Commission Implementing Regulation (EU) 2017/393 of 11 November 2016 laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Text with EEA relevance. )
Date: 2016-11-11
Institutions: Directorate-General for Financial Stability, Financial Services and Capital Markets Union, European Commission
Subjects: disclosure of information, financial control, financial institution, financial instrument, financial legislation, financial transaction, liquidity control, securities, technical standard




L_2017065EN.01011601.xml










10.3.2017   


EN


Official Journal of the European Union


L 65/116








            COMMISSION IMPLEMENTING REGULATION (EU) 2017/393
of 11 November 2016
         
laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 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) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (1), and in particular the third subparagraph of Article 9(3) thereof,

Whereas:







(1)


In accordance with Regulation (EU) No 909/2014 settlement internalisers and competent authorities are to report and transmit information on internalised settlements using standard forms, templates and procedures. Standard forms, templates and procedures also need to be used when competent authorities inform the European Securities and Markets Authority (ESMA) on any potential risk resulting from the settlement activity.












(2)


In order to facilitate the implementation of the procedures and processes related to the reporting requirements on internalised settlements across market participants and to minimise the associated costs, the information should be provided using codes specified in standards published by the International Organisation for Standardisation where such codes are available.












(3)


In order to facilitate the processing of large volumes of data in a consistent and efficient manner, reports should be transmitted in a machine readable format.












(4)


The reporting requirements set out in this Regulation may require significant IT system changes, market testing and adjustments to legal arrangements of the institutions concerned. It is therefore necessary to give those institutions sufficient time to prepare for application of those requirements.












(5)


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












(6)


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 in accordance with Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2),





HAS ADOPTED THIS REGULATION:



Article 1

1.   A settlement internaliser shall use the template set out in Annex I to this Regulation when it reports to the competent authority in accordance with the first subparagraph of Article 9(1) of Regulation (EU) No 909/2014. That report shall be submitted within 10 working days from the end of each quarter of a calendar year.
The first report under the first subparagraph shall be submitted within 10 working days from the end of the first quarter following 10 March 2019.


2.   The competent authority shall use the template set out in Annex I to this Regulation when it transmits to European Securities and Markets Authority (ESMA) the information received under the first subparagraph of Article 9(1) of Regulation (EU) No 909/2014. That information shall be transmitted within five working days from the date of receipt of each report referred to in paragraph 1 of this Article.


3.   The template set out in Annex I shall be completed in accordance with the instructions set out in Annex II.


4.   The competent authority shall use the template set out in Annex III when it informs ESMA of any potential risk resulting from internalised settlement activity. Information on any potential risk resulting from internalised settlement activity shall be submitted within 30 working days from the end of each quarter of a calendar year. The competent authority shall complete that template in accordance with the instructions set out in Annex IV.


5.   The information referred to in paragraphs 1, 2 and 4 shall be provided in a machine readable format.



Article 2
This Regulation shall enter into force on 10 March 2019.




This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 11 November 2016.


For the Commission


The President

Jean-Claude JUNCKER
            





(1)  
            OJ L 257, 28.8.2014, p. 1.

(2)  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 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).




ANNEX I

Template for reporting and transmission of information on internalised settlement
















Internalised Settlement







Settlement Internaliser Information






 



C0010






Country code




R0010



 





Reporting timestamp




R0020



 





Reporting period




R0030



 





LEI




R0040



 





Name of person responsible




R0050



 





Function of person responsible




R0060



 





Phone number




R0070



 





Email address




R0080



 




 



Aggregate




Rate






Settled




Failed




Total




Failed






Volume




Value (EUR)




Volume




Value (EUR)




Volume




Value (EUR)




Volume %




Value %






C0020




C0030




C0040




C0050




C0060




C0070




C0080




C0090






Overall total




R0090



 


 


 


 


 


 


 


 







Financial instruments



 


 


 


 


 


 


 


 


 




Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU of the European Parliament and of the Council (1)




R0100



 


 


 


 


 


 


 


 




Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU



R0110



 


 


 


 


 


 


 


 




Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU



R0120



 


 


 


 


 


 


 


 




Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU



R0130



 


 


 


 


 


 


 


 




Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU



R0140



 


 


 


 


 


 


 


 




Units in collective investment undertakings, other than exchange-traded funds



R0150



 


 


 


 


 


 


 


 




Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU



R0160



 


 


 


 


 


 


 


 




Emission allowances



R0170



 


 


 


 


 


 


 


 




