CELEX: 32016R1066
Language: en
Date: 2016-06-17 00:00:00
Title: Commission Implementing Regulation (EU) 2016/1066 of 17 June 2016 laying down implementing technical standards with regard to procedures, standard forms and templates for the provision of information for the purpose of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU of the European Parliament and of the Council (Text with EEA relevance)

6.7.2016   
            
            
               EN
            
            
               Official Journal of the European Union
            
            
               L 181/1
            
         COMMISSION IMPLEMENTING REGULATION (EU) 2016/1066
   of 17 June 2016
   laying down implementing technical standards with regard to procedures, standard forms and templates for the provision of information for the purpose of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU 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 the Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council (1), and in particular Article 11(3) thereof,
   Whereas:
   
               (1)
            
            
               Resolution authorities have been conferred the task of drawing up resolution plans for credit institutions and investment firms (‘institutions’) in accordance with the requirements and the procedure laid down in Directive 2014/59/EU and for that purpose they have been empowered to request the necessary information from institutions. With specific regard to group resolution plans, the Union parent institution is to submit the relevant information to the group-level resolution authority which must then transmit it to the authorities listed in the second subparagraph of Article 13(1) of Directive 2014/59/EU in accordance with the procedure laid down therein.
            
         
               (2)
            
            
               The procedure and a minimum set of templates to request the necessary information from institutions should be designed in a way to enable the resolution authorities to collect that information in a consistent manner across the Union and to facilitate the exchange of information among the relevant authorities.
            
         
               (3)
            
            
               In accordance with Article 11(1)(a) of Directive 2014/59/EU institutions have a duty to cooperate as much as necessary with the resolution authorities for the purposes of drawing up resolution plans. However, procedures should be designed to minimise duplicated requirements for information. In this regard, Directive 2014/59/EU envisages a duty of cooperation of the competent authorities with the resolution authorities. This cooperation entails that the competent authority and the resolution authority jointly verify whether some or all of the necessary information is already available to the competent authority, by virtue of it exercising its supervisory tasks. Where that information is available, it is appropriate that the competent authority transmits it.
            
         
               (4)
            
            
               With a view to the overall content of resolution plans, it is appropriate that a minimum set of templates cover a core of information relating to an institution to be provided to the resolution authority.
            
         
               (5)
            
            
               This Regulation is based on the implementing technical standards submitted by the European Banking Authority (EBA) to the Commission.
            
         
               (6)
            
            
               The EBA has conducted open public consultations on the implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Banking Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council (2),
            
         HAS ADOPTED THIS REGULATION:
   Article 1
   Provision of information for the purpose of resolution plans
   The provision by an institution to the resolution authority of information necessary to draw up and implement resolution plans, in accordance with Article 11 of Directive 2014/59/EU, including group resolution plans in accordance with Article 13 of that Directive, shall be carried out following the procedure laid down in Article 2 of this Regulation and making use, where applicable, of the templates referred to in Article 3 of this Regulation.
   Article 2
   Procedure
   1.   For the purposes of verifying, in accordance with Article 11(2) of Directive 2014/59/EU, whether part or all of the necessary information to be requested by the resolution authority from the institution in order to draw the resolution plan is already available to the competent authority, the resolution authority shall first request such information from the competent authority of the relevant institution.
   2.   Where part or all the requested information is already available to the competent authority, that authority shall provide such information to the resolution authority in a timely manner
   3.   Where the information is not already available to the competent authority or where the format in which the information is provided by the competent authority is not satisfactory to the resolution authority, taking into account in particular the procedure to draw up group resolution plans, the resolution authority shall directly request the institution to provide the necessary information.
   4.   Where the information requested by the resolution authority in accordance with paragraph 3 is included in one of the categories set out in Article 3, the institution shall provide that information to the resolution authority by submitting the appropriate template contained in Annexes I to XII, following the instructions set out in Annex XIII.
   5.   Where the information requested by the resolution authority is not covered by one of the categories set out in Article 3, the information shall be provided in the format requested by the resolution authority.
   6.   A request of information by the resolution authority to an institution as referred to in paragraph 3 shall:
   
               (a)
            
            
               specify, taking into account the volume and complexity of the requested information, the appropriate time frame within which the institution shall provide the information to the resolution authority;
            
         
               (b)
            
            
               where the requested information is included in one of the categories set out in Article 3, specify the appropriate template contained in Annexes I to XII to be used in order to provide the information to the resolution authority;
            
         
               (c)
            
            
               where the requested information is not included in one of the categories set out in Article 3, or is not covered by any template contained in Annexes I to XII, specify the format to be used in order to provide the information to the resolution authority;
            
         
               (d)
            
            
               specify whether the relevant template contained in Annexes I to XII has to be completed on an individual or group level basis and whether its scope is local, Union-wide or global in accordance with the instructions contained in Annex XIII;
            
         
               (e)
            
            
               provide the necessary contact details to which the information has to be provided within the resolution authority.
            
         Article 3
   Minimum set of information included in the templates
   The minimum set of templates for the provision of information under Article 11 of Directive 2014/59/EU shall include the following categories:
   
               (1)
            
            
               organisational structure, as specified in Annex I;
            
         
               (2)
            
            
               governance and management, as specified in Annex II;
            
         
               (3)
            
            
               critical functions and core business lines, as specified in Annex III;
            
         
               (4)
            
            
               critical counterparties, as specified in Annex IV, Section 1: Assets, Section 2: Liabilities, and Section 3: Material hedges;
            
         
               (5)
            
            
               structure of liabilities, as specified in Annex V;
            
         
               (6)
            
            
               pledged collateral, as specified in Annex VI;
            
         
               (7)
            
            
               off-balance-sheet, as specified in Annex VII;
            
         
               (8)
            
            
               payment, clearing and settlement systems, as specified in Annex VIII;
            
         
               (9)
            
            
               information systems, as specified in Annex IX, Section 1: General information and Section 2: Mapping;
            
         
               (10)
            
            
               interconnectedness, as specified in Annex X;
            
         
               (11)
            
            
               authorities, as specified in Annex XI;
            
         
               (12)
            
            
               legal impact of resolution, as specified in Annex XII.
            
         Article 4
   Entry into force
   This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
   
      This Regulation shall be binding in its entirety and directly applicable in all Member States.
      Done at Brussels, 17 June 2016.
      
         
            For the Commission
         
         
            The President
         
         Jean-Claude JUNCKER
      
   
   
      (1)  OJ L 173, 12.6.2014, p. 190.
   
