GUIDELINE (EU) 2018/876 OF THE EUROPEAN CENTRAL BANK
of 1 June 2018
on the Register of Institutions and Affiliates Data (ECB/2018/16)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter and purpose
Article 2
Definitions
CHAPTER II
GENERAL PROVISIONS ON RIAD AND ON THE RECORDING, MAINTENANCE, REVISION AND TRANSMISSION OF REFERENCE DATA FOR ENTITIES
Article 3
Establishment of RIAD hubs
Article 4
Recording of reference data in RIAD
Article 5
Assignment and management of the RIAD code and identifiers
Article 6
Recording of demographic events, sector changes and corporate actions in RIAD
Article 7
Maintenance and revision policy
Article 8
Transmission standards
Article 9
Acquisition and error acknowledgements
CHAPTER III
CONFIDENTIALITY
Article 10
Confidentiality of attribute values
CHAPTER IV
DATA QUALITY MANAGEMENT
Article 11
Data quality and synchronisation
CHAPTER V
COOPERATION WITH AUTHORITIES OTHER THAN NCBS
Article 12
Cooperation with authorities other than NCBs
CHAPTER VI
SPECIFIC PROVISIONS ON THE RECORDING OF REFERENCE DATA FOR ENTITIES
Article 13
Publication of lists of entities
Article 14
Recording of reference data for MFIs
Article 15
Recording of reference data for IFs
Article 16
Recording of reference data for FVCs
Article 17
Recording of reference data for PSRIs
Article 18
Recording of reference data for ICs
Article 19
Regular publication of datasets
CHAPTER VII
RELEVANT REFERENCE DATA ON ENTITIES FOR UNPUBLISHED DATASETS AND GROUPS
Article 20
Relevant reference data on entities for unpublished datasets
Article 21
Statistics on Individual Balance Sheet Items (‘iBSI’) and Individual MFI Interest Rate (‘iMIR’)
Article 22
Reference data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48)
Article 23
Reference data relevant for collateral management
Article 24
Reference data relevant for the Treasury Management System (TMS)
Article 25
Reference data relevant for SHSDB
Article 26
Reference data relevant for CSDB
Article 27
Reference data relevant for AnaCredit
Article 28
Recording of reference data on groups
CHAPTER VIII
FINAL PROVISIONS
Article 29
Simplified amendment procedure
Article 30
Taking effect
Article 31
Addressees
ANNEX I
REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS FOR PUBLICATION
PART 1
Attributes to be reported for datasets maintained for publication
Attribute name(1) |
Relevant in the context of the list of |
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MFIs |
IFs |
FVCs |
PSRIs(1) |
ICs |
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Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
Type |
Update frequency |
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Identifiers |
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|
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
|
M |
d |
O |
q |
M |
q |
M |
a |
M |
q |
||
|
O |
d |
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|
O |
q |
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|
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
|
O |
d |
|
|
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|
|
|
|
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||
|
O |
m |
M |
q |
M |
q |
|
|
O |
q |
||
Name |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Country of residence |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Address (***) |
M |
d |
O |
q |
O |
q |
M |
a |
M |
q |
||
Legal form (***) |
M |
d |
O |
q |
O |
q |
O |
a |
O |
q |
||
Flag Listed |
M |
d |
M |
q |
M |
q |
O |
a |
M |
q |
||
Type of supervision |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Reporting requirements |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Type of banking licence |
M |
d |
|
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|
O |
a |
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||
Legal set-up |
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|
M |
q |
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Flag UCITS compliance |
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|
M |
q |
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Flag Sub-fund |
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M |
q |
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Type of transfer |
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M |
q |
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Type of Investment Funds |
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M |
q |
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Investment policy for IFs |
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M |
q |
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Flag Payment service provider (PSP) |
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M |
a |
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Flag Payment system operator (PSO) |
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M |
a |
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Flag small PSP |
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M |
a |
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Flag PSP derogation granted |
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M |
a |
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Type of PSP licence |
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M |