Other financial instruments



R0180



 


 


 


 


 


 


 


 







Type of transactions



 


 


 


 


 


 


 


 


 




Purchase or sale of securities



R0190



 


 


 


 


 


 


 


 




Collateral management operations



R0200



 


 


 


 


 


 


 


 




Securities lending and securities borrowing



R0210



 


 


 


 


 


 


 


 




Repurchase transactions



R0220



 


 


 


 


 


 


 


 




Other securities transactions



R0230



 


 


 


 


 


 


 


 







Type of client



 


 


 


 


 


 


 


 


 




Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU



R0240



 


 


 


 


 


 


 


 




Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU



R0250



 


 


 


 


 


 


 


 







Cash Transfers



 


 


 


 


 


 


 


 


 




Total Cash Transfers



R0260



 


 


 


 


 


 


 


 





Each Issuer CSD Information






 



C0100






Issuer CSD identifier




R0270



 





Issuer CSD country code




R0280



 




 



Aggregate




Rate






Settled




Failed




Total Settled Failed




Failed






Volume




Value (EUR)




Volume




Value (EUR)




Volume




Value (EUR)




Volume %




Value %






C0110




C0120




C0130




C0140




C0150




C0160




C0170




C0180






Overall total




R0290



 


 


 


 


 


 


 


 







Financial instruments



 


 


 


 


 


 


 


 


 




Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU



R0300



 


 


 


 


 


 


 


 




Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU



R0310



 


 


 


 


 


 


 


 




Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU



R0320



 


 


 


 


 


 


 


 




Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU



R0330



 


 


 


 


 


 


 


 




Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU



R0340



 


 


 


 


 


 


 


 




Units in collective investment undertakings other than ETFs



R0350



 


 


 


 


 


 


 


 




Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU



R0360



 


 


 


 


 


 


 


 




Emission allowances



R0370



 


 


 


 


 


 


 


 




Other financial instruments



R0380



 


 


 


 


 


 


 


 







Type of transactions



 


 


 


 


 


 


 


 


 




Purchase or sale of securities



R0390



 


 


 


 


 


 


 


 




Collateral management operations



R0400



 


 


 


 


 


 


 


 




Securities lending and securities borrowing



R0410



 


 


 


 


 


 


 


 




Repurchase transactions



R0420



 


 


 


 


 


 


 


 




Other securities transactions



R0430



 


 


 


 


 


 


 


 







Type of client



 


 


 


 


 


 


 


 


 




Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU



R0440



 


 


 


 


 


 


 


 




Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU



R0450



 


 


 


 


 


 


 


 







Cash Transfers



 


 


 


 


 


 


 


 


 




Total Cash Transfers



R0460



 


 


 


 


 


 


 


 






(1)  Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).





ANNEX II

Instructions for completing the template for reporting and transmission of information on internalised settlement

The ‘Cell Reference’ column of the table below identifies the items to be reported by identifying the columns and lines as showed in the template in Annex I. Information in columns C0100-C0180, as well as in Rows R0270-R0460 shall be reported for each issuer CSD.
Information in columns C0020, C0040, C0060, C0110, C0130 and C0150 for aggregated volumes shall be reported as a whole number expressed using up to 20 numerical characters without decimal places.
Information in columns C0030, C0050, C0070, C0120, C0140 and C0160 for aggregate values shall be reported as a value expressed using up to 20 numerical characters including decimals. The decimal mark is not counted as a numerical character and at least one character before and two characters after the decimal mark shall be populated. A full stop shall be used as the decimal mark.
Information in columns C0080, C0090, C00170 and C00180 for rates shall be reported as a percentage value up to two decimal places.
Where no activity needs to be reported, information in columns C0020-C0090 and C0110-C0180 shall be completed with a zero value.








No.


Cell Reference


Item


Instruction




1


C0010, R0010


Country code


Identify the ISO 3166 2 character code of the place of establishment of the settlement internaliser.




2


C0010, R0020


Reporting timestamp


For reporting from the settlement internaliser to the competent authority, identify the ISO 8601 in UTC time format (YYYY-MM-DDThh:mm:ssZ) code of the date when the report from the settlement internaliser to the competent authority is made.
For reporting from the competent authority to ESMA, identify the ISO 8601 in UTC time format (YYYY-MM-DDThh:mm:ssZ) code of the date when the report from the competent authority to ESMA is made.




3


C0010, R0030


Reporting period


Identify the ISO 8601 (YYYY-MM-DD) code of the date identifying the last day of the reporting period.




