02018O0016 — EN — 02.10.2019 — 001.001

This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

►B GUIDELINE (EU) 2018/876 OF THE EUROPEAN CENTRAL BANK of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16) (OJ L 154 18.6.2018, p. 3)

Amended by:









▼B

GUIDELINE (EU) 2018/876 OF THE EUROPEAN CENTRAL BANK

of 1 June 2018

on the Register of Institutions and Affiliates Data (ECB/2018/16)







CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter and purpose

1. This Guideline establishes the obligations of NCBs with respect to the reporting of reference data to, and the maintenance and data quality management of, RIAD, as well as certain obligations of the ECB with respect to arrangements for data maintenance.

▼M1

2. RIAD shall be the ESCB's shared dataset of reference data on individual entities and the relationships between them. RIAD shall facilitate the integration of the CSDB, the SHSDB and AnaCredit, as well as of the datasets on monetary financial institutions, investment funds, financial vehicle corporations engaged in securitisation transactions, payment statistics relevant institutions, insurance corporations and pensions funds, provided pursuant to the respective ECB legal acts on the statistical reporting requirements of these entities. RIAD will thereby support the ESCB by enabling it to derive, inter alia, consolidated banking exposures and borrowers' indebtedness on a consolidated basis.

▼B

Article 2

Definitions

For the purposes of this Guideline, the following definitions apply:

(1) ‘entity’ means any of the following: (i) a legal unit; (ii) a branch of a legal unit; (iii) a collective investment undertaking; and (iv) any institutional unit which does not fall under (i), (ii) or (iii);

(2) ‘legal unit’ means a legal person whose existence is recognised by law independently of the individuals or institutions which may own it or are members of it, and a natural person who is engaged in an economic activity in its own right;

(3) ‘legal person’ has the same meaning as ‘legal entity’ as defined in point 5 of Article 1 of Regulation (EU) 2016/867 (ECB/2016/13);

(4) ‘branch’ means a place of business which forms a legally dependent part of an incorporated legal unit;

(5) ‘headquarters’ means an entity that controls one or more unincorporated non-resident entities;

(6) ‘collective investment undertaking’ or ‘UCITS’ has the same meaning as defined in point 7 of Article 4(1) of Regulation (EU) No 575/2013 of the European Parliament and of the Council ( 1 );

(7) ‘institutional unit’ has the same meaning as defined in paragraphs 2.12 and 2.13 of Annex A to Regulation (EU) No 549/2013 of the European Parliament and of the Council ( 2 );

(8) ‘enterprise’ has the same meaning as defined in Section III A of the Annex to Council Regulation (EEC) No 696/93 ( 3 );

(9) ‘enterprise group’ has the same meaning as defined in Section III C of the Annex to Regulation (EEC) No 696/93;

(10) ‘banking group’ means a group of financial entities that functions as a single economic entity through a common source of control by an authorised credit institution or financial holding company in accordance with Regulation (EU) No 575/2013 and which are subject to accounting consolidation in accordance with International Financial Reporting Standard (IFRS) 10 ( 4 );

(11) ‘control’ has the same meaning as defined in point 37 of Article 4(1) of Regulation (EU) No 575/2013;

(12) ‘reference data’ means any master data describing an individual entity and its relationships with other entities recorded in RIAD;

(13) ‘RIAD code’ means the unique identifier created by the competent NCB or by the ECB to identify an entity recorded in RIAD;

(14) ‘temporary RIAD code’ means an identifier, with a pre-defined format that is different from the format of the RIAD code, assigned either by the NCBs or by the ECB to a new entity when it is recorded in RIAD until the RIAD code is assigned;

(15) ‘competent NCB’ means the NCB responsible for managing entities in RIAD which are resident in its Member State;

(16) ‘national competent authority’ has the same meaning as defined in point 2 of Article 2 of Council Regulation (EU) No 1024/2013 ( 5 );

(17) ‘compounding rule’ means the order of priority for each single attribute used by an NCB for conflicting data sources;

(18) ‘RIAD hub’ means a centre of activity related to RIAD within the ESCB used for the purposes of Article 3 of this Guideline;

(19) ‘resident entity’ means an entity which is resident within the meaning of point 4 of Article 1 of Regulation (EC) No 2533/98;

(20) ‘working day’ means any day other than a Saturday, a Sunday or a public holiday in the ECB or the Member State concerned;

(21) ‘Legal Entity Identifier’ or ‘LEI’ means an alphanumeric reference code in line with the ISO 17442 standard ( 6 ) assigned to a legal entity.