      (2)  Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC (OJ L 331, 15.12.2010, p. 12).
   
      ANNEX I
      
         Organisational structure
      
      
                  Legal entity
               
               
                  Direct holder
               
               
                  Capital
               
               
                  Voting rights
               
               
                  Consolidating entity
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
            
                  
                     Holding company X
                  
               
               
                  
                     110 
                  
               
               
                  
                     NA
                  
               
               
                  
                     NA
                  
               
               
                  
                     NA
                  
               
               
                  
                     NA
                  
               
               
                  
                     NA
                  
               
               
                  
                     NA
                  
               
            
                  
                     Bank A (Parent)
                  
               
               
                  
                     111 
                  
               
               
                  
                     Holding company X
                  
               
               
                  
                     110 
                  
               
               
                  
                     100  %
                  
               
               
                  
                     100  %
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
            
                  
                     Bank B (Subsidiary)
                  
               
               
                  
                     112 
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     80  %
                  
               
               
                  
                     60  %
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
            
                  
                     Bank U
                  
               
               
                  
                     156 
                  
               
               
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     100  %
                  
               
               
                  
                     100  %
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX II
      
         Governance and management
      
      
                  Legal entity
               
               
                  Location
               
               
                  Jurisdiction of incorporation
               
               
                  Licensing authority
               
               
                  Type of licence
               
               
                  Member of the management body responsible for providing the information for the resolution plan
               
               
                  Key manager
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Name
               
               
                  Phone number
               
               
                  E-mail address
               
               
                  Name
               
               
                  Function
               
               
                  Department
               
               
                  Phone numbers
               
               
                  E-mail addresses
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
               
                  130
               
               
                  140
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     London
                  
               
               
                  
                     GB
                  
               
               
                  
                     BoE
                  
               
               
                  
                     Deposit taking
                  
               
               
                  
                     David Jones
                  
               
               
                  
                     4 444 444 
                  
               
               
                  
                     djones@banka.com
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     Paris
                  
               
               
                  
                     FR
                  
               
               
                  
                     ACP
                  
               
               
                  
                     Deposit taking, asset management
                  
               
               
                  
                     Paul Durand
                  
               
               
                  
                     33 333 333 
                  
               
               
                  
                     pdurand@bankb.com
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX III
      
         Critical functions and core business lines
      
      
                  Critical functions
               
               
                  Core business lines
               
               
                  Legal entity
               
               
                  Location
               
               
                  Number of offices/branches in a location
               
               
                  Material assets
               
               
                  Material liabilities
               
               
                  Senior management official responsible for providing information
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Type
               
               
                  Amount
               
               
                  Currency
               
               
                  Type
               
               
                  Amount
               
               
                  Currency
               
               
                  Name
               
               
                  Function
               
               
                  Department
               
               
                  Phone numbers
               
               
                  E-mail addresses
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
               
                  130
               
               
                  140
               
               
                  150
               
               
                  160
               
               
                  170
               
            
                  Deposit taking
               
               
                  Retail banking
               
               
                  
                     Bank A
                  
               
               
                  
                     111
                  
               
               
                  
                     UK
                  
               
               
                  
                     87
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                  deposits
               
               
                  5,000 
               
               
                  GBP
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                  Retail banking
               
               
                  
                     Bank A
                  
               
               
                  
                     111
                  
               
               
                  
                     Ireland
                  
               
               
                  
                     4
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                  deposits
               
               
                  200
               
               
                  EUR
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                  Retail banking
               
               
                  
                     Bank B
                  
               
               
                  
                     112
                  
               
               
                  
                     France
                  
               
               
                  
                     112
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                  deposits
               
               
                  5,000 
               
               
                  EUR
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                  IT centre for online banking
               
               
                  
                     Entity C
                  
               
               
                  
                     113
                  
               
               
                  
                     Spain
                  
               
               
                  
                     1
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                  n/a
               
               
                  n/a
               
               
                  n/a
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  Asset management
               
               
                   
               
               
                  
                     Bank A
                  
               
               
                  
                     111
                  
               
               
                  
                     UK
                  
               
               
                  
                     10
                  
               
               
                  
                     assets under management
                  
               
               
                  1,000 
               
               
                  GBP
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                  
                     Bank D
                  
               
               
                  
                     114
                  
               
               
                  
                     Slovakia
                  
               
               
                  
                     1
                  
               
               
                  
                     assets under management
                  
               
               
                  100
               
               
                  EUR
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX IV
      SECTION 1
      
         Critical counterparties (Assets)
      
      
                  Legal entity
               
               
                  Critical counterparty
               
               
                  Currency
               
               
                  Original exposure
               
               
                  Credit risk mitigations
               
               
                  Value adjustments and provisions
               
               
                  Net exposure
               
               
                  Impact on CET1 ratio
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     UK government
                  
               
               
                  
                     789 
                  
               
               
                  
                     GBP
                  
               
               
                  
                     200,000 
                  
               
               
                  
                     0 
                  
               
               
                  
                     0 
                  
               
               
                  
                     200,000 
                  
               
               
                  
                     200 bp
                  
               
            
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     Bank W
                  
               
               
                  
                     444 
                  
               
               
                  
                     EUR
                  
               
               
                  
                     1,000,000 
                  
               
               
                  
                     500,000 
                  
               
               
                  
                     200,000 
                  
               
               
                  
                     300,000 
                  
               
               
                  
                     300 bp
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     Corporate U
                  
               
               
                  
                     650 
                  
               
               
                  
                     EUR
                  
               
               
                  
                     500,000 
                  
               
               
                  
                     0 
                  
               
               
                  
                     400,000 
                  
               
               
                  
                     100,000 
                  
               
               
                  
                     100 bp
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            SECTION 2
      
         Critical counterparties (Liabilities)
      
      
                  Legal entity
               
               
                  Critical counterparty
               
               
                  Funding
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Type
               
               
                  Amount
               
               
                  Currency
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            SECTION 3
      
         Critical counterparties (Material hedges)
      
      
                  Legal entity
               
               
                  Critical counterparty
               
               
                  Material hedges (on-balance sheet)
               
               
                  Material hedges (off-balance sheet)
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Type
               
               
                  Amount
               
               
                  Currency
               
               
                  Purpose of hedge
               
               
                  Type
               
               
                  Amount
               
               
                  Currency
               
               
                  Purpose of hedge
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX V
      
         Liabilities structure
      
      
                  010
               
               
                  Legal entity name
               
               
                  
