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

Stocks

Data required to be provided on a quarterly basis

A. Domestic B. Euro area other than domestic C. Rest of the World 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 1 Deposit and loan claims up to 1 year over 1 year 2 Debt securities 2e. Euro up to 1 year over 1 year and up to 2 years over 2 years 2x. Foreign currencies up to 1 year over 1 year and up to 2 years over 2 years 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 of which listed shares of which investment fund shares/units (2+3)a of which securities lent out or sold under repurchase agreements 4 Financial derivatives 5 Non-financial assets (including fixed assets) 6 Remaining assets LIABILITIES 7 Loans and deposits received up to 1 year over 1 year 8 IF shares/units ( 1 ) 9 Financial derivatives 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

Revaluation adjustments or transactions

Data required to be provided on a quarterly basis

A. Domestic B. Euro area other than domestic C. Rest of the World 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 1 Deposit and loan claims up to 1 year over 1 year 2 Debt securities 2e. Euro up to 1 year over 1 year and up to 2 years over 2 years 2x. Foreign currencies up to 1 year over 1 year and up to 2 years over 2 years 2t. Total currencies up to 1 year 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 over 2 years MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM 3 Equity and investment fund shares/units 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 of which investment fund shares/units MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM MINIMUM 4 Financial derivatives MINIMUM (3) 5 Non-financial assets (including fixed assets) MINIMUM (3) 6 Remaining assets LIABILITIES 7 Loans and deposits received up to 1 year over 1 year 8 IF shares/units ( 2 ) MINIMUM 9 Financial derivatives MINIMUM (3) 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

Data required to be provided on a monthly basis

A. Domestic B. Euro area other than domestic C. Rest of the World 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 8 IF shares/units ( 4 ) Issuance of IF shares/units Redemption of IF shares/units

(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).

(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).

(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.

(4) Stocks; revaluation adjustments or transactions