# L_2013319EN.01003901.xml

| 29.11.2013 | EN | Official Journal of the European Union | L 319/39 |
| --- | --- | --- | --- |

29.11.2013

EN

Official Journal of the European Union

L 319/39

---

Corrigendum to Regulation (EU) No 1073/2013 of the European Central Bank of 18 October 2013 concerning statistics on the assets and liabilities of investment funds (ECB/2013/38)

(
  Official Journal of the European Union L 297 of 7 November 2013
  )

On page 80, Annex I, Part 3 – Reporting tables, Table 1 ‘Stocks – Data required to be provided on a quarterly basis’ is replaced as follows:

Table 1

Table 1

Stocks

Stocks

Data required to be provided on a quarterly basis

Data required to be provided on a quarterly basis

| | A. | Domestic |
| --- | --- | --- |

A.

A.

Domestic

| B. | Euro area other than domestic |
| --- | --- |

B.

B.

Euro area other than domestic

| C. | Rest of the World |
| --- | --- |

C.

C.

Rest of the World

| D. | Total |
| --- | --- |

D.

D.

Total

MFIs

Non-MFIs - Total

MFIs

Non-MFIs - Total

of which

non-euro area Member States

of which

US

of which

Japan

General gov’t

(S.13)

Other residents

General gov’t

(S.13)

Other residents

Total

Non-MMF investment funds

Other financial intermediaries + financial auxiliaries + captive financial institutions and money lenders (S.125+S.126+S.127)

Insurance corporations + pension funds (S.128+S.129)

Non-financial corporations (S.11)

Households + non-profit institutions serving households (S.14+S.15)

Total

Non-MMF investment funds

Other financial intermediaries + financial auxiliaries + captive financial institutions and money lenders (S.125+S.126+S.127)

Insurance corporations + pension funds (S.128+S.129)

Non-financial corporations (S.11)

Households + non-profit institutions serving households (S.14+S.15)

ASSETS

ASSETS

| 1 | Deposit and loan claims |
| --- | --- |

1

1

Deposit and loan claims

up to 1 year

over 1 year

| 2 | Debt securities |
| --- | --- |

2

2

Debt securities

| 2e. | Euro |
| --- | --- |

2e.

2e.

Euro

up to 1 year

over 1 year and up to 2 years

over 2 years

| 2x. | Foreign currencies |
| --- | --- |

2x.

2x.

Foreign currencies

up to 1 year

over 1 year and up to 2 years

over 2 years

| 2t. | Total currencies |
| --- | --- |

2t.

2t.

Total currencies

up to 1 year

over 1 year and up to 2 years

over 2 years

| 3 | Equity and investment fund shares/units |
| --- | --- |

3

3

Equity and investment fund shares/units

of which listed shares

of which investment fund shares/units

| (2+3)a | of which securities lent out or sold under repurchase agreements |
| --- | --- |

(2+3)a

(2+3)a

of which securities lent out or sold under repurchase agreements

| 4 | Financial derivatives |
| --- | --- |

4

4

Financial derivatives

| 5 | Non-financial assets (including fixed assets) |
| --- | --- |

5

5

Non-financial assets (including fixed assets)

| 6 | Remaining assets |
| --- | --- |

6

6

Remaining assets

LIABILITIES

LIABILITIES

| 7 | Loans and deposits received |
| --- | --- |

7

7

Loans and deposits received

up to 1 year

over 1 year

| 8 | IF shares/units
   (1) |
| --- | --- |

8

8

IF shares/units

1

| 9 | Financial derivatives |
| --- | --- |

9

9

Financial derivatives

| 10 | Remaining liabilities |
| --- | --- |

10

10

Remaining liabilities

IFs report: (i) the black cells; (ii) the information requested in Table 2 for those securities that are collected on an s-b-s basis; and (iii) the grey cells for those securities that are not collected on an s-b-s basis.

On pages 82 and 83, Annex I, Part 3 – Reporting tables, Table 3 ‘Revaluation adjustments or transactions – Data required to be provided on a quarterly basis’ and Table 4, ‘Data required to be provided on a monthly basis’ are replaced as follows:

Table 3

Table 3

Revaluation adjustments or transactions

Revaluation adjustments or transactions

Data required to be provided on a quarterly basis

Data required to be provided on a quarterly basis

| | A. | Domestic |
| --- | --- | --- |

A.

A.

Domestic

| B. | Euro area other than domestic |
| --- | --- |

B.

B.

Euro area other than domestic

| C. | Rest of the World |
| --- | --- |

C.

C.

Rest of the World

| D. | Total |
| --- | --- |

D.

D.