                     Bank A
                  
               
            
                  020
               
               
                  Legal idenfier
               
               
                  
                     111 
                  
               
            
                  030
               
               
                  Governing law of the liabilities
               
               
                  
                     EEA
                  
               
            
                   
               
            
                  040
               
               
                  Date
               
               
                  
                     12/31/2013
                  
               
            
         
      
                   
               
               
                  Counterparties
               
               
                  Debt with a legal subordination qualifying as additional tier 1
               
               
                  Debt with a legal subordination qualifying as tier 2
               
               
                  Debt with a legal subordination
               
               
                  Senior unsecured debt
               
               
                  Deposits
               
               
                  Secured debt
               
               
                  Other liabilities excluded by Article 44(2) of BRRD
               
               
                  Derivatives
               
               
                  TOTAL
               
            
                  < 1 month
               
               
                  < 1 year
               
               
                  > 1 year
               
               
                  < 1 month
               
               
                  < 1 year
               
               
                  > 1 year
               
               
                  < 1 month
               
               
                  < 1 year
               
               
                  > 1 year
               
               
                  Total
               
               
                  
                     of which eligible deposits
                  
               
               
                  
                     of which covered deposits
                  
               
               
                  Exposure after prudential netting
               
               
                  Exposure after deducting margin and collateral
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
               
                  130
               
               
                  140
               
               
                  150
               
               
                  160
               
               
                  170
               
               
                  180
               
            
                  050
               
               
                  Natural persons
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  055
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  060
               
               
                  Micro, small and medium-sized enterprises
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  065
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  070
               
               
                  Large non-financial enterprises
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  075
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  080
               
               
                  Institutions
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  085
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  090
               
               
                  Insurance firms and pension funds
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  095
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  100
               
               
                  Other financial undertakings
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  105
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  110
               
               
                  Intragroup
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  115
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  120
               
               
                  Government, central banks and supranationals
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  125
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  130
               
               
                  Others/non-identified
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  140
               
               
                  
                     of which eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  150
               
               
                  
                     TOTAL
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  160
               
               
                  
                     Total eligible liabilities
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX VI
      
         Pledged collateral
      
      
                  Legal entity
               
               
                  Issuer of collateral
               
               
                  Type of collateral
               
               
                  Identification number
               
               
                  Holder of collateral
               
               
                  Amount
               
               
                  Currency
               
               
                  Jurisdiction
               
               
                  Counterparty
               
               
                  Amount
               
               
                  Currency
               
               
                  Jurisdiction
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
               
                  130
               
               
                  140
               
               
                  150
               
               
                  160
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     US government
                  
               
               
                  
                     278 
                  
               
               
                  
                     US gov bonds
                  
               
               
                   
               
               
                  
                     Bank L
                  
               
               
                  
                     487 
                  
               
               
                  
                     1 000 
                  
               
               
                  
                     USD
                  
               
               
                  
                     US
                  
               
               
                  
                     Bank B
                  
               
               
                  
                     345 
                  
               
               
                  
                     10 000 
                  
               
               
                  
                     USD
                  
               
               
                  
                     US
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     997 
                  
               
               
                  
                     Mortgages
                  
               
               
                   
               
               
                  
                     BoE
                  
               
               
                  
                     997 
                  
               
               
                  
                     1 000 
                  
               
               
                  
                     GBP
                  
               
               
                  
                     GB
                  
               
               
                  
                     Bank C
                  
               
               
                  
                     587 
                  
               
               
                  
                     8 000 
                  
               
               
                  
                     GBP
                  
               
               
                  
                     GB
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX VII
      
         Off-balance sheet
      
      
                  Legal entity
               
               
                  Off-balance sheet item
               
               
                  Counterparty
               
               
                  Amount
               
               
                  Currency
               
               
                  Critical operations
               
               
                  Core business lines
               
               
                  Additional information
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Total
               
               
                  of which committed
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     credit line
                  
               
               
                  
                     Bank C
                  
               
               
                  
                     113 
                  
               
               
                  
                     10 000 000 
                  
               
               
                  
                     10 000 000 
                  
               
               
                  
                     GBP
                  
               
               
                   
               
               
                   
               
               
                  
                     agreement expiring end 2015
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     credit line
                  
               
               
                  
                     Bank D
                  
               
               
                  
                     114 
                  
               
               
                  
                     –5,000,000 
                  
               
               
                  
                     0 
                  
               
               
                  
                     EUR
                  
               
               
                   
               
               
                   
               
               
                  
                     agreement expiring end 2015
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX VIII
      
         Payment, clearing and settlement systems
      
      
                  Legal entity
               
               
                  System
               
               
                  Representative Institution
               
               
                  Mapping to critical function
               
               
                  Mapping to core business line
               
               
                  Membership requirements
               
               
                  Impact of resolution proceedings on membership or contract with the representative institution
               
               
                  Substituability
               
               
                  Additional information
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  System type
               
               
                  Designation
               
               
                  Participation mode
               
               
                  Identification code
               
               
                  Entity name
               
               
                  Identification code
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
               
                  130
               
               
                  140
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     Depository
                  
               
               
                  
                     Clearstream
                  
               
               
                  
                     indirect
                  
               
               
                   
               
               
                  
                     Bank W
                  
               
               
                   
               
               
                   
               
               
                  
                     Securities trading
                  
               
               
                   
               
               
                  
                     Membership cancelled
                  
               
               
                  
                     Euroclear
                  
               
               
                   
               
            
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     Payment
                  
               
               
                  
                     TARGET
                  
               
               
                  
                     direct
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                  
                     Payment
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX IX
      SECTION 1
      
         Information systems (General information)
      
      
                  System
               
               
                  Group entity party to the contract
               
               
                  Type of contract
               
               
                  Counterparty
               
               
                  Person responsible
               
               
                  Impact of resolution proceedings on continuity of access to information systems
               
            
                  Identification
               
               
                  Type
               
               
                  Description
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
               
                  Name
               
               
                  Phone number
               
               
                  Email address
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
               
                  120
               
            
                  
                     System A
                  
               
               
                  internet banking
               
               
                   
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     License
                  
               
               
                  
                     Entity A
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  
                     System B
                  
               
               
                  credit approval
               
               
                   
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     License
                  
               
               
                  
                     Entity B
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                  credit approval
               
               
                   
               
               
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     License
                  
               
               
                  
                     Entity B
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                  
                     System C
                  
               
               
                  other
               
               
                   
