# L_2020289EN.01033001.xml

| 3.9.2020 | EN | Official Journal of the European Union | L 289/330 |
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3.9.2020

EN

Official Journal of the European Union

L 289/330

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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)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation (1), and in particular Article 10(8) thereof,

Whereas:

| (1) | A uniform format for applications to the European Securities and Markets Authority (ESMA) for registration as a securitisation repository or for extension of a registration of a trade repository should ensure that all information required pursuant to Commission Delegated Regulation (EU) 2020/1230 (2) is submitted to, and easily identified by, ESMA. |
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(1)

A uniform format for applications to the European Securities and Markets Authority (ESMA) for registration as a securitisation repository or for extension of a registration of a trade repository should ensure that all information required pursuant to Commission Delegated Regulation (EU) 2020/1230 (2) is submitted to, and easily identified by, ESMA.

| (2) | It is important that the information in those applications be submitted in a format that enables storage for future use and reproduction. Therefore, these applications should be submitted in a durable medium. |
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(2)

It is important that the information in those applications be submitted in a format that enables storage for future use and reproduction. Therefore, these applications should be submitted in a durable medium.

| (3) | In order to facilitate the identification of the information submitted within those applications, a unique reference number and a title for each of their documents should be provided. For the same reason, the applicant should be required to identify any information submitted by reference to the provision of Delegated Regulation (EU) 2020/1230 which that information relates to. |
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(3)

In order to facilitate the identification of the information submitted within those applications, a unique reference number and a title for each of their documents should be provided. For the same reason, the applicant should be required to identify any information submitted by reference to the provision of Delegated Regulation (EU) 2020/1230 which that information relates to.

| (4) | This Regulation is based on the draft implementing technical standards submitted by ESMA to the Commission. |
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(4)

This Regulation is based on the draft implementing technical standards submitted by ESMA to the Commission.

| (5) | In accordance with Article 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (3), ESMA has conducted an open public consultation on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of that Regulation, |
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(5)

In accordance with Article 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (3), ESMA has conducted an open public consultation on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of that Regulation,

HAS ADOPTED THIS REGULATION:

Article 1

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); |
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(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. |
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(b)

with a unique reference number assigned to each document included in the application.

Article 2

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.

Official Journal of the European Union

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 29 November 2019.

For the Commission

The President

Jean-Claude JUNCKER

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(1)  
  OJ L 347, 28.12.2017, p. 35.

1

(2)  Commission Delegated Regulation (EU) 2020/1230 of 29 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration of a securitisation repository and the details of the application for a simplified application for an extension of registration of a trade repository (see page 345 of this Official Journal).

2

(3)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 176/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

3

(4)  Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).

4

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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 |

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 |
| --- | --- | --- | --- |

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

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(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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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) |

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 |
| --- | --- | --- | --- |

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

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(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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