COMMISSION DELEGATED REGULATION (EU) 2018/1646
of 13 July 2018
supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to regulatory technical standards for the information to be provided in an application for authorisation and in an application for registration
(Text with EEA relevance)
Article 1
General requirements
Article 2
Information to be provided for types of benchmarks
Article 3
Specific information concerning policies and procedures
Article 4
Entry into force
ANNEX I
Information to be provided in an application for authorisation under Article 34 of Regulation (EU) 2016/1011
1. GENERAL INFORMATION
2. ORGANISATIONAL STRUCTURE AND GOVERNANCE
3. CONFLICTS OF INTEREST
4. INTERNAL CONTROL STRUCTURE, OVERSIGHT AND ACCOUNTABILITY FRAMEWORK
5. DESCRIPTION OF BENCHMARKS OR FAMILIES OF BENCHMARKS PROVIDED
6. INPUT DATA AND METHODOLOGY
7. OUTSOURCING
8. OTHER INFORMATION
ANNEX II
Information to be provided in an application for registration under Article 34 of Regulation (EU) 2016/1011
Item in Annex I |
Supervised entities providing only non-critical benchmarks |
Entities providing only non-significant benchmarks |
|
(1) General information |
|||
1(a) |
Full name |
A |
A |
1(b) |
Address |
A |
A |
1(c) |
Legal status |
A |
A |
1(d) |
Website |
A |
A |
1(e) |
Contact person |
A |
A |
1(f) |
Current authorisation status |
A(1) |
A(1) to supervised entities N/A to non-supervised entities |
1(g) |
Operations conducted |
A(1) |
A(1) |
1(h) |
Constitutional documents |
A(1) |
A(1) |
1(i) |
Group structure |
A(1) |
A(1) |
1(j) |
Self-declaration of good repute |
A(1) |
A(1) |
1(k) |
Number of benchmarks |
A |
A |
(2) Organisational structure and governance |
|||
2(a) |
Internal organisational structure |
A |
A |
2(b) |
Employees |
A |
A |
2(c) |
Human resources |
A |
N/A |
(3) Conflicts of interest |
|||
3(a) |
Policies and procedures |
A(2) |
A(2) in the form of a summary |
3(b) |
Material conflicts of interest |
A |
N/A |
3(c) |
Remuneration structure |
A |
A |
(4) Internal control structure, oversight and accountability framework |
|||
4(a) |
Policies and procedures for monitoring the activities of the provision of a benchmark |
A |
A(3) in the form of a summary |
4(b) |
Internal arrangements for determining and publishing a benchmark |
A |
A in the form of a summary |
4(c) |
Internal reporting of infringements |
A |
A in the form of a summary |
(5) Description of benchmarks provided |
|||
5(a) |
Description |
A(4) |
A in the form of a summary |
5(b) |
Underlying market |
A(4) |
A in the form of a summary |
5(c) |
Contributors |
A(4) |
A in the form of a summary |
5(d) |
Corrections |
A(4) |
A in the form of a summary |
5(e) |
Changes to and cessation |
A(4) |
A in the form of a summary |
(6) Input data and methodology |
|||
6(a)(i) |
Description of input data used |
A(4) |
A in the form of a summary |
6(a)(ii) |
Input data — sufficient, appropriate and verifiable |
A(4) |
A(5) in the form of a summary |
6(a)(iii) |
Contributors |
A(4) |
A in the form of a summary |
6(a)(iv) |
Evaluation of contributor's input data and validation of input data |
A(6) |
N/A |
6(b)(i) |
Description of the methodology |
A(4) |
A in the form of a summary |
6(b)(ii)(1) |
Validation/Review |
A(4) |
A in the form of a summary |
6(b)(ii)(2) |
Material change |
A(6) |
N/A |
(7) Outsourcing |
|||
7(a) |
Contracts |
A(6) |
N/A |
7(b) |
Outsourced functions |
A(6) |
A in the form of a summary |
7(c) |
Control |
A(6) |
A in the form of a summary |
(8) Others |
|||
8(a) |
Additional information |
A |
A |
8(b) |
Form |
A |
A |