               
               
                  
                     Bank C
                  
               
               
                  
                     113 
                  
               
               
                  
                     Shared service
                  
               
               
                  
                     Entity C
                  
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            SECTION 2
      
         Information systems (Mapping)
      
      
                  System
               
               
                  User
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Critical function
               
               
                  Core business line
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
            
                  
                     System A
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     Deposit taking
                  
               
               
                  
                     Deposit taking
                  
               
            
                  
                     System A
                  
               
               
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     Deposit taking
                  
               
               
                  
                     Deposit taking
                  
               
            
                  
                     System B
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     Credit
                  
               
               
                  
                     Retail
                  
               
            
                  
                     System B
                  
               
               
                  
                     Bank C
                  
               
               
                  
                     113 
                  
               
               
                  
                     Credit
                  
               
               
                  
                     Corporate banking
                  
               
            
                  
                     System C
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     All
                  
               
               
                  
                     All
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX X
      
         Interconnectedness
      
      
                  Legal entity A
               
               
                  Legal entity B
               
               
                   
               
               
                   
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name2
               
               
                  Legal identifier2
               
               
                  Type of interconnectedness
               
               
                  Description
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
            
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Bank B
                  
               
               
                  
                     102 
                  
               
               
                  
                     Personnel
                  
               
               
                  
                     Legal staff (40 elements)
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Bank C
                  
               
               
                  
                     103 
                  
               
               
                  
                     Personnel
                  
               
               
                  
                     Legal staff (40 elements)
                  
               
            
                  
                     Bank B
                  
               
               
                  
                     102 
                  
               
               
                  
                     Bank C
                  
               
               
                  
                     103 
                  
               
               
                  
                     Systems
                  
               
               
                  
                     All systems and IT infrastructures used by Bank C are also used by Bank B
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Bank C
                  
               
               
                  
                     103 
                  
               
               
                  
                     Funding arrangements
                  
               
               
                  
                     The funding of Bank C is done through Bank A
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Entity D
                  
               
               
                  
                     104 
                  
               
               
                  
                     Personnel
                  
               
               
                  
                     Legal staff (40 elements)
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Bank B
                  
               
               
                  
                     102 
                  
               
               
                  
                     Funding arrangements
                  
               
               
                  
                     The funding of Bank B is done through Bank A
                  
               
            
                  
                     Bank C
                  
               
               
                  
                     103 
                  
               
               
                  
                     Entity D
                  
               
               
                  
                     104 
                  
               
               
                  
                     Facilities
                  
               
               
                  
                     The headquarters of Bank C and Entity D are on the same building
                  
               
            
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Bank B
                  
               
               
                  
                     102 
                  
               
               
                  
                     Liquidity arrangements
                  
               
               
                  
                     Bank A agrees to provide liquidity to Bank B when necessary
                  
               
            
                  
                     Entity D
                  
               
               
                  
                     104 
                  
               
               
                  
                     Bank A
                  
               
               
                  
                     101 
                  
               
               
                  
                     Personnel
                  
               
               
                  
                     All IT personnel of Bank A is from Entity D
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX XI
      
         Authorities
      
      
                  Legal entity
               
               
                  Supervisory authority/ies
               
               
                  Resolution authority
               
               
                  Deposit guarantee authority
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Name of the authority
               
               
                  Phone number
               
               
                  Email address
               
               
                  Name of the authority
               
               
                  Phone number
               
               
                  Email address
               
               
                  Name of the authority
               
               
                  Phone number
               
               
                  Email address
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
               
                  080
               
               
                  090
               
               
                  100
               
               
                  110
               
            
                  
                     Bank A
                  
               
               
                  
                     111 
                  
               
               
                  
                     Prudential Regulation Authority
                  
               
               
                   
               
               
                   
               
               
                  
                     Bank of England
                  
               
               
                   
               
               
                   
               
               
                  
                     Financial Services Compensation Scheme
                  
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX XII
      
         Legal impacts of resolution
      
      
                  Legal entity
               
               
                  Third party
               
               
                  Type of contract
               
               
                  Termination affecting resolution tool
               
               
                  Comments
               
            
                  Entity name
               
               
                  Legal identifier
               
               
                  Entity name
               
               
                  Legal identifier
               
            
                  010
               
               
                  020
               
               
                  030
               
               
                  040
               
               
                  050
               
               
                  060
               
               
                  070
               
            
                  
                     Bank B
                  
               
               
                  
                     112 
                  
               
               
                  
                     Euronext NV
                  
               
               
                   
               
               
                  
                     Membership
                  
               
               
                  
                     Y
                  
               
               
                  
                     Sale of asset management activity possibly difficult in case of resolution
                  
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
               
                   
               
            
   
      ANNEX XIII
      
         Instructions to complete the templates in Annexes I to XII
      
      
         
            General instructions
         
      
      1.   STRUCTURE AND CONVENTION
      1.1.   Structure
      
      The framework consists of 12 sets of templates which comprise a total of 15 templates according to the following scheme:
      
                  1.
               
               
                  Organisational structure
               
            
                  2.
               
               
                  Governance and management
               
            
                  3.
               
               
                  Critical functions and core business lines
               
            
                  4.
               
               
                  Critical counterparties (3 templates)
               
            
                  5.
               
               
                  Liabilities structure
               
            
                  6.
               
               
                  Pledged collateral
               
            
                  7.
               
               
                  Off-balance sheet
               
            
                  8.
               
               
                  Payment, clearing and settlement systems
               
            
                  9.
               
               
                  Information systems (2 templates)
               
            
                  10.
               
               
                  Interconnectedness
               
            
                  11.
               
               
                  Authorities
               
            
                  12.
               
               
                  Legal impacts of resolution
               
            1.2.   Accounting standard
      
      Institutions shall report carrying amounts under the accounting framework they use for the reporting of financial information. Institutions that are not required to report financial information shall use their respective accounting framework.
      For the purpose of this Annex, ‘IAS’ and ‘IFRS’ refer to the international accounting standards as defined in Article 2 of Regulation (EC) No 1606/2002.
      Amounts reported in the template should be gross book value, unless otherwise stated in the instructions.
      1.3.   Numbering convention
      
      The following general notation is used in these instructions to refer to the columns, rows and cells of a template: {Template; Row; Column}.
      1.4.   Level of application
      
      The level of application is determined by resolution authorities when formulating their request, either directly or indirectly, to institutions.
      