(22) ‘monetary financial institution’ or ‘MFI’ has the same meaning as defined in point (a) of Article 1 of Regulation (EU) No 1071/2013 of the European Central Bank (ECB/2013/33) ( 7 );

(23) ‘investment fund’ or ‘IF’ has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1073/2013 of the European Central Bank (ECB/2013/38) ( 8 );

(24) ‘financial vehicle corporation’ or ‘FVC’ has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1075/2013 of the European Central Bank (ECB/2013/40) ( 9 );

(25) ‘payment statistics relevant institutions’ or ‘PSRI’ are payment service providers, as defined in Article 4 of Directive (EU) 2015/2366 of the European Parliament and of the Council ( 10 ), and payment system operators, which are defined as legal entities that are legally responsible for operating a payment system;

(26) ‘insurance corporation’ or ‘IC’ has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1374/2014 of the European Central Bank (ECB/2014/50) ( 11 );

(27) ‘attribute’ shall be the attributes to be reported for the datasets set out in Annexes I and II to this Guideline;

▼M1

(28) ‘pension fund’ or ‘PF’ has the same meaning as defined in point 1 of Article 1 of Regulation (EU) 2018/231 of the European Central Bank (ECB/2018/2) ( 12 );

(29) ‘euro short-term rate’ has the same meaning as defined in point 2 of Article 2 of Guideline (EU) 2019/1265 of the European Central Bank (ECB/2019/19) ( 13 );

(30) ‘sponsor’ has the same meaning as ‘sponsoring undertaking’ as defined in point 3 of Article 6 of Directive (EU) 2016/2341 of the European Parliament and of the Council ( 14 );

(31) ‘pension manager’ has the same meaning as set out in paragraph 5.185 of Annex A to Regulation (EU) No 549/2013;

(32) ‘confidential statistical information’ has the same meaning as defined in point 12 of Article 1 of Regulation (EC) No 2533/98.

▼B







CHAPTER II

GENERAL PROVISIONS ON RIAD AND ON THE RECORDING, MAINTENANCE, REVISION AND TRANSMISSION OF REFERENCE DATA FOR ENTITIES

Article 3

Establishment of RIAD hubs

1. Each NCB shall establish a local RIAD hub, comprising local centres of expertise, knowledge and all technical operations relating to reference data for entities and their group structures.

2. The local RIAD hubs shall perform the following functions: (a) to act as the unique point of contact for all reference data matters relating to RIAD in their respective Member State, (b) to coordinate activity with other national competent authorities at national level, with the central RIAD hub and with other hubs in the ESCB, on a reasonable efforts basis, so as to ensure the accuracy, timeliness and consistency of reference data on all resident entities recorded in RIAD, and (c) to ensure, on a reasonable efforts basis, the consistent use of identifiers for entities in other databases so as to enable the linking and the synchronisation of the different datasets.

3. The ECB shall establish a central RIAD hub, which shall perform the following functions: (a) to coordinate the work of the local RIAD hubs, (b) to oversee and, if necessary, propose amendments regarding the governance framework for RIAD under this Guideline, for consideration by the Statistics Committee, (c) to verify the data quality, and (d) to manage reference data on entities resident in third countries.

Article 4

Recording of reference data in RIAD

1. NCBs shall take all possible measures to accurately record all relevant entities in RIAD and shall consistently refer to such entities, irrespective of their country of residence, by means of the RIAD code assigned to them.

2. NCBs shall maintain reference data on entities which are resident in their Member State and ensure to the extent possible their accurate recording in RIAD in accordance with the prescribed timeframes, which the ECB shall make available to the NCBs. The reference data for an entity includes in particular, its name, Legal Entity Identifier or any other relevant identifier, the institutional sector and the country of residence, as well as the other mandatory reference data attributes listed in Annexes I and II.

3. The ECB shall manage reference data for entities resident in third countries on a reasonable efforts basis. The ECB may establish bilateral arrangements directly with certain NCBs for some areas outside the Union, e.g. for reasons of business expertise and linguistic competencies.

4. The competent NCBs shall use all information available to them at the national level to ensure, to the extent possible, that the reference data on all relevant resident entities recorded in RIAD is complete, accurate and up-to-date. For this purpose, NCBs may use all available sources of information that they deem appropriate, provided such information can be used for the purpose and to the extent set out in Regulation (EC) No 2533/98, and, where applicable, subject to safeguarding confidentiality in accordance with Article 8 of that Regulation.