a |
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PSP geographical scope |
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M |
a |
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Institutional sector |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Institutional sector details |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Institutional sector control |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
NACE code |
M |
d |
M |
q |
M |
q |
O |
a |
M |
q |
||
Geographic location (NUTS) (***) |
M |
d |
O |
q |
O |
q |
M |
a |
M |
q |
||
Employment domestic (1) |
O |
a |
O |
a |
O |
a |
O |
a |
O |
a |
||
Balance sheet total (ECB Regulation) domestic (1) |
M |
a |
|
|
|
|
|
|
O(2) |
a |
||
Net assets domestic (1) |
O |
a |
M |
a |
|
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Gross premiums written domestic (1) |
|
|
|
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|
M |
a |
||
Total employment(2) |
O |
a |
O |
a |
O |
a |
O |
a |
O |
a |
||
Total balance sheet(2) |
M |
a |
O |
a |
O |
a |
|
|
O(2) |
a |
||
Gross premiums written(2) |
|
|
|
|
|
|
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|
M |
a |
||
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Birth date |
O |
d |
O |
q |
O |
q |
O |
a |
O |
q |
||
Closure date |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Flag ‘IsInactive’ |
M |
d |
M |
q |
M |
q |
M |
a |
M |
q |
||
Flag ‘Is under liquidation’ |
M |
d |
O |
q |
M |
q |
M |
a |
M |
q |
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Required counterparties |
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Originator of FVC |
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|
M |
q |
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Management company (as applicable) |
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|
M |
q |
M |
q |
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Headquarters |
M |
d |
|
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M |
q |
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Relevance: M (mandatory), O (optional), blank (not applicable). Frequency: a (annual), q (quarterly), m (monthly), d (daily/as soon as a change occurs). Timeframe: for annual data is (if not specified elsewhere) one month following the reference date. |
PART 2
Types of relationships between entities
|
Type |
Update frequency |
1. Relationships within an enterprise |
||
Relationship between a legal unit(s) and an enterprise |
O |
— |
2. Relationships within enterprise groups |
||
Control relationship between legal units |
M (c) |
q |
Ownership (non-controlled) relationship between legal units |
O |
q |
3. Other relationships |
||
Link between an originator and its FVC |
M |
q |
M |
q |
|
Link between a non-resident branch and its resident headquarter |
M |
q (d) |
Link between a resident branch and its non-resident headquarter |
M |
q |
Link between a sub-fund and an umbrella fund (***) |
M |
q |
M |
m |
ANNEX II
REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS NOT FOR PUBLICATION
Attributes to be reported for datasets according to their respective legal framework referred to in Chapter VII of this Guideline
Attribute name |
Individual BSI and MIR statistics (iBSI-iMIR) |
Regulation (EU) No 1333/2014 (ECB/2014/48) |
Entities relevant for Collateral Management |
Treasury Management System (TMS) |
Security Holding Statistics Database (SHSDB)(1) |
Centralised Securities Database (CSDB) |
Common Granular Analytical Credit database (AnaCredit)(2) |
||
Entity Identifiers |
|||||||||
|
x |
x |
x |
x |
x |
x |
x |
||
|
|
x |
x |
|
x |
x |
x |
||
|
|
|
x |
|
x |
x |
x |
||
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|
x |
x |
x |
x |
x |
||
Instrument Identifiers |
|||||||||
|
|
|
|
|
x |
x |
|
||
Name |
x |
x |
x |
x |
x |
x |
x |
||
Country of residence |
x |
x |
x |
x |
x |
x |
x |
||
Address |
|
|
|
|
|
|
x |
||
Legal form |
|
|
|
|
|
|
x |
||
Institutional sector |
x |
x |
x |
x |
x |
x |
x |
||
Institutional sector details |
x |
x |
x |
x |
x |
x |
x |
||
Institutional sector control |
x |
x |
x |
x |
x |
x |
x |
||
Collateral group |
|
|
x |
|
|
|
|
||
NACE code |
|
|
|
|
x |
x |
x |
||
Geographic location (NUTS) |
|
|
|
|
|
|
x |
||
Flag CCP |
|
x |
|
|
|
|
|
||
Reporting requirements |
|
|
|
|
|
|
x |
||
Accounting Framework |
|
|
|
|
|
|
x |
||
Total employment |
|
|
|
|
|
|
x |
||
Total balance sheet |
|
|
|
|
|
|
x |
||
Enterprise size |
|
|
|
|
|
|
x |
||
Annual turnover |
|
|
|
|
|
|
x |
||
Status of legal proceedings |
|
|
|
|
|
|
x |
||
|
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Birth date |
x |
x |
x |
x |
x |
x |
x |
||
Closure date |
x |
x |
x |
x |
x |
x |
x |
||
Flag ‘IsInactive’ |
x |
x |
x |
x |
x |
x |
|
||
|
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Relationships |
|||||||||
|
|
|
x |
|
|
|
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||
|
|
|
x |
|
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|
||
Link |
|||||||||
|
|
|
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|
x |
|
x |
||
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|
x |
|
x |
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|
x |
|
x |
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|
x |