         
            Template related instructions
         
      
      2.   ANNEX I — ORGANISATIONAL STRUCTURE
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (1) detailed description of the institution’s organisational structure including a list of all legal persons
      
      
         (2) identification of the direct holders and the percentage of voting and non-voting rights of each legal person
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-040
               
               
                  
                     Direct holder
                  
               
            
                  030
               
               
                  
                     Entity name
                  
                  Name of the Entity holding a direct participation and controlling the legal entity identified in column 010.
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 030. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
               
            
                  050
               
               
                  
                     Capital (%)
                  
                  Percentage of capital held by the legal entity listed in column 030 in the legal entity listed in column 010.
               
            
                  060
               
               
                  
                     Voting rights (%)
                  
                  Percentage of voting rights held by the legal entity listed in column 030 in the legal entity listed in column 010.
               
            
                  070-080
               
               
                  
                     Consolidating entity
                  
               
            
                  070
               
               
                  
                     Entity name
                  
                  Name of the entity consolidating the entity listed in column 010 at the highest level according to Regulation (EU) No 575/2013.
               
            
                  080
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 070. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            3.   ANNEX II — GOVERNANCE AND MANAGEMENT
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
      
         (3) the location, jurisdiction of incorporation, licensing and key management associated with each legal person
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030
               
               
                  
                     Location
                  
                  City where the entity listed in Column 010 is legally registered.
               
            
                  040
               
               
                  
                     Jurisdiction of incorporation
                  
                  Jurisdiction where the entity listed in Column 010 is incorporated, identified according to ISO 3166.
               
            
                  050
               
               
                  
                     Licensing authority
                  
                  Name of the authority providing banking or investment firm license to the institution listed in Column 010.
               
            
                  060
               
               
                  
                     Type of license
                  
               
            
                  070-090
               
               
                  
                     Member of the management body responsible for providing the resolution authorities with the information necessary for the resolution plan
                  
               
            
                  070
               
               
                  
                     Name
                  
                  First name, Last name
               
            
                  080
               
               
                  
                     Phone number
                  
               
            
                  090
               
               
                  
                     E-mail address
                  
               
            
                  100-140
               
               
                  
                     Key manager
                  
                  Senior person in the entity responsible for resolution of that entity
               
            
                  100 
               
               
                  
                     Name
                  
                  First name, Last name
               
            
                  110 
               
               
                  
                     Function
                  
               
            
                  120 
               
               
                  
                     Department
                  
               
            
                  130 
               
               
                  
                     Phone numbers
                  
                  Department’s telephone number and individual number of the person named in Column 100.
               
            
                  140 
               
               
                  
                     E-mail addresses
                  
                  Department’s mailbox and individual e-mail address of the person named in Column 100.
               
            4.   ANNEX III — CRITICAL FUNCTIONS AND CORE BUSINESS LINES
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (4) a mapping of the institution’s critical operations and core business lines including material asset holdings and liabilities relating to such operations and business lines, by reference to legal persons
      
      
         (17) the member of the management body responsible for the resolution plan of the institution as well as those responsible, if different, for the different legal persons, critical operations and core business lines
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010
               
               
                  
                     Critical functions
                  
                  Means ‘critical functions’ pursuant to Article 2(1)(35) and Article 2(2) of Directive 2014/59/EU.
               
            
                  020
               
               
                  
                     Core business lines
                  
                  Means ‘core business lines’ pursuant to Article 2(1)(36) and Article 2(2) of Directive 2014/59/EU.
               
            
                  030-040
               
               
                  
                     Legal entity
                  
               
            
                  030
               
               
                  
                     Entity name
                  
               
            
                  040
               
               
                  
                     Legal Entity identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  050
               
               
                  
                     Location
                  
                  Country in which business lines operate.
               
            
                  060
               
               
                  
                     Number of offices/branches in a location
                  
               
            
                  070-090
               
               
                  
                     Material assets
                  
               
            
                  070
               
               
                  
                     Type
                  
               
            
                  080
               
               
                  
                     Amount
                  
                  In Million
               
            
                  090
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            
                  100-120
               
               
                  
                     Material liabilities
                  
               
            
                  100 
               
               
                  
                     Type
                  
               
            
                  110 
               
               
                  
                     Amount
                  
                  In Million
               
            
                  120 
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            
                  130-170
               
               
                  
                     Senior management official responsible for providing information
                  
               
            
                  130 
               
               
                  
                     Name
                  
                  First name, Last name
               
            
                  140 
               
               
                  
                     Function
                  
               
            
                  150 
               
               
                  
                     Department
                  
               
            
                  160 
               
               
                  
                     Phone numbers
                  
                  Department’s telephone number and individual number of the person named in Column 130.
               
            
                  170 
               
               
                  
                     E-mail addresses
                  
                  Department’s mailbox and individual e-mail address of the person named in Column 130.
               
            5.   ANNEX IV, SECTION 1 — CRITICAL COUNTERPARTIES (ASSETS)
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
      
         (10) identification of the major or most critical counterparties of the institution as well as an analysis of the impact of the failure of major counterparties in the institution’s financial situation
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-040
               
               
                  
                     Critical counterparty
                  
                  Criticality to be determined by the relevant authorities. Counterparties shall be reported for the relevant Groups of Connected Clients and in case a client does not belong to a Group of Connected Clients, on an individual level. Resolution authorities may request information on Groups of Connected Clients on an individual level. Group of Connected Clients is defined in Article 4(39) of Regulation (EU) No 575/2013. Information provided in this template should be complementary to the information already provided in Large Exposures.
               
            
                  030
               
               
                  
                     Entity name
                  
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  050
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            
                  060
               
               
                  
                     Original exposure
                  
                  Means ‘original exposures’ as per Articles 24, 389, 390 and 392 of Regulation (EU) No 575/2013 and should follow the approach in FINREP.
               
            
                  070
               
               
                  
                     Credit risk mitigations
                  
                  Means ‘credit risk mitigation’ (CRM) as per Articles 399 and 401 to 403 of Regulation (EU) No 575/2013. For the purposes of this reporting, the CRM technique as defined in Article 4(57) and recognised in Part Three, Title II, Chapter 3 and 4, shall be used in accordance with the Articles 401 to 403 of Regulation (EU) No 575/2013.
               
            
                  080
               
               
                  
                     Value adjustments and provisions
                  
                  Means ‘value adjustments and provisions’ as defined in Articles 34, 24, 110 and 111 of Regulation (EU) No 575/2013.
               