5. RIAD enables the processing of information on entities and on any relevant individual attributes provided by one or more sources. If there are two or more contradictory sources, a compounding rule shall rank the relevant data sources. The competent NCB shall either accept this standard compounding rule or decide itself the order of priority of the relevant data sources. If a competent NCB adopts a different order of priority, it shall record it in RIAD and the ECB shall approve the new order of priority. For each attribute, a different compounding rule may be established by the competent NCB, which may change the rule over time, if it deems it appropriate. NCBs may seek agreement with the ECB through its central RIAD hub on any classification issues, which either the ECB or the NCBs consider to be potentially controversial, in particular relating to the MFI sector.

6. Subject to the requirements of Regulation (EC) No 45/2001, in accordance with which any personal data in RIAD shall be processed, NCBs shall not delete entities recorded in RIAD so as to ensure that there is a record of an entity and its life cycle. The ECB shall establish a procedure to correct factual errors, and make it available to the NCBs.

7. Competent NCBs shall not be held responsible for the misuse of the data by any other ESCB central bank.

Article 5

Assignment and management of the RIAD code and identifiers

1. The competent NCBs shall assign a RIAD code to each resident entity upon its first registration in RIAD. An NCB or the ECB may assign a temporary RIAD code for non-resident entities not yet identified in RIAD. The RIAD code and the temporary RIAD code must meet the required format, which the ECB shall make available to the NCBs.

2. NCBs shall ensure that each RIAD code they assign is exclusive, so that the RIAD code does not relate to more than one entity, and does not change over time. Entities shall be uniquely identified in RIAD with the RIAD code so as to ensure smooth data exchange and communication systems between RIAD and the ESCB and between RIAD and the SSM.

3. In the case of entities recorded with a temporary RIAD code, the competent NCBs shall assess potential duplicate codes and assign a RIAD code no later than the last working day of the second month following the date of receipt of the list of potential duplicates automatically generated by RIAD.

4. The ECB shall assign the RIAD code and process the necessary reference data for international organisations in RIAD.

5. Entities recorded in RIAD may have multiple identifiers or ‘aliases’. When reporting information on an attribute, NCBs shall record the identifier type (or its description, if allowed, when the identifier type is not included in the pre-defined list of identifier types in RIAD) and the corresponding code. NCBs shall also ensure that such information is reported to RIAD in the required format, which the ECB shall make available to the NCBs.

Article 6

Recording of demographic events, sector changes and corporate actions in RIAD

1. The competent NCBs shall make reasonable efforts to record all demographic events relating to entities whose reference data are recorded in RIAD. These events shall include:

(a) birth date of an entity;

(b) closure date of an entity;

(c) date as of which an entity becomes inactive.

2. The competent NCBs shall make reasonable efforts to report the creation of, or updates in connection with, attributes accompanied by the corresponding validity range of values.

3. The competent NCBs shall report any updates in connection with a sector re-classification of an entity in accordance with Annex I either as soon as they gain knowledge of the change or on a daily basis if the change is in respect of an MFI re-classification, whether a previous non-MFI becomes an MFI or an MFI becomes a non-MFI.

The competent NCBs shall provide to the ECB a written explanation of any delay between the occurrence of an MFI re-classification and its recording in RIAD.

4. The competent NCBs shall make reasonable efforts to report all corporate actions affecting the status of an entity, such as the birth, modification (e.g. when an entity becomes inactive) or closure of that entity.

The competent NCBs shall report the following corporate actions in respect of the resident entities listed in Annex I in RIAD as soon as they gain knowledge of them in accordance with the timeframe set out in Chapter VI:

(a) mergers by the formation of a new company as defined in Article 90 of Directive (EU) 2017/1132 of the European Parliament and of the Council ( 15 );

(b) mergers by acquisition as defined in Article 89 of Directive (EU) 2017/1132;

(c) divisions by acquisition as defined in Article 136 of Directive (EU) 2017/1132;

(d) divisions by the formation of new companies as defined in Article 155 of Directive (EU) 2017/1132;

(e) disposal of a subsidiary.

Article 7

Maintenance and revision policy

NCBs shall make reasonable efforts to ensure that all attributes are maintained and kept up-to-date on an ongoing basis. Maintenance shall include making timely and effective revisions to the attributes.

Article 8

Transmission standards

1. The process for uploading data in RIAD is described in the data exchange specifications to which NCBs have access. NCBs shall upload information either via the standard ESCB facility or via online updates.

2. Prior to the transmission of data to RIAD, NCBs shall carry out validation checks to ensure that the relevant data complies with the data exchange specifications. NCBs shall maintain an adequate set of controls to minimise operational errors and ensure the accuracy and consistency of the data recorded in RIAD.

