Indicative template for information sharing in case of an event of adverse material effect on the risk profile
Annex DSupplementary provisions
Annex D Indicative template for information sharing in case of an event of adverse material effect on the risk profile — Make reference to the agreement between the consolidating supervisor and the members of the supervisory college on the identification of the information, that should be shared for the purpose of Article 18 of Delegated Regulation (EU) 2025/791 and Article 12 of Implementing Regulation (EU) 2025/790 on the functioning of supervisory colleges if an event of adverse material impact on the risk profile of the group and its entities materialise. — On the basis of the indicative template hereunder, identify the set of information to be exchanged, taking into account the specificities of the group and the optional information provided in the template below. Type of information Description Information on the event 1 The event, which has the potential to cause an adverse material effect on the risk profile and which warrants close supervisory monitoring Nature and description of the event, including its severity. Does the event effect only the group/entity/group entities, or it affects more entities in a Member State/in the EU? 2 Financial market impact of the event If the event affects more entities in a Member State/in the EU, a brief description of how the event affects the financial markets in these jurisdictions. 3 Systemic impact of the event Does the event have a potential to develop a systemic impact in a Member State/in the EU? Information on the impacted institutions 4 Impacted entity Name 5 Competent Authority The supervisor of the impacted entity 6 Type of the institution — Institution, including a parent institution or a subsidiary, a financial holding company or a mixed financial holding company, — Branch 7 Importance of the impacted entity — Importance of the entity for the Member State where it is authorised or approved, and — importance of the entity for the group 8 Key implications of the event of adverse material effect on the entity Direct and indirect implications of the event on the entity’s: — ability to operate in severe business disruption, including availability of outsourced services, — available own funds and liquidity position, including funding concentrations, — asset quality, including any risk concentrations, — profitability and balance sheet, — business model and strategy, — internal governance arrangements, with actual or foreseen qualitative and quantitative information. 9 For the purpose of Item 8 (Key implications) the following indicators are used From the agreed list of indicators included in Annex C, list the ones that are shared if an event materialises (this does not prevent supervisors sharing further indicators) 10 Vulnerabilities of the institution exacerbating the event Details of vulnerabilities, that may exacerbate the effects of the event (e.g. vulnerabilities of the IT systems, booking models, cross-border presence, legal or regulatory issues) 11 Intra-group contagion — Material intragroup exposures towards the entity impacted by the event — Potential material effect on group entities — Other relevant intra-group arrangements with actual or foreseen qualitative and quantitative information. 12 External contagion — Counterparties with material exposures to the entity impacted by the event — Other relevant arrangements with a potential to cause contagion with actual or foreseen qualitative and quantitative information. Actions, measures and communication 13 Measures and actions taken by the group Measures and actions taken by the entity and its impact on: — its ability to operate in severe business disruption, including availability of outsourced services, — the available own funds and liquidity position, on funding concentrations, — its asset quality, including any risk concentrations, — its profitability and balance sheet, — its business model and strategy, — its internal governance arrangements, with actual or foreseen qualitative and quantitative information. 14 Measures and actions planned to be taken by the group Measures and actions that are planned to be taken by the institution/group, and its expected impact on: — its ability to operate in severe business disruption, including availability of outsourced services, — the available own funds and liquidity position, on funding concentrations, — its asset quality, including any risk concentrations, — its profitability and balance sheet, — its business model and strategy, — its internal governance arrangements, with actual or foreseen qualitative and quantitative information. 15 Actions taken by the Competent Authority Description of the actions, their purpose and effect(s). 16 Actions planned to be taken by the Competent Authority Description of the actions, their purpose and foreseen effect(s). 17 External communication of the group Press releases and other external communications of the group. 18 Planned external communication of the Competent Authority Press releases and other external communications planned by the Competent Authority.