ANNEX VSupplementary provisions
ANNEX V Forms and templates for access procedures (Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014) Table 1 Template for the request to establish a CSD link or for the request for access between a CSD and a CCP or a trading venue I. General information Sender: requesting party Addressee: receiving party Date of request for access Reference number given by the requesting party II. Identification of requesting party Corporate name of requesting party Country of origin Legal address LEI Name and contact details of the person responsible for the request (name, function, phone number, email address) Name Function Phone Email III. Services that form the object of the request Types of services Description of services IV. Identification of authorities Name and contact details of the competent authority of the requesting party Name Function Phone Email Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 Name Function Phone Email V. Any other relevant information and/or documents Table 2 Template for the response granting access following a request to establish a CSD link or a request for access between a CSD and a CCP or a trading venue I. General information Sender: receiving party Addressee: requesting party Date of request for access Reference number given by the requesting party Date of receipt of the request for access Reference number given by the receiving party II. Identification of the receiving CSD Corporate name of receiving party Country of origin Legal address LEI Name and contact details of the person responsible for the assessment of the request (name, function, phone number, email address) Name Function Phone Email III. Identification of the requesting party Corporate name of the requesting party Country of origin Legal address LEI Name and contact details of the person responsible for the request (name, function, phone number, email address) Name Function Phone Email Access granted YES IV. Identification of authorities Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address) Name Function Phone Email Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address) Name Function Phone Email V. Any other relevant information and/or documents Table 3 Template for the refusal of access to a CSD I. General information Sender: receiving CSD Addressee: requesting party Date of request for access Reference number given by the requesting party Date of receipt of the request for access Reference number given by the receiving CSD II. Identification of the receiving CSD Corporate name of receiving CSD Country of origin Legal address LEI Name and contact details of the person responsible for the assessment of the request for access Name Function Phone Email III. Identification of the requesting party Corporate name of the requesting party Country of origin Legal address LEI Name and contact details of the person responsible for the request for access Name Function Phone Email IV. Risk analysis of the request for access Legal risks resulting from the provision of services Financial risks resulting from the provision of services Operational risks resulting from the provision of services V. Outcome of the risk analysis Access would affect the risk profile of the CSD YES NO Access would affect the smooth and orderly functioning of the financial markets YES NO Access would cause systemic risk YES NO In case of refusal of access, a summary of the reasons for such a refusal Deadline for complaint by the requesting party to the competent authority of the receiving CSD Access granted NO VI. Identification of authorities Name and contact details of the competent authority of the receiving CSD Name Function Phone Email Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 Name Function Phone Email VII. Any other relevant information and/or documents Table 4 Template for the refusal of access to the transaction feeds of a CCP or a trading venue I. General information Sender: receiving party Addressee: requesting CSD Date of request for access Reference number given by the requesting CSD Date of receipt of the request for access Reference number given by the receiving party II. Identification of the receiving party Corporate name of receiving party Country of origin Legal address LEI Name and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address) III. Identification of the requesting CSD Corporate name of the requesting CSD Country of origin Legal address LEI Name and contact details of the person responsible for the request for access (name, function, phone number, email address) IV. Risk analysis of the request for access Risks resulting from the provision of services V. Outcome of the risk analysis Access would affect the smooth and orderly functioning of the financial markets YES NO Access would cause systemic risk YES NO A summary of the reasons for such a refusal Deadline for complaint by the requesting CSD to the competent authority of the receiving party Access granted NO VI. Identification of authorities Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address) Name Function Phone Email Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address) Name Function Phone Email VII. Any other relevant information and/or documents Table 5 Template for the complaint for refusal of access to a CSD I. General information Sender: requesting party Addressee: competent authority of receiving CSD Date of request for access Reference number given by the requesting party Date of receipt of request for access Reference number given by the receiving CSD II. Identification of the requesting party Corporate name of requesting party Country of origin Legal address LEI Name and contact details of the person responsible for the request for access (name, function, phone number, email address) III. Identification of the receiving CSD Corporate name of the receiving CSD Country of origin Legal address Name and contact details of the person responsible for the assessment of the request for access Name Function Phone Email IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access Comments of the requesting party on the legal risks resulting from the provision of services Comments of the requesting party on the financial risks resulting from the provision of services Comments of the requesting party on the operational risks resulting from the provision of services Comments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities. Comments of the requesting party on the reasons of the receiving party for refusal of access Any relevant additional information V. Annexes Copy of the initial application for access submitted by the requesting party to the receiving CSD Copy of the response of the receiving CSD to the initial request for access VI. Any other relevant information and/or documents Table 6 Template for the complaint for refusal of access to the transaction feeds of a CCP or a trading venue I. General information Sender: requesting CSD Addressee: competent authority of receiving party Date of request for access Reference number given by the requesting CSD Date of receipt of request for access Reference number given by the receiving party II. Identification of the requesting CSD Corporate name of requesting CSD Country of origin Legal address LEI Name and contact details of the person responsible for the request for access (name, function, phone number, email