3. Where NCBs are unable to access RIAD due to a technical failure, they shall use the contingency facility envisaged for that eventuality or transmit the data by email to the following address: RIAD-Support@ecb.europa.eu. The NCBs shall safeguard the confidentiality of the data sent by email in accordance with Article 8 of Regulation (EC) No 2533/98.

4. When transmitting data, NCBs may use their national character set, provided they use the Roman alphabet. They shall use Unicode (UTF-8) to correctly display all special character sets when receiving information from the ECB via RIAD.

Article 9

Acquisition and error acknowledgements

When new data are recorded in RIAD, checks are automatically generated to validate the quality of the information provided on the basis of agreed standards and validation rules. The ECB shall provide to the NCBs an automated backflow including:

(a) an acquisition acknowledgement containing summary information on the updates which have been processed and implemented successfully in the relevant dataset; and/or

(b) an error acknowledgement containing detailed information on the updates and validation checks which have failed.

On receipt of an error acknowledgement, NCBs shall promptly take action to transmit corrected information.







CHAPTER III

CONFIDENTIALITY

Article 10

Confidentiality of attribute values

▼M1

1. In accordance with the confidentiality regime set out in Article 8 of Regulation (EC) No 2533/98, confidential reference data shall not be published. Statistical information taken from sources which are available to the public in accordance with national legislation shall not be considered confidential and information recorded in RIAD is usually published by the legal entities to which it relates. Any reference data not originally collected under the ESCB legal framework for statistics will be subject to the confidentiality provisions, which apply to the data. These include for instance confidentiality provisions of non-statistical legal frameworks, under which the data have been collected, and of contracts with the relevant entity which provided the data.

2. NCBs shall declare the confidentiality status of each attribute value describing an entity by selecting one of the pre-defined values:

(a) ‘F’ meaning free, i.e. not confidential and can be made public;

(b) ‘N’ meaning that an attribute value may be released only for the use of the ESCB and of institutions for which a memorandum of understanding is in place, i.e. not for external release;

(c) ‘C’ meaning confidential statistical information or information not originally collected under the ESCB legal framework for statistics that is subject to confidentiality restrictions; or

(d) ‘R’ meaning that, in addition to the uses allowed under 2(b) of this Article, an attribute value may be shared with the reporting agent, which provided that information, and — subject to any applicable confidentiality restrictions – with other reporting agents, i.e. restricted release only.

3. The ECB shall handle the information provided duly protecting confidentiality, so that the ECB shall not publish data marked as ‘C’, ‘N’ or ‘R’. In respect of quantitative measures marked as ‘C’, ‘N’ or ‘R’, the ECB may, however, publish or distribute a range of size classes.

4. The LEI and all publically used identifiers, including administrative identifiers, shall always have the value ‘F’.

▼B

5. The following attributes shall always have the value ‘F’ for entities with an LEI:

(a) name;

(b) address.

▼M1

6. The following attributes shall always have the value ‘F’ for entities whose attributes are listed in Annex I and ‘F’, ‘R’ or ‘N’ for entities whose attributes are listed in Annex II:

(a) name;

(b) institutional sector.

▼B







CHAPTER IV

DATA QUALITY MANAGEMENT

Article 11

Data quality and synchronisation

1. Without prejudice to the ECB's verification rights under Regulation (EC) No 2533/98 and Regulation (EU) No 1071/2013 (ECB/2013/33), the NCBs shall monitor and ensure the quality of all information made available to the ECB in accordance with the principles applicable to statistics governance and the quality assurance framework as published on the ECB website.

2. In view of the planned integration of datasets, NCBs shall ensure that reference data are adequate, complete and consistent. In particular, NCBs shall make reasonable efforts to ensure the synchronisation of the reference data used in different datasets.

3. In case of diverging views concerning, for example, the identification or classification of entities or other matters affecting data quality management the ECB shall take a decision after having consulted the ESCB Statistics Committee.

4. Within one year from the adoption of this Guideline, the ESCB Statistics Committee shall establish procedures for data quality assurance, including a RIAD quality report. It shall then review the procedures at regular intervals of three years.







CHAPTER V

COOPERATION WITH AUTHORITIES OTHER THAN NCBS

Article 12

Cooperation with authorities other than NCBs

1. Where sources of part of or all the data referred to in Chapter II, VI and VII fall within the competence of national authorities other than the NCBs, the NCBs shall endeavour to establish permanent cooperation arrangements with those authorities to ensure a data transmission complying with the ECB's standards, in particular with respect to data quality and confidentiality status, and the requirements set out in this Guideline, unless the same result has already been achieved through the existing national legislation. Where applicable, such arrangements may be in the form of memoranda of understanding with national statistical institutes, national competent authorities or other national authorities.