4


C0010, R0040


Settlement internaliser identifier


Insert identification code of the settlement internaliser, using a Legal Entity Identifier (LEI).




5


C0010, R0050


Name of person responsible


For reporting from the settlement internaliser to the competent authority, indicate the name of the person responsible for the report at the settlement internaliser.
For reporting from the competent authority to ESMA, the name of the liaison at the competent authority.




6


C0010, R0060


Function of person responsible


For reporting from the settlement internaliser to the competent authority, the function of the person responsible for the report at the settlement internaliser.
For reporting from the competent authority to ESMA, the function of the liaison at the competent authority.




7


C0010, R0070


Phone number


For reporting from the settlement internaliser to the competent authority, the phone number of the person responsible for the report at the settlement internaliser.
For reporting from the competent authority to ESMA, the phone number of the liaison at the competent authority.




8


C0010, R0080


Email address


For reporting from the settlement internaliser to the competent authority, the email address of the person responsible for the report at the settlement internaliser.
For reporting from the competent authority to ESMA, the email address of the liaison at the competent authority.




9


C0100, R0270


Issuer CSD identifier


Insert identification code of the CSD, using an LEI.
If information on the issuer CSD is not available the first two characters of the ISIN codes shall be used.




10


C0100, R0280


Issuer CSD Country Code


Identify the ISO 3166 2 character code of the place of establishment of the issuer CSD.




11


C0020, R0090
C0110, R0290


Overall total


Aggregated volume of internalised settlement instructions settled by the settlement internaliser during the period covered by the report.




12


C0030, R0090
C0120, R0290


Overall total


Aggregated value, expressed in euros, of internalised settlement instructions settled during the period covered by the report.




13


C0040, R0090
C0130, R0290


Overall total


Aggregated volume of failed internalised settlement instructions during the period covered by the report




14


C0050, R0090
C0140, R0290


Overall total


Aggregated value, expressed in euros, of failed internalised settlement instructions during the period covered by the report




15


C0060, R0090
C0150, R0290


Overall total


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions during the period covered by the report.




16


C0070, R0090
C0160, R0290


Overall total


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and of failed internalised settlement instructions during the period covered by the report.




17


C0080, R0090
C0170, R0290


Overall total


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions during the period covered by the report.




18


C0090, R0090
C0180, R0290


Overall total


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions during the period covered by the report.




19


C0020, R0100
C0110, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




20


C0030, R0100
C0120, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




21


C0040, R0100
C0130, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report




22


C0050, R0100
C0140, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report




23


C0060, R0100
C0150, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




24


C0070, R0100
C0160, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




25


C0080, R0100
C0170, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




26


C0090, R0100
C0180, R0300


Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




27


C0020, R0110
C0110, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




28


C0030, R0110
C0120, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




29


C0040, R0110
C0130, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report




30


C0050, R0110
C0140, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report




31


C0060, R0110
C0150, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




32


C0070, R0110
C0160, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and of failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




33


C0080, R0110
C0170, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




34


C0090, R0110
C0180, R0310


Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




35


C0020, R0120
C0110, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




36


C0030, R0120
C0120, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




37


C0040, R0120
C0130, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report




38


C0050, R0120
C0140, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report




39


C0060, R0120
C0150, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




40


C0070, R0120
C0160, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and of failed internalised settlement instructions in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




41


C0080, R0120
C0170, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




42


C0090, R0120
C0180, R0320


Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




43


C0020, R0130
C0110, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




44


C0030, R0130
C0120, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




45


C0040, R0130
C0130, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report




46


C0050, R0130
C0140, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report




47


C0060, R0130
C0150, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




48


C0070, R0130
C0160, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




49


C0080, R0130
C0170, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




50


C0090, R0130
C0180, R0330


Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU during the period covered by the report.




51


C0020, R0140
C0110, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




52


C0030, R0140
C0120, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




53


C0040, R0140
C0130, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report




54


C0050, R0140
C0140, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report




55


C0060, R0140
C0150, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




56


C0070, R0140
C0160, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




57


C0080, R0140
C0170, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




58


C0090, R0140
C0180, R0340


Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




59


C0020, R0150
C0110, R0350


Units in collective investment undertakings, other than ETFs


Aggregated volume of internalised settlement instructions settled for units in collective investment undertakings, other than ETFs by the settlement internaliser during the period covered by the report.