address) III. Identification of the receiving party Corporate name of receiving party Country of origin Legal address Name and contact details of the person responsible for the assessment of the request for access Name Function Phone Email IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access Comments of the requesting CSD on the risks resulting from the provision of services Comments of the requesting CSD on the reasons of the receiving party for refusal of access Any relevant additional information V. Annexes Copy of the initial application for access submitted by the requesting CSD to the receiving party Copy of the response of the receiving party to the initial request for access VI. Any other relevant information and/or documents Table 7 Template for the consultation of other authorities on the assessment of refusal of access or for referral to ESMA I. General information Sender: competent authority of the receiving party Addressee: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (e) ESMA (in case of referral to ESMA) Date of the request for access Reference number given by the requesting party Date of receipt of the request for access Reference number given by the receiving party Date of receipt of refusal of access complaint Reference number given by the competent authority of the receiving party II. Identification of authorities Name and contact details of the competent authority of the receiving party Name Function Phone Email Where applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 Name Function Phone Email III. Identification of the requesting party Corporate name of requesting party Country of origin Legal address LEI Name and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address) IV. Identification of the receiving party Corporate name of receiving party Country of origin Legal address LEI Name and contact details of the person responsible for the assessment of the request for access Name Function Phone Email V. Assessment by the competent authority of the receiving party Comments of the competent authority concerning: (a) the reasons of the receiving party for refusal of access, and (b) the arguments of the requesting party Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 Refusal to grant access is deemed unjustified YES NO Reasons provided by the competent authority of the receiving party in support of its assessment VI. Annexes Copy of the initial application for access submitted by the requesting party to the receiving party Copy of the response of the receiving party to the initial request for access Copy of the complaint from the requesting party regarding the refusal of access VII. Any other relevant information and/or documents Table 8 Template for the response to the consultation by the competent authority or other authorities on the assessment of refusal of access, and for referral to ESMA I. General information Sender: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014. Addressee: (a) competent authority of the receiving party; or (b) ESMA Date of the request for access Reference number given by the requesting party Date of receipt of the request for access Reference number given by the receiving party Date of receipt of the complaint for refusal of access Reference number given by the competent authority of the receiving party Date of receipt of the assessment provided by the competent authority to the receiving party Reference number given by the competent authority of the requesting party II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party Name and contact details of: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014. Name Function Phone Email III. Identification of the requesting party Corporate name of requesting party Country of origin Legal address LEI Name and contact details of the person responsible for the request for access (name, function, phone number, email address) IV. Identification of the receiving party Corporate name of receiving party Country of origin Legal address LEI Name and contact details of the person responsible for the assessment of the request for access Name Function Phone Email V. Assessment by the competent authority of the receiving party Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the competent authority of the receiving party in support of its assessment. Refusal to grant access is deemed unjustified YES NO Reasons provided by the authority in support of its assessment VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the competent authority of the receiving party in support of its assessment. Refusal to grant access is deemed unjustified YES NO Reasons provided by the authority in support of its assessment VII. Annexes Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II VIII. Any other relevant information and/or documents Table 9 Template for the response to the complaint for refusal of access I. General information Sender: competent authority of the receiving party Addressees: (a) requesting party; (b) receiving party; (c) the competent authority of the place of establishment of the requesting participant; or (d) the competent authority of the place of establishment of the requesting issuer; or (e) in case of CSD links, the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (f) in case of access by a trading venue or a CCP, the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014. Date of the request for access Reference number given by the requesting party Date of receipt of the request for access Reference number given by the receiving party Date of receipt of the complaint for refusal of access Reference number given by the competent authority of the receiving party Date of receipt of the assessment by the competent authority of the requesting party and, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 Reference number given by the competent authority of the requesting party or, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 II. Identification of the authority submitting the response to the complaint concerning a refusal of access Name and contact details of the competent authority of the receiving party Name Function Phone Email III. Identification of the requesting party Corporate name of requesting party Country of origin Legal address LEI Name and contact details of the person responsible for the request for access (name, function, phone number, email address) IV. Identification of receiving party Corporate name of receiving party Country of origin Legal address LEI Name and contact details of the person responsible for the assessment of the request for access Name Function Phone Email V. Assessment by the competent authority of the receiving party Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the authority of the requesting party in support of its assessment. Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the authority of the requesting party in support of its assessment. Refusal to grant access is deemed unjustified YES NO Reasons provided by the competent authority of the receiving party in support of its assessment VI. Order requiring the receiving party to grant access to the requesting party When the refusal to grant access is deemed unjustified, a copy of the order requiring the receiving party to grant access to the requesting party, including the applicable deadline for compliance. VII. Any other relevant information and/or documents