2. Where, in the course of this cooperation, an NCB is unable to comply with the requirements laid down in Chapters II, VI and VII because the national authority fails to provide the NCB with the necessary data or information, the ECB and the NCB shall review the matter together with that national authority with a view to ensuring that the information is made available in accordance with the applicable quality standards and in a timely manner.

3. If national authorities other than NCBs are the source of statistical information marked as confidential, such information shall be used by the ECB in accordance with Regulation (EC) No 2533/98.







CHAPTER VI

SPECIFIC PROVISIONS ON THE RECORDING OF REFERENCE DATA FOR ENTITIES

Article 13

Publication of lists of entities

The ECB shall publish lists of entities:

(a) to the extent and in the manner permitted by the relevant statistical regulations mentioned in this Chapter; and

(b) according to the institutional sector classification defined in Annex A to Regulation (EU) No 549/2013.

Article 14

Recording of reference data for MFIs

1. In order to enable the establishment and maintenance of the list of MFIs referred to in Article 4 of Regulation (EU) No 1071/2013 (ECB/2013/33), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed.

2. An NCB shall record in RIAD if an institution on the list of MFIs is restricted in its financial intermediation activities, e.g. in the acceptance of deposits or granting of loans, in particular prior to its liquidation and/or removal from the MFI sector.

3. The ECB may periodically request further information from the relevant NCB, to which the relevant NCB has to respond promptly with the requested information, in order to allow the ECB to monitor if RIAD data are consistent with the relevant national classifications of MFIs.

4. Where an MFI is a branch, its relationship to its non-resident headquarters shall be recorded in RIAD. Conversely, where an MFI is a headquarters, its relationships with its branches resident in other Member States whose currency is the euro shall be recorded in RIAD.

5. NCBs shall record in RIAD, where possible, updates of the attributes specified for MFIs in Parts 1 and 2 of Annex I, as soon as changes in the MFI sector, or in the attributes of existing MFIs, occur. If this is not possible, NCBs shall provide to the ECB a written explanation of the delay between the occurrence of the change and its recording in RIAD.

Article 15

Recording of reference data for IFs

1. To enable the establishment and maintenance of the list of IFs referred to in Article 3 of Regulation (EU) No 1073/2013 (ECB/2013/38), the NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed.

2. Relationships between IFs and management companies, and between a sub-fund and an umbrella fund shall be recorded in RIAD, as applicable.

3. NCBs shall report any updates to the attributes specified for IFs in Parts 1 and 2 of Annex I, in particular when an IF joins or leaves the IF population, and record them in RIAD at least on a quarterly basis, within two months after the quarter end. However, the net asset value attribute shall be updated for all IFs on an annual basis, within two months of the reference date of year end.

Article 16

Recording of reference data for FVCs

1. To enable the establishment and maintenance of the list of FVCs referred to in Article 3 of Regulation (EU) No 1075/2013 (ECB/2013/40), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I at the intervals prescribed.

2. Relationships between FVCs and management companies and originators shall be recorded in RIAD, as applicable.

3. NCBs shall report any updates of the attributes specified for FVCs in Parts 1 and 2 of Annex I, in particular when an FVC joins or leaves the FVCs population, and record them in RIAD at least on a quarterly basis, within 14 working days after the quarter end.

Article 17

Recording of reference data for PSRIs

To enable the establishment and maintenance of the list of PSRIs referred to in Article 5(2) of Regulation (EU) No 1409/2013 of the European Central Bank (ECB/2013/43) ( 16 ), NCBs shall record in RIAD the attributes specified in Part 1 of Annex I to this Guideline at the intervals prescribed. NCBs shall report any updates to these attributes, in particular, when an PSRI joins or leaves the PSRIs population, and record them in RIAD as at year end, within three months after the year end.

Article 18

Recording of reference data for ICs

1. To enable the establishment and maintenance of the list of ICs referred to in Article 3 of Regulation (EU) No 1374/2014 (ECB/2014/50), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed. NCBs shall report any updates of these attributes, in particular when an IC joins or leaves the ICs population, and record them in RIAD at least on a quarterly basis, within two months after each quarter end.

2. Where an IC is a branch, its relationships to its non-resident headquarters shall be recorded in RIAD. Conversely, where an IC is a headquarters, its relationships with its branches resident in other Member States whose currency is the euro shall be recorded in RIAD.