            
                  090
               
               
                  
                     Net exposure
                  
                  090 = 060 – 070 – 080
               
            
                  100 
               
               
                  
                     Impact on CET1 ratio
                  
                  Impact of a default of the counterparty listed in column 030 on the Core Equity Tier 1 ratio of the legal entity listed in column 010. Suggested formula for calculating Impact on CET1 ratio is:
                  CET1 – ((CET1 – expected loss)/(RWA – expected loss)) = Impact on CET1.
                  Where the resolution authorities determine that a more sophisticated formula is more appropriate they are free to request a different one.
               
            6.   ANNEX IV, SECTION 2 — CRITICAL COUNTERPARTIES (LIABILITIES)
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
      
         (10) identification of the major or most critical counterparties of the institution as well as an analysis of the impact of the failure of major counterparties in the institution’s financial situation
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-040
               
               
                  
                     Critical counterparty
                  
                  Criticality to be determined by the relevant authorities. Information provided in this template should be complementary to the information already provided in Large Exposures.
               
            
                  030
               
               
                  
                     Entity name
                  
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  050-070
               
               
                  
                     Funding
                  
               
            
                  050
               
               
                  
                     Type
                  
               
            
                  060
               
               
                  
                     Amount
                  
                  Expressed in currency of the liability
               
            
                  070
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            7.   ANNEX IV, SECTION 3 — CRITICAL COUNTERPARTIES (MATERIAL HEDGES)
      The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
      
         (9) the material hedges of the institution including a mapping to legal persons
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-040
               
               
                  
                     Critical counterparty
                  
                  Counterparties shall be reported for the relevant Groups of Connected Clients and in case a client does not belong to a Group of Connected Clients, on an individual level. Resolution authorities may request information on Groups of Connected Clients on an individual level. Group of Connected Clients is defined in Article 4(39) of Regulation (EU) No 575/2013.
               
            
                  030
               
               
                  
                     Entity name
                  
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  050-080
               
               
                  
                     Material hedges (on-balance sheet)
                  
               
            
                  050
               
               
                  
                     Type
                  
                  Material hedges provided should not be limited to accounting hedges.
               
            
                  060
               
               
                  
                     Amount
                  
               
            
                  070
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            
                  080
               
               
                  
                     Purpose of hedge
                  
                  Risks intended to be hedged.
               
            
                  090-120
               
               
                  
                     Material hedges (off-balance sheet)
                  
               
            
                  090
               
               
                  
                     Type
                  
                  Material hedges provided should not be limited to accounting hedges.
               
            
                  100 
               
               
                  
                     Amount
                  
               
            
                  110 
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            
                  120 
               
               
                  
                     Purpose of hedge
                  
                  Risks intended to be hedged.
               
            8.   ANNEX V — LIABILITIES STRUCTURE
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (5) a detailed description of the components of the institution’s and all its legal entities’ liabilities, separating, at a minimum by types and amounts of short term and long-term debt, secured, unsecured and subordinated liabilities
      
      
         (6) details of those liabilities of the institution that are eligible liabilities
      
      Instructions concerning specific rows:
      
                  Rows
               
               
                  Legal reference and instructions
               
            
                  010
               
               
                  
                     Legal entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030
               
               
                  
                     Governing law of the liabilities
                  
                  EEA or ‘third country’. Resolution authorities are free to set a threshold above which they would require a breakdown into different third countries.
               
            
                  040
               
               
                  
                     Date
                  
               
            
                  050
               
               
                  
                     Natural persons
                  
               
            
                  055
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  060
               
               
                  
                     Micro, small and medium-sized enterprises
                  
               
            
                  065
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  070
               
               
                  
                     Large non-financial enterprises
                  
               
            
                  075
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  080
               
               
                  
                     Institutions
                  
                  As defined in Article 2(23) of Directive 2014/59/EU.
               
            
                  085
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
                  Debt with legal subordination (column 050) and senior unsecured debt (column 080) of institutions, with original maturity of less than 7 days should not be included in the ‘of which eligible liabilities’ amount provided in row 085 because in line with Article 44(2) of Directive 2014/59/EU, such liabilities are excluded from bail-in.
               
            
                  090
               
               
                  
                     Insurance firms and pension funds
                  
                  Insurance undertakings, reinsurance undertakings firms and pension and retirement funds
               
            
                  095
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  100 
               
               
                  
                     Other financial undertakings
                  
               
            
                  105 
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  110 
               
               
                  
                     Intragroup
                  
                  Exposures towards entities within the same group. Such exposures shall be listed in that row only to avoid double counting (e.g. exposures towards a bank belonging to the same group should be identified in row 110 and not in row 080 on ‘credit institutions’).
               
            
                  115 
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  120 
               
               
                  
                     Government, central banks and supranationals
                  
               
            
                  125 
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  130 
               
               
                  
                     Others/non-identified
                  
                  Where the identity of the holder of a security is not possible, only totals should be provided.
               
            
                  135 
               
               
                  
                     
                        Of which eligible liabilities
                     
                  
                  Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            
                  150 
               
               
                  
                     Total
                  
               
            
                  160 
               
               
                  
                     Total eligible liabilities
                  
                  Total of ‘eligible liabilities’ pursuant to Article 2(1)(71) of Directive 2014/59/EU.
               
            Instructions concerning specific columns
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010
               
               
                  
                     Debt with a legal subordination qualifying as additional tier 1
                  
               
            
                  020-040
               
               
                  
                     Debt with a legal subordination qualifying as tier 2
                  
               
            
                  020
               
               
                  
                     Remaining maturity of less than a month
                  
               
            
                  030
               
               
                  
                     Remaining maturity of less than a year
                  
               
            
                  040
               
               
                  
                     Remaining maturity of more than a year
                  
               
            
                  050-070
               
               
                  
                     Debt with a legal subordination
                  
               
            
                  050
               
               
                  
                     Remaining maturity of less than a month
                  
                  Subordinated debt which does not qualify as tier 1 or tier 2.
               
            
                  060
               
               
                  
                     Remaining maturity of less than a year
                  
                  Subordinated debt which does not qualify as tier 1 or tier 2.
               
            
                  070
               
               
                  
                     Remaining maturity of more than a year
                  
                  Subordinated debt which does not qualify as tier 1 or tier 2.
               