Total

MFIs

Non-MFIs - Total

MFIs

Non-MFIs - Total

of which

non-euro area Member States

of which

US

of which

Japan

General gov’t

(S.13)

Other residents

General gov’t

(S.13)

Other residents

Total

Non-MMF investment funds

Other financial intermediaries + financial auxiliaries + captive financial institutions and money lenders (S.125+S.126+S.127)

Insurance corporations + pension funds (S.128+S.129)

Non-financial corporations (S.11)

Households + non-profit institutions serving households (S.14+S.15)

Total

Non-MMF investment funds

Other financial intermediaries + financial auxiliaries + captive financial institutions and money lenders (S.125+S.126+S.127)

Insurance corporations + pension funds (S.128+S.129)

Non-financial corporations (S.11)

Households + non-profit institutions serving households (S.14+S.15)

ASSETS

ASSETS

| 1 | Deposit and loan claims |
| --- | --- |

1

1

Deposit and loan claims

up to 1 year

over 1 year

| 2 | Debt securities |
| --- | --- |

2

2

Debt securities

| 2e. | Euro |
| --- | --- |

2e.

2e.

Euro

up to 1 year

over 1 year and up to 2 years

over 2 years

| 2x. | Foreign currencies |
| --- | --- |

2x.

2x.

Foreign currencies

up to 1 year

over 1 year and up to 2 years

over 2 years

| 2t. | Total currencies |
| --- | --- |

2t.

2t.

Total currencies

up to 1 year

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

over 1 year and up to 2 years

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

over 2 years

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

| 3 | Equity and investment fund shares/units |
| --- | --- |

3

3

Equity and investment fund shares/units

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

of which listed shares

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

of which investment fund shares/units

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

MINIMUM

| 4 | Financial derivatives |
| --- | --- |

4

4

Financial derivatives

MINIMUM
   (3)

MINIMUM

3

| 5 | Non-financial assets (including fixed assets) |
| --- | --- |

5

5

Non-financial assets (including fixed assets)

MINIMUM
   (3)

MINIMUM

3

| 6 | Remaining assets |
| --- | --- |

6

6

Remaining assets

LIABILITIES

LIABILITIES

| 7 | Loans and deposits received |
| --- | --- |

7

7

Loans and deposits received

up to 1 year

over 1 year

| 8 | IF shares/units
   (2) |
| --- | --- |

8

8

IF shares/units

2

MINIMUM

MINIMUM

| 9 | Financial derivatives |
| --- | --- |

9

9

Financial derivatives

MINIMUM
   (3)

MINIMUM

3

| 10 | Remaining liabilities |
| --- | --- |

10

10

Remaining liabilities

IFs report: (i) the black cells marked ‘MINIMUM’; (ii) the grey cells marked ‘MINIMUM’ for securities that are not collected on an s-b-s basis; and (iii) if the relevant NCB collects s-b-s information on transactions directly, the information requested in Table 2 for those securities that are collected on an s-b-s basis.

The NCBs may extend these requirements to: (i) the black cells that do not contain the word ‘MINIMUM’; and (ii) the grey cells that do not contain the word ‘MINIMUM’ for those securities that are not collected on an s-b-s basis.

Table 4

Table 4

Data required to be provided on a monthly basis

Data required to be provided on a monthly basis

| | A. | Domestic |
| --- | --- | --- |

A.

A.

Domestic

| B. | Euro area other than domestic |
| --- | --- |

B.

B.

Euro area other than domestic

| C. | Rest of the World |
| --- | --- |

C.

C.

Rest of the World

| D. | Total |
| --- | --- |

D.

D.

Total

MFIs

Non-MFIs - Total

MFIs

Non-MFIs - Total

General gov’t

(S.13)

Other residents

General gov’t

(S.13)

Other residents

Total

Non-MMF investment funds

Other financial intermediaries + financial auxiliaries + captive financial institutions and money lenders (S.125+S.126+S.127)

Insurance corporations + pension funds (S.128+S.129)

Non-financial corporations (S.11)

Households + non-profit institutions serving households (S.14+S.15)

Total

Non-MMF investment funds

Other financial intermediaries + financial auxiliaries + captive financial institutions and money lenders (S.125+S.126+S.127)

Insurance corporations + pension funds (S.128+S.129)

Non-financial corporations (S.11)

Households + non-profit institutions serving households (S.14+S.15)

LIABILITIES

LIABILITIES

| 8 | IF shares/units
   (4) |
| --- | --- |

8

8

IF shares/units

4

Issuance of IF shares/units

Issuance of IF shares/units

Redemption of IF shares/units

Redemption of IF shares/units

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(1)  If the reporting agent is not in a position to directly identify the residency and sector of the holder, it reports the relevant data on the basis of available information. In the case of bearer shares, the information may be collected from MFIs or OFIs (as specified in Article 2(2) of this Regulation and paragraph 3 of Part 2 of this annex).

1

(2)  If the reporting agent is not in a position to directly identify the residency and sector of the holder, it reports the relevant data on the basis of available information. In the case of bearer shares, the information may be collected from MFIs or OFIs (as specified in Article 2(2) of this Regulation and paragraph 3 in Part 2 of this annex).

2

(3)  The NCBs may exempt IFs from reporting this item, if the quarterly stocks listed in Table 1 represent less than 5% of IF shares/units issued.

3

(4)  Stocks; revaluation adjustments or transactions

4

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