▼M1

Article 18a

Recording of reference data for PFs

1. To enable the establishment and maintenance of the list of PFs referred to in Article 3 of Regulation (EU) 2018/231 (ECB/2018/2), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed. NCBs shall report any updates of these attributes, in particular when a PF joins or leaves the PF population, and record them in RIAD on a quarterly basis, within three months after each quarter end for the quarterly attributes and on an annual basis, within six months after the year end for the annual attributes.

2. In the first submission of the list of PFs, NCBs shall record in RIAD complete quarterly reference data as specified in Parts 1 and 2 of Annex I to this Guideline no later than 2 October 2019. The NCBs shall record the annual attributes in RIAD by 31 March 2020.

3. Where a PF is a branch, its relationships to its non-resident headquarters shall be recorded in RIAD. Conversely, where a PF is a headquarters, its relationships with its branches resident in other Member States whose currency is the euro shall be recorded in RIAD.

4. Relationships between PFs and management companies and sponsors shall be recorded in RIAD, as applicable. For the purposes of this Article, the term ‘management companies’ shall refer to pension managers as regards the data to be reported by these entities pursuant to Regulation (EU) 2018/231 (ECB/2018/2).

▼M1

Article 19

Regular publication of datasets

The ECB shall publish the datasets listed below as follows.

1. By 18.00 CET every working day, the ECB shall make a copy of the MFI dataset available on its website.

2. By 18.00 CET on the fourth working day following the deadline for transmitting updates, the ECB shall make a copy of the IF dataset available on its website.

3. By 18.00 CET on the second working day following the deadline for transmitting updates, the ECB shall make a copy of the FVC dataset available on its website.

4. By 18.00 CET on the last working day of the month following the month of the deadline for transmitting updates, the ECB shall make a copy of the PSRI dataset available on its website.

5. By 18.00 CET on the fourth working day following the month of the deadline for transmitting updates, the ECB shall make a copy of the IC dataset available on its website.

6. By 18.00 CET on the fourth working day following the month of the deadline for transmitting updates, the ECB shall make a copy of the PF dataset available on its website.

In each case the relevant dataset shall be the list of entities referred to in the respective ECB regulation for statistical reporting by the type of entity concerned.

▼B







CHAPTER VII

RELEVANT REFERENCE DATA ON ENTITIES FOR UNPUBLISHED DATASETS AND GROUPS

Article 20

Relevant reference data on entities for unpublished datasets

In addition to the data needed for the published lists of entities, additional datasets which are not published also use reference data on entities. An overview of the attributes relevant for these datasets is set out in Annex II. Articles 21 to 28 specify the conditions for reporting the attributes mentioned in Annex II. In particular, NCBs shall ensure the completeness and consistency of the reference data in different datasets.

Article 21

Statistics on Individual Balance Sheet Items (‘iBSI’) and Individual MFI Interest Rate (‘iMIR’)

Competent NCBs shall ensure that the information regarding the panel of euro area credit institutions for which iBSI or iMIR data have to be reported by NCBs to the ECB in accordance with Guideline ECB/2014/15 is accurately recorded in RIAD. The ECB shall notify to the NCBs the composition of the panel. NCBs shall make the necessary amendments to the information recorded in RIAD if the panel's membership changes.

▼M1

Article 22

Reference data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48)

1. Competent NCBs shall ensure that the reference data for entities to which LEIs have been assigned and that are relevant for Regulation (EU) No 1333/2014 (ECB/2014/48) are recorded in RIAD. NCBs shall record any missing reference data within five working days of notification by the ECB of the missing reference data which is relevant for Regulation (EU) No 1333/2014 (ECB/2014/48). The ECB shall notify NCBs on a weekly basis which reference data is relevant for Regulation (EU) No 1333/2014 (ECB/2014/48). The competent NCBs shall further update the reference data for entities that are relevant for Regulation (EU) No 1333/2014 (ECB/2014/48) and are recorded in RIAD, as soon as they become aware of a change to one or more attributes.

2. The euro short-term rate is based on a subset of data reported pursuant to Regulation (EU) No 1333/2014 (ECB/2014/48). Where an entity to which an LEI has been assigned is relevant for the determination of the euro short-term rate, NCBs shall record in RIAD the European System of Accounts 2010 (‘the ESA 2010’) sector classification and the other attributes listed in Annex II for that entity on the same working day of notification by the ECB of which entity is relevant for the determination of the euro short-term rate. The ECB shall notify NCBs on a daily basis which reference data is relevant for the determination of the euro short-term rate.