60


C0030, R0150
C0120, R0350


Units in collective investment undertakings, other than ETFs


Aggregated value, expressed in euros, of internalised settlement instructions settled in units in collective investment undertakings, other than ETFs during the period covered by the report.




61


C0040, R0150
C0130, R0350


Units in collective investment undertakings, other than ETFs


Aggregated volume of failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.




62


C0050, R0150
C0140, R0350


Units in collective investment undertakings, other than ETFs


Aggregated value, expressed in euros, of failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.




63


C0060, R0150
C0150, R0350


Units in collective investment undertakings, other than ETFs


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.




64


C0070, R0150
C0160, R0350


Units in collective investment undertakings, other than ETFs


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.




65


C0080, R0150
C0170, R0350


Units in collective investment undertakings, other than ETFs


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.




66


C0090, R0150
C0180, R0350


Units in collective investment undertakings, other than ETFs


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in units in collective investment undertakings, other than ETFs during the period covered by the report.




67


C0020, R0160
C0110, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




68


C0030, R0160
C0120, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




69


C0040, R0160
C0130, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report




70


C0050, R0160
C0140, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report




71


C0060, R0160
C0150, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




72


C0070, R0160
C0160, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




73


C0080, R0160
C0170, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




74


C0090, R0160
C0180, R0360


Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU during the period covered by the report.




75


C0020, R0170
C0110, R0370


Emission allowances


Aggregated volume of internalised settlement instructions settled in emission allowances by the settlement internaliser during the period covered by the report.




76


C0030, R0170
C0120, R0370


Emission allowances


Aggregated value, expressed in euros, of internalised settlement instructions settled in emission allowances during the period covered by the report.




77


C0040, R0170
C0130, R0370


Emission allowances


Aggregated volume of failed internalised settlement instructions in emission allowances during the period covered by the report




78


C0050, R0170
C0140, R0370


Emission allowances


Aggregated value, expressed in euros, of failed internalised settlement instructions in emission allowances during the period covered by the report




79


C0060, R0170
C0150, R0370


Emission allowances


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in emission allowances during the period covered by the report.




80


C0070, R0170
C0160, R0370


Emission allowances


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in emission allowances during the period covered by the report.




81


C0080, R0170
C0170, R0370


Emission allowances


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in emission allowances during the period covered by the report.




82


C0090, R0170
C0180, R0370


Emission allowances


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in emission allowances during the period covered by the report.




83


C0020, R0180
C0110, R0380


Other financial instruments


Aggregated volume of internalised settlement instructions settled in other financial instruments by the settlement internaliser during the period covered by the report.




84


C0030, R0180
C0120, R0380


Other financial instruments


Aggregated value, expressed in euros, of internalised settlement instructions settled in other financial instruments during the period covered by the report.




85


C0040, R0180
C0130, R0380


Other financial instruments


Aggregated volume of failed internalised settlement instructions in other financial instruments during the period covered by the report




86


C0050, R0180
C0140, R0380


Other financial instruments


Aggregated value, expressed in euros, of failed internalised settlement instructions in other financial instruments during the period covered by the report




87


C0060, R0180
C0150, R0380


Other financial instruments


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions in other financial instruments during the period covered by the report.




88


C0070, R0180
C0160, R0380


Other financial instruments


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in other financial instruments during the period covered by the report.




89


C0080, R0180
C0170, R0380


Other financial instruments


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in other financial instruments during the period covered by the report.




90


C0090, R0180
C0180, R0380


Other financial instruments


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions in other financial instruments during the period covered by the report.




91


C0020, R0190
C0110, R0390


Purchase or sale of securities


Aggregated volume of internalised settlement instructions settled for purchase or sale of securities by the settlement internaliser during the period covered by the report.




92


C0030, R0190
C0120, R0390


Purchase or sale of securities


Aggregated value, expressed in euros, of internalised settlement instructions settled for the purchase or sale of securities during the period covered by the report.




93


C0040, R0190
C0130, R0390


Purchase or sale of securities


Aggregated volume of failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report




94


C0050, R0190
C0140, R0390


Purchase or sale of securities


Aggregated value, expressed in euros, of failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report




95


C0060, R0190
C0150, R0390


Purchase or sale of securities


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.




96


C0070, R0190
C0160, R0390


Purchase or sale of securities


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.




97


C0080, R0190
C0170, R0390


Purchase or sale of securities


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.




98


C0090, R0190
C0180, R0390


Purchase or sale of securities


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the purchase or sale of securities during the period covered by the report.




