisation repository
Uniform resource locator (URL) of the securitisation repository’s website
Legal Entity Identifier (LEI) registered with the Global Legal Entity Identifier Foundation
The securitisation types, risk transfer methods and underlying exposure types for which the applicant repository is applying to be registered
If the applicant is authorised or registered by a competent authority in the Member State where it is established, the name of the authority and any reference number related to the authorisation or registration
Name of the person(s) responsible for the application
Contact details of the person(s) responsible for the application
Name of person(s) responsible for the securitisation repository compliance, or any other staff involved in compliance assessments for the securitisation repository, in relation to its provision of core securitisation services
Contact details of the person(s) responsible for the securitisation repository compliance (or any other staff involved in compliance assessments for the securitisation repository)
Table 2
Document references
( 1 )
Provision of Commission Delegated Regulation (EU) 2020/1230 containing the information requirement to which the document relates
Unique reference number of document
Title of the document
Chapter or section or page of the document where the information is provided or reason why the information is not provided
( 1 ) For all information required in Commission Delegated Regulation (EU) 2020/1230 with the exception of points (a) to (c), (e), (f), (h) and (i) of Article 2(2) and Article 7(2) thereof.
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