▼B

Article 23

Reference data relevant for collateral management

Competent NCBs shall ensure the quality and reliability of the reference data for entities relevant for collateral management purposes and shall record in RIAD all the attributes which are listed in Annex II relevant to any such entities, in order for the competent NCBs to properly verify compliance by monetary policy counterparties with the provisions governing close links set out in Title VIII of Part Four in Guideline (EU) 2015/510 (ECB/2014/60).

Article 24

Reference data relevant for the Treasury Management System (TMS)

Competent NCBs shall make reasonable efforts to record in RIAD all the attributes listed in Annex II for entities relevant for TMS. The ECB is responsible for assigning the TMS identifier to entities relevant for TMS.

Article 25

Reference data relevant for SHSDB

Competent NCBs shall record in RIAD all the attributes listed in Annex II for counterparties relevant for the SHSDB in accordance with Regulation (EU) 2016/1384 of the European Central Bank (ECB/2016/22) ( 17 ) and Guideline ECB/2013/7 ( 18 ). NCBs shall ensure that such entities are linked to the SHSDB via a common, stable entity identifier that covers such entities in all sectors.

Article 26

Reference data relevant for CSDB

NCBs shall make reasonable efforts to record in RIAD all the attributes listed in Annex II for issuers of securities resident in their country which are recorded in CSDB in accordance with Guideline ECB/2012/21 ( 19 ). NCBs shall ensure that such entities are linked to the CSDB via a common, stable entity identifier that covers such entities in all sectors.

Article 27

Reference data relevant for AnaCredit

NCBs shall ensure that the reference data for counterparties relevant for AnaCredit in accordance with Regulation (EU) 2016/867 (ECB/2016/13) and in Guideline (EU) 2017/2335 (ECB/2017/38) are recorded in RIAD. Annex II provides an overview of the relevant attributes which are required in accordance with that Regulation and that Guideline, including the unique identification of all resident counterparties in RIAD.

Article 28

Recording of reference data on groups

1. NCBs shall ensure the recording of relationship reference data needed for the data reporting for the SHSDB in accordance with Regulation (EU) 2016/1384 (ECB/2016/22), for AnaCredit in accordance with Regulation (EU) 2016/867 (ECB/2016/13) and for the assessment of close links in accordance with Guideline (EU) 2015/510 (ECB/2014/60). This information on relationship reference data will allow the dynamic construction of group structures by the system.

2. NCBs shall report statistical information on banking groups at legal unit level, including any entities (the direct parent or direct subsidiary) belonging to the banking group that are established outside the euro area.

3. NCBs may report to the ECB information on non-controlled entities.

4. NCBs may complete the groups' information by recording any other type of group members and dependent entities and shall on a reasonable effort basis maintain the information up-to-date.

5. In case of conflicting information on entities belonging to a group structure, the competent NCB(s) shall take the guidance of the NCB of the country in which the head of the group is resident into account.







CHAPTER VIII

FINAL PROVISIONS

Article 29

Simplified amendment procedure

The ECB's Executive Board may make any technical amendments to the annexes to this Guideline, provided that such amendments neither change the underlying conceptual framework nor affect the reporting burden on reporting agents in Member States. The Executive Board shall inform the Governing Council of any such amendment without undue delay.

Article 30

Taking effect

This Guideline shall take effect on the day of its notification to the NCBs of the Member States whose currency is the euro.

Article 31

Addressees

This Guideline is addressed to the NCBs of the Member States whose currency is the euro.