99


C0020, R0200
C0110, R0400


Collateral management operations


Aggregated volume of internalised settlement instructions settled for the collateral management operations by the settlement internaliser during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI;










—


Collateral out: COLO;










—


Central bank collateral operation: CNCB.








100


C0030, R0200
C0120, R0400


Collateral management operations


Aggregated value, expressed in euros, of internalised settlement instructions settled for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








101


C0040, R0200
C0130, R0400


Collateral management operations


Aggregated volume of failed internalised settlement instructions for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








102


C0050, R0200
C0140, R0400


Collateral management operations


Aggregated value, expressed in euros, of failed internalised settlement instructions for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








103


C0060, R0200
C0150, R0400


Collateral management operations


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








104


C0070, R0200
C0160, R0400


Collateral management operations


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








105


C0080, R0200
C0170, R0400


Collateral management operations


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








106


C0090, R0200
C0180, R0400


Collateral management operations


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the collateral management operations during the period covered by the report.
Collateral management operations are defined as:






—


Collateral in: COLI










—


Collateral out: COLO










—


Central bank collateral operation: CNCB








107


C0020, R0210
C0110, R0410


Securities lending and securities borrowing


Aggregated volume of internalised settlement instructions settled for the securities lending and securities borrowing by the settlement internaliser during the period covered by the report.




108


C0030, R0210
C0120, R0410


Securities lending and securities borrowing


Aggregated value, expressed in euros, of internalised settlement instructions settled for the securities lending and securities borrowing during the period covered by the report.




109


C0040, R0210
C0130, R0410


Securities lending and securities borrowing


Aggregated volume, expressed in euros, of failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.




110


C0050, R0210
C0140, R0410


Securities lending and securities borrowing


Aggregated value, expressed in euros, of failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.




111


C0060, R0210
C0150, R0410


Securities lending and securities borrowing


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.




112


C0070, R0210
C0160, R0410


Securities lending and securities borrowing


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.




113


C0080, R0210
C0170, R0410


Securities lending and securities borrowing


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.




114


C0090, R0210
C0180, R0410


Securities lending and securities borrowing


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the securities lending and securities borrowing during the period covered by the report.




115


C0020, R0220
C0110, R0420


Repurchase transactions


Aggregated volume of internalised settlement instructions settled for the repurchase transactions by the settlement internaliser during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








116


C0030, R0220
C0120, R0420


Repurchase transactions


Aggregated value, expressed in euros, of internalised settlement instructions settled for the repurchase transactions during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








117


C0040, R0220
C0130, R0420


Repurchase transactions


Aggregated volume of failed internalised settlement instructions for the repurchase transactions by the settlement internaliser during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








118


C0050, R0220
C0140, R0420


Repurchase transactions


Aggregated value, expressed in euros, of failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions:RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








119


C0060, R0220
C0150, R0420


Repurchase transactions


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








120


C0070, R0220
C0160, R0420


Repurchase transactions


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








121


C0080, R0220
C0170, R0420


Repurchase transactions


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








122


C0090, R0220
C0180, R0420


Repurchase transactions


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for the repurchase transactions during the period covered by the report.
Repurchase transactions are defined as:






—


Repurchase agreement transactions: REPU










—


Reverse repurchase agreement transactions: RVPO










—


Triparty repurchase agreements: TRPO










—


Triparty reverse repurchase agreements: TRVO










—


Buy sell back transactions: BSBK










—


Sell buy back transactions: SBBK








123


C0020, R0230
C0110, R0430


Other securities transactions


Aggregated volume of internalised settlement instructions settled for any other securities transactions by the settlement internaliser during the period covered by the report.




124


C0030, R0230
C0120, R0430


Other securities transactions


Aggregated value, expressed in euros, of internalised settlement instructions settled for any other securities transactions during the period covered by the report.




125


C0040, R0230
C0130, R0430


Other securities transactions


Aggregated volume of failed internalised settlement instructions settled for any other securities transactions during the period covered by the report.




126


C0050, R0230
C0140, R0430


Other securities transactions


Aggregated value, expressed in euros, of failed internalised settlement instructions for any other securities transactions during the period covered by the report.




127


C0060, R0230
C0150, R0430


Other securities transactions


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for any other securities transactions during the period covered by the report.




128


C0070, R0230
C0160, R0430


Other securities transactions


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for any other securities transactions during the period covered by the report.




