ANNEX IIISupplementary provisions
ANNEX III Counterparty reference data Tables 2 and 3 specify the reporting requirements for each data attribute in the counterparty reference data described in Template 1 of Annex I. Table 2 specifies the requirements for counterparties resident in a reporting Member State while Table 3 specifies the requirements for counterparties not resident in a reporting Member State. The following classification of requirements is used: (a) N : subject to individual arrangements, the relevant NCBs may decide not to collect this information from individual reporting agents; (b) X : information not required to be reported. Where no classification is provided, the information is required to be reported. Where data is covered by more than one description in Table 2 or 3, the most onerous reporting requirement must apply. Table 2 Specific counterparty reference data reporting requirements for counterparties resident in a reporting Member State 1. Reporting agent 2. Observed agent 3. Creditor 4. Debtor — All instruments originated prior to 1 September 2018 5. Debtor — At least one instrument originated at or after 1 September 2018 6. Protection provider 7. Head office undertaking 8. Immediate parent undertaking 9. Ultimate parent undertaking 10. Originator 11. Servicer Counterparty reference data Counterparty identifier Legal Entity Identifier (LEI) N N N N N N N N N National identifier N N N N N N N N N Head office undertaking identifier X X X N N X X X X X Immediate parent undertaking identifier X X X N N X X X X X Ultimate parent undertaking identifier X X X N N X X X X X Name Address: street N Address: city/town/village N Address: county/administrative division N Address: postal code N Address: country N Legal form N Institutional sector N Economic activity X X N N N N Status of legal proceedings X X X N N N N N N N Date of initiation of legal proceedings X X X N N N N N N N Enterprise size X X X N N N N N N N Date of enterprise size X X X N N N N N N N Number of employees X X X N N N N N N X Balance sheet total X X X N N N N N N X Annual turnover X X X N N N N N N X Accounting standard X X X X X X X X X X Table 3 Specific counterparty reference data reporting requirements for counterparties not resident in a reporting Member State 1. Reporting agent 2. Observed agent 3. Creditor 4. Debtor — All instruments originated prior to 1 September 2018 5. Debtor — At least one instrument originated at or after 1 September 2018 6. Protection provider 7. Head office undertaking 8. Immediate parent undertaking 9. Ultimate parent undertaking of the debtor 10. Originator 11. Servicer Counterparty reference data Counterparty identifier NA Legal Entity Identifier (LEI) NA N N N N N N N N N National identifier NA N N N N N N N N N N Head office undertaking identifier NA X X X X X X X X X X Immediate parent undertaking identifier NA X X X X X X X X X X Ultimate parent undertaking identifier NA X X X X X X X X X X Name NA Address: street NA N Address: city/town/village NA N Address: county/administrative division NA X X X X X X X X X X Address: postal code NA N Address: country NA N Legal form NA N Institutional sector NA N Economic activity NA X N N N N N N N N N Status of legal proceedings NA X X X N N X X X X X Date of initiation of legal proceedings NA X X X N N X X X X X Enterprise size NA X X X N N X X X X X Date of enterprise size NA X X X X X X X X X X Number of employees NA X X X X X X X X X X Balance sheet total NA X X X X X X X X X X Annual turnover NA X X X X X X X X X X Accounting standard NA X X X X X X X X X X