▼M1









ANNEX I

REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) – LISTS FOR PUBLICATION

PART 1

Attributes to be reported for datasets maintained for publication







Attribute name () Relevant in the context of the list of MFIs IFs FVCs PSRIs () ICs PFs Type Update frequency Type Update frequency Type Update frequency Type Update frequency Type Update frequency Type Update frequency Identifiers — RIAD code M d M q M q M a M q M q — National identifier — (as available) M d O q M q M a M q M q — EGR code O d O q — LEI (as available) M d M q M q M a M q M q — Bank identifier code (BIC) O d — ISINs (as available) O m M q M q O q O q Name M d M q M q M a M q M q Country of residence M d M q M q M a M q M q Address (*1) M d O q O q M a M q M q Legal form (*1) M d O q O q O a O q O q Flag Listed M d M q M q O a M q M q Type of supervision M d M q M q M a M q M q Reporting requirements M d M q M q M a M q M q Type of banking licence M d O a Legal set-up M q Flag UCITS compliance M q Flag Sub-fund M q Nature of securitisation M q Type of Investment Funds M q Investment policy for IFs M q Type of Pension Funds M q Flag ‘Is sponsored’ M q Flag Payment service provider (PSP) M a Flag Payment system operator (PSO) M a Flag small PSP M a Flag PSP derogation granted M a Type of PSP license M a PSP geographical scope M a Institutional sector M d M q M q M a M q M q Institutional sector details M d M q M q M a M q M q Institutional sector control M d M q M q M a M q M q NACE code M d M q M q O a M q M q Geographic location (NUTS) (*1) M d O q O q M a M q M q Employment domestic ((+)) O a O a O a O a O a O a Balance sheet total (ECB Regulation) domestic ((+)) M a O () a O a Net assets domestic ((+)) O a M a Gross premiums written domestic ((+)) M a Total employment ((++)) O a O a O a O a O a O a Total balance sheet ((++)) M a O a O a O () a O a Gross premiums written ((++)) M a Birth date O d O q O q O a O q O q Closure date M d M q M q M a M q M q Flag ‘Is Inactive’ M d M q M q M a M q M q Flag ‘Is under liquidation’ M d O q M q M a M q O q Required counterparties Originator of FVC M q Management company (as applicable) M q M q M () q Headquarters (as applicable) M d M q M q (+) excluding non-resident branches (or headquarters). (++) including non-resident branches (if applicable). (*1) as applicable. (3) Please note that the list of PSRIs may overlap with the list of MFIs. (4) This should be reported at least for one of the variables depending on the data collection system. (5) This attribute refers to pension managers as regards the data reported by these entities pursuant to Regulation (EU) 2018/231 (ECB/2018/2). Relevance: M (mandatory), O (optional), blank (not applicable). Frequency: a (annual), q (quarterly), m (monthly), d (daily/as soon as a change occurs). Timeframe: for annual data is (if not specified elsewhere) one month following the reference date.

PART 2

Types of relationships between entities







Type Update frequency 1. Relationships within an enterprise Relationship between a legal unit(s) and an enterprise O — 2. Relationships within enterprise groups Control relationship between legal units M () q Ownership (non-controlled) relationship between legal units O q 3. Other relationships Link between an originator and its FVC M q Link between a management company and its FVC/IF/PF () (*1) M q Link between a non-resident branch and its resident headquarter M q () Link between a resident branch and its non-resident headquarter M q Link between a sub-fund and an umbrella fund (*1) M q Link between an entity and its ultimate parent () (*1) M m Link between a pension fund and its sponsor (*1) O q (1) only for ‘banking groups’ with headquarters in the euro area and for counterparties contemplated by Regulation (EU) 2016/867 (ECB/2016/13); otherwise optional. (2) at least quarterly, depending on the sector. (3) only for AnaCredit relevant entities. (4) except self-managed entities. (*1) as applicable.









ANNEX II

REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS NOT FOR PUBLICATION

Attributes to be reported for datasets according to their respective legal framework referred to in Chapter VII of this Guideline







Attribute name Individual BSI and MIR statistics (iBSI-iMIR) Regulation (EU) No 1333/2014 (ECB/2014/48) and the euro short-term rate Entities relevant for Collateral Management Treasury Management System (TMS) Security Holding Statistics Database (SHSDB) (1) Centralised Securities Database (CSDB) Common Granular Analytical Credit database (AnaCredit) (2) Entity Identifiers — RIAD code x x x x x x x — LEI ((*1)) x x x x x — National identifiers ((*1)) x x x x — Other Identifiers x x x x x Instrument Identifiers — ISIN x x Name x x x x x x x Country of residence x x x x x x x Address x Legal form x Institutional sector x x x x x x x Institutional sector details x x x x x x x Institutional sector control x x x x x x x Collateral group x NACE code x x x Geographic location (NUTS) x Flag CCP x Reporting requirements x Accounting Framework x Total employment x Total balance sheet x Enterprise size x Annual turnover x Status of legal proceedings x Birth date x x x x x x x Closure date x x x x x x x Flag ‘Is Inactive’ x x x x x x Relationships — Ownership relation x — Branch relation x Link — to headquarters x x — to direct controlling parent x x — to ultimate controlling parent x x — to management company x (1) The list of mandatory attributes for the relevant SHSDB counterparty roles is specified in the respective legal acts. (2) The list of mandatory attributes for a specific AnaCredit counterparty depends on its role (borrower, guarantor, etc.), residency (within/outside reporting Member State), and on the date the loan was granted as specified in the respective legal acts. (*1) ‘LEI’ or, if not available, ‘National identifiers’ should be provided as mandatory attributes.