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) ( OJ L 297, 7.11.2013 )
Date: 2013-11-29
Institutions: European Central Bank
Subjects: disclosure of information, financial statistics, information society




L_2013319EN.01003901.xml










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


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