129


C0080, R0230
C0170, R0430


Other securities transactions


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for any other securities transactions during the period covered by the report.




130


C0090, R0230
C0180, R0430


Other securities transactions


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for any other securities transactions during the period covered by the report.




131


C0020, R0240
C0110, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




132


C0030, R0240
C0120, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




133


C0040, R0240
C0130, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report




134


C0050, R0240
C0140, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report




135


C0060, R0240
C0150, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




136


C0070, R0240
C0160, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




137


C0080, R0240
C0170, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




138


C0090, R0240
C0180, R0440


Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




139


C0020, R0250
C0110, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


Aggregated volume of internalised settlement instructions settled for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU by the settlement internaliser during the period covered by the report.




140


C0030, R0250
C0120, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


Aggregated value, expressed in euros, of internalised settlement instructions settled for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




141


C0040, R0250
C0130, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


Aggregated volume of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report




142


C0050, R0250
C0140, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


Aggregated value, expressed in euros, of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




143


C0060, R0250
C0150, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




144


C0070, R0250
C0160, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and number of failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




145


C0080, R0250
C0170, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




146


C0090, R0250
C0180, R0450


Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU during the period covered by the report.




147


C0020, R0260
C0110, R0460


Total cash transfers


Aggregated volume of internalised settlement instructions settled for cash transfers by the settlement internaliser during the period covered by the report.




148


C0030, R0260
C0120, R0460


Total cash transfers


Aggregated value, expressed in euros, of internalised settlement instructions settled for cash transfers during the period covered by the report.




149


C0040, R0260
C0130, R0460


Total cash transfers


Aggregated volume of failed internalised settlement instructions for cash transfers during the period covered by the report




150


C0050, R0260
C0140, R0460


Total cash transfers


Aggregated value, expressed in euros, of failed internalised settlement instructions for cash transfers during the period covered by the report




151


C0060, R0260
C0150, R0460


Total cash transfers


Aggregated total of the volume of internalised settlement instructions settled by the settlement internaliser and volume of failed internalised settlement instructions for cash transfers during the period covered by the report.




152


C0070, R0260
C0160, R0460


Total cash transfers


Aggregated total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for cash transfers during the period covered by the report.




153


C0080, R0260
C0170, R0460


Total cash transfers


The rate of failed internalised settlement instructions compared to the aggregated total volume of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for cash transfers during the period covered by the report.




154


C0090, R0260
C0180, R0460


Total cash transfers


The rate of failed internalised settlement instructions compared to the total value, expressed in euros, of internalised settlement instructions settled by the settlement internaliser and failed internalised settlement instructions for cash transfers during the period covered by the report.









ANNEX III

Template for informing of potential risks









Potential Risks







Identification of the reporting competent authority






 


C0010




Name of the competent authority


R0010


 




Reporting timestamp


R0020


 




Reporting period


R0030


 




Name of the main liaison


R0040


 




Function of the main liaison


R0050


 




Phone number of the main liaison


R0060


 




Email address of the main liaison


R0070


 





Identification of any potential risks resulting from the internalised settlement activity in the jurisdiction






Identification of any potential risks resulting from the internalised settlement activity in the jurisdiction


R0080


 









ANNEX IV

Instructions for completing the template for informing of potential risks

The ‘Cell Reference’ column of the table below identifies the items to be reported by identifying the columns and lines as showed in the template in Annex III








No.


Cell Reference


Item


Instruction




1


C0010, R0010


Name of the competent authority.


The full name of the competent authority.




2


C0010, R0020


Reporting timestamp


Identify the ISO 8601 in UTC time format (YYYY-MM-DDThh:mm:ssZ) code of the date when the report from the competent authority is made.




2


C0010, R0030


Reporting period


Identify the ISO 8601 (YYYY-MM-DD) code of the date identifying the last day of the reporting period.




2


C0010, R0040


Name of the main liaison.


The main liaison at the competent authority that is responsible for completing the potential risks template.




3


C0010, R0050


Function of the main liaison.


The function of the main liaison at the competent authority that is responsible for completing the potential risks template.




4


C0010, R0060


Phone number of the main liaison.


The phone number of the main liaison at the competent authority who is responsible for completing the potential risks template.




5


C0010, R0070


Email address of the main liaison.


The email address of the main liaison at the competent authority that is responsible for completing the potential risks template.




6


C0010, R0080


Identification of any potential risks resulting from the internalised settlement activity in the jurisdiction.


Completed as free text.