            
                  080-100
               
               
                  
                     Senior unsecured debt
                  
                  Includes certificates of deposits and commercial papers
               
            
                  080
               
               
                  
                     Remaining maturity of less than a month
                  
               
            
                  090
               
               
                  
                     Remaining maturity of less than a year
                  
               
            
                  100 
               
               
                  
                     Remaining maturity of more than a year
                  
               
            
                  110-130
               
               
                  
                     Deposits
                  
               
            
                  110 
               
               
                  
                     Total
                  
               
            
                  120 
               
               
                  
                     
                        Of which Eligible deposits
                     
                  
               
            
                  130 
               
               
                  
                     
                        Of which Covered deposits
                     
                  
                  Excluded from the scope of bail-in by article 44(2)(a).
               
            
                  140 
               
               
                  
                     Secured debt
                  
                  Excluded from the scope of bail-in by article 44(2)(b).
               
            
                  150 
               
               
                  
                     Other liabilities excluded by Article 44(2) of BRRD
                  
                  Excluded from the scope of bail-in by articles 44(2)(a-d) to 44(2)(f-g).
               
            
                  160-170
               
               
                  
                     Derivatives
                  
                  Only on-balance sheet items. Off-balance sheet items should be reported in Annex VII.
               
            
                  160 
               
               
                  
                     Exposure after prudential netting
                  
               
            
                  170 
               
               
                  
                     Exposure after deducting margin and collateral
                  
               
            
                  180 
               
               
                  
                     Total
                  
                  Sum of columns 010-110, 140-160.
               
            9.   ANNEX VI — PLEDGED COLLATERAL
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (7) an identification of the processes needed to determine to whom the institution has pledged collateral, the person that holds the collateral and the jurisdiction in which the collateral is located
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-040
               
               
                  
                     Issuer of collateral
                  
               
            
                  030
               
               
                  
                     Entity name
                  
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  050
               
               
                  
                     Type of collateral
                  
                  Covers all types of pledging including where there is an off-balance sheet liability or no liability (e.g. collateral swaps, default funds).
               
            
                  060
               
               
                  
                     Identification number
                  
                  ISIN code. Where the ‘ISIN code’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  070-080
               
               
                  
                     Holder of collateral
                  
               
            
                  070
               
               
                  
                     Entity name
                  
               
            
                  080
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  090
               
               
                  
                     Amount
                  
               
            
                  100 
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217
               
            
                  110 
               
               
                  
                     Jurisdiction
                  
                  Law of the jurisdiction applicable to the holder of the collateral as identified in column 070 (e.g. German law).
               
            
                  120-130
               
               
                  
                     Counterparty
                  
               
            
                  120 
               
               
                  
                     Name
                  
               
            
                  130 
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  140 
               
               
                  
                     Amount
                  
               
            
                  150 
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217.
               
            
                  160 
               
               
                  
                     Jurisdiction
                  
                  Law of the jurisdiction applicable to the pledge contract.
               
            10.   ANNEX VII — OFF-BALANCE SHEET
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (8) a description of the off balance sheet exposures of the institution and its legal entities, including a mapping to its critical operations and core business lines
      
      
         (21) information on off-balance sheet activities, hedging strategies
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030
               
               
                  
                     Off-balance sheet item
                  
                  To be identified under the three following categories: ‘guarantees’, ‘credit lines’, ‘other’. This template should not include on balance sheet items.
               
            
                  040-050
               
               
                  
                     Counterparty
                  
               
            
                  040
               
               
                  
                     Entity name
                  
               
            
                  050
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  060-070
               
               
                  
                     Amount
                  
               
            
                  060
               
               
                  
                     Total
                  
                  Nominal value.
               
            
                  070
               
               
                  
                     
                        of which committed
                     
                  
                  To be filled in for credit lines only.
               
            
                  080
               
               
                  
                     Currency
                  
                  Identification according to ISO 4217.
               
            
                  090
               
               
                  
                     Critical operations
                  
               
            
                  100 
               
               
                  
                     Core business lines
                  
               
            
                  110 
               
               
                  
                     Additional information
                  
               
            11.   ANNEX VIII, SECTION 1 – PAYMENT, CLEARING AND SETTLEMENT SYSTEMS
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (11) each system on which the institution conducts a material number or value amount of trades, including a mapping to the institution’s legal persons, critical operations and core business lines
      
      
         (12) each payment, clearing or settlement system of which the institution is directly or indirectly a member, including a mapping to the institution’s legal persons, critical operations and core business lines
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-060
               
               
                  
                     System
                  
               
            
                  030
               
               
                  
                     System type
                  
                  Categorise systems using the following options: ‘Payment’, ‘Settlement’, ‘Securities clearing’, ‘Derivatives clearing’, ‘Depository’, ‘CCP’, and ‘Other’. Where more than one applies, specify all types.
               
            
                  040
               
               
                  
                     Designation
                  
               
            
                  050
               
               
                  
                     Participation mode
                  
                  Direct or indirect.
               
            
                  060
               
               
                  
                     Identification code
                  
                  BIC code. Where the ‘BIC code’ is not available another form of identification shall be provided, e.g. institution code or account number. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  070-080
               
               
                  
                     Representative institution
                  
                  Should only be filled when access is indirect.
               
            
                  070
               
               
                  
                     Entity name
                  
               
            
                  080
               
               
                  
                     Identification code
                  
               
            
                  090
               
               
                  
                     Mapping to critical function
                  
               
            
                  100 
               
               
                  
                     Mapping to core business line
                  
               
            
                  110 
               
               
                  
                     Membership requirements
                  
                  Qualitative and quantitative information necessary to understand the risk of the institution’s membership being cancelled.
               
            
                  120 
               
               
                  
                     Impact of resolution proceedings on membership or contract with the representative institution
                  
               
            
                  130 
               
               
                  
                     Substitutability
                  
                  Name of potential other payment system provider that could substitute the payment system provider listed in column 040.
               
            
                  140 
               
               
                  
                     Additional information
                  
               
            12.   ANNEX IX, TEMPLATE 1 — INFORMATION SYSTEMS (GENERAL INFORMATION)
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (13) a detailed inventory and description of the key management information systems, including those for risk management, accounting and financial and regulatory reporting used by the institution including a mapping to the institution’s legal persons, critical operations and core business lines
      
      
         (14) an identification of the owners of the systems identified in point (13), service level agreements related thereto, and any software and systems or licenses, including a mapping to their legal entities, critical operations and core business lines
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     System
                  
               
            
                  010
               
               
                  
                     Identification
                  
               
            
                  020
               
               
                  
                     Type
                  
                  To be chosen between ‘risk management’, ‘accounting’, ‘financial reporting’, ‘regulatory reporting’ and ‘other’.
               
            
                  030
               
               
                  
                     Description
                  
               
            
                  040-050
               
               
                  
                     Group entity party to the contract
                  
               
            
                  040
               
               
                  
                     Entity name
                  
               
            
                  050
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  060
               
               
                  
                     Type of contract
                  
                  License, shared service, or other
               
            
                  070-080
               
               
                  
                     Counterparty
                  
               
            
                  070
               
               
                  
                     Entity name
                  
               
            
                  080
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  090-110
               
               
                  
                     Person responsible
                  
               
            
                  090
               
               
                  
                     Name
                  
               
            
                  100 
               
               
                  
                     Phone number
                  
               
            
                  110 
               
               
                  
                     E-mail address
                  
               
            
                  120 
               
               
                  
                     Impact of resolution proceedings on continuity of access to information systems
                  
               
            13.   ANNEX IX, TEMPLATE 2 — INFORMATION SYSTEMS (MAPPING)
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (13) a detailed inventory and description of the key management information systems, including those for risk management, accounting and financial and regulatory reporting used by the institution including a mapping to the institution’s legal persons, critical operations and core business lines
      
      
         (14) an identification of the owners of the systems identified in point (13), service level agreements related thereto, and any software and systems or licenses, including a mapping to their legal entities, critical operations and core business lines
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010
               
               
                  
                     System
                  
               
            
                  020-050
               
               
                  
                     User
                  
               
            
                  020
               
               
                  
                     Entity name
                  
               
            
                  030
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  040
               
               
                  
                     Critical functions
                  
                  Means ‘critical functions’ pursuant to Articles 2(1)(35) and 2(2) of Directive 2014/59/EU.
               
            
                  050
               
               
                  
                     Core business lines
                  
                  Means ‘core business lines’ pursuant to Articles 2(1)(36) and 2(2) of Directive 2014/59/EU.
               
            14.   ANNEX X — INTERCONNECTEDNESS
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (15) an identification and mapping of the legal persons and the interconnections and interdependencies among the different legal persons such as:
      
      
                  —
               
               
                  
                     common or shared personnel, facilities and systems;
                  
               
            
                  —
               
               
                  
                     capital, funding or liquidity arrangements;
                  
               
            
                  —
               
               
                  
                     existing or contingent credit exposures;
                  
               
            
                  —
               
               
                  
                     cross guarantee agreements, cross-collateral arrangements, cross-default provisions and cross-affiliate netting arrangements;
                  
               
            
                  —
               
               
                  
                     risk transfers and back-to-back trading arrangements; service level agreements
                  
               
            Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity A
                  
               
            
                  010
               
               
                  
                     Entity name
                  
                  Must be different from the name listed in column 030.
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Must be different from the identifier listed in column 040
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-040
               
               
                  
                     Legal entity B
                  
               
            
                  030
               
               
                  
                     Entity name
                  
                  Must be different from the name listed in column 010.
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Must be different from the identifier listed in column 020
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  050
               
               
                  
                     Type of interconnectedness
                  
                  To be chosen between the following categories:
                  
                              —
                           
                           
                              Personnel
                           
                        
                              —
                           
                           
                              Facilities
                           
                        
                              —
                           
                           
                              System
                           
                        
                              —
                           
                           
                              Capital arrangements
                           
                        
                              —
                           
                           
                              Funding arrangements
                           
                        
                              —
                           
                           
                              Liquidity arrangements
                           
                        
                              —
                           
                           
                              Credit exposure
                           
                        
                              —
                           
                           
                              Cross-guarantee agreement
                           
                        
                              —
                           
                           
                              Cross-collateral arrangement
                           
                        
                              —
                           
                           
                              Cross-default provision
                           
                        
                              —
                           
                           
                              Cross-affiliate netting arrangements
                           
                        
                              —
                           
                           
                              Risk transfers
                           
                        
                              —
                           
                           
                              Back-to-back trading arrangements
                           
                        
                              —
                           
                           
                              Service level agreement
                           
                        
                              —
                           
                           
                              Other
                           
                        
            
                  060
               
               
                  
                     Description
                  
                  To be mandatory filled when columns 010 to 050 are filled.
               
            15.   ANNEX XI — AUTHORITIES
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (16) the competent and resolution authority for each legal person
      
      
         (18) description of the arrangements that the institution has in place to ensure that, in the event of resolution, the resolution authority will have all the necessary information, as determined by the resolution authority, for applying the resolution tools and powers
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
                  Where the ‘Legal Entity Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.
               
            
                  030-050
               
               
                  
                     Supervisory authority/ies
                  
               
            
                  030
               
               
                  
                     Name of the authority
                  
               
            
                  040
               
               
                  
                     Phone number
                  
               
            
                  050
               
               
                  
                     E-mail address
                  
               
            
                  060-080
               
               
                  
                     Resolution authority
                  
               
            
                  060
               
               
                  
                     Name of the authority
                  
               
            
                  070
               
               
                  
                     Phone number
                  
               
            
                  080
               
               
                  
                     E-mail address
                  
               
            
                  090-110
               
               
                  
                     Deposit guarantee authority
                  
               
            
                  090
               
               
                  
                     Name of the authority
                  
               
            
                  100 
               
               
                  
                     Phone numbers
                  
               
            
                  110 
               
               
                  
                     E-mail address
                  
               
            16.   ANNEX XII – LEGAL IMPACT OF RESOLUTION
      The following items listed in Section B of the Annex to Directive 2014/59/EU are covered by this template:
      
         (19) all the agreements entered into by the institutions and their legal entities with third parties the termination of which may be triggered by a decision of the authorities to apply a resolution tool and whether the consequences of termination may affect the application of the resolution tool
      
      Instructions concerning specific columns:
      
                  Columns
               
               
                  Legal reference and instructions
               
            
                  010-020
               
               
                  
                     Legal entity
                  
               
            
                  010
               
               
                  
                     Entity name
                  
               
            
                  020
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
               
            
                  030-040
               
               
                  
                     Third party
                  
               
            
                  030
               
               
                  
                     Entity name
                  
               
            
                  040
               
               
                  
                     Legal Entity Identifier
                  
                  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal Entity Identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction.
               
            
                  050
               
               
                  
                     Type of contract
                  
               
            
                  060
               
               
                  
                     Termination affecting resolution tool
                  
                  Y (‘yes’) or N (‘no’).
               
            
                  070
               
               
                  
                     Comments