COMMISSION IMPLEMENTING REGULATION (EU) 2016/99
of 16 October 2015
laying down implementing technical standards with regard to determining the operational functioning of the colleges of supervisors according to Directive 2013/36/EU of the European Parliament and of the Council
(Text with EEA relevance)
CHAPTER 1
GENERAL PROVISIONS
Article 1
Subject matter
CHAPTER 2
OPERATIONAL FUNCTIONING OF COLLEGES FORMED IN ACCORDANCE WITH ARTICLE 116 OF DIRECTIVE 2013/36/EU
SECTION 1
Establishment and functioning of colleges
Article 2
Establishment and update of the mapping of a group of institutions
Article 3
Establishment of a college
Article 4
Establishment and update of contact lists
Article 5
Conclusion and amendment of the written coordination and cooperation arrangements
Article 6
Operational aspects of college meetings and activities
SECTION 2
Planning and coordination of supervisory activities in going concern situations
Article 7
General framework for the exchange of information between the consolidating supervisor, college members and observers
Article 8
Ongoing review of the permission to use internal approaches
Article 9
Notification of non-material extensions or changes in internal models
Article 10
Exchange of information on early warnings signs, potential risks and vulnerabilities
Article 11
Establishment and update of the college supervisory examination programme
SECTION 3
Planning and coordination of supervisory activities in preparation for and during emergency situations
Article 12
Establishment and update of the college framework for emergency situations
Article 13
Exchange of information during an emergency situation
Article 14
Coordination of the supervisory assessment of an emergency situation
Article 15
Coordination of the supervisory response to an emergency situation
Article 16
Monitoring and update of the coordinated supervisory response to an emergency situation
CHAPTER 3
OPERATIONAL FUNCTIONING OF COLLEGES FORMED IN ACCORDANCE WITH ARTICLE 51(3) OF DIRECTIVE 2013/36/EU
SECTION 1
Establishment and functioning of colleges
Article 17
Establishment and update of the mapping of an institution, establishment of a college, establishment and update of contact lists, and conclusion and amendment of the written coordination and cooperation arrangements
Article 18
Operational aspects of college meetings and activities
SECTION 2
Planning and coordination of supervisory activities in going concern situations
Article 19
General framework for the exchange of information between the competent authorities of the home Member State, college members and observers
Article 20
Establishment and update of the college supervisory examination programme
SECTION 3
Planning and coordination of supervisory activities in preparation for and during emergency situations and final provisions
Article 21
Establishment and update of the college framework for emergency situations
Article 22
Exchange of information during an emergency situation
Article 23
Coordination of the supervisory assessment of an emergency situation
Article 24
Coordination and monitoring of the supervisory response to an emergency situation
Article 25
Entry into force
ANNEX I
Mapping template
EU parent institution / EU parent financial holding company / EU parent mixed financial holding company / institution |
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Total amount of assets and off-balance sheet items (in million euros) |
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Is it identified as global systemically important institution (G-SII) or other systemically important institution (O-SII)? |
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Has a waiver been granted pursuant to Article 7 or 10 of Regulation (EU) No 575/2013 (waivers from capital requirements)? (Y/N) |
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Has a waiver been granted pursuant to Article 8 or 10 of Regulation (EU) No 575/2013 (waivers from liquidity requirements)? (Y/N) |
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Institutions authorised in a Member State / Financial sector entities authorised in a Member State |
Is the institution / financial sector entity important for the group? (Y/N) |
Is the institution / financial sector entity important for the Member State in which it is authorised? (Y/N) |
Total amount of assets and off-balance sheet items of the institution / financial sector entity (in million euros) |
Criteria used for determining the importance for the Member State, as applicable |
Criteria used for determining the importance for the group, as applicable |
Has a waiver been granted pursuant to Article 7 or Article 10 of Regulation (EU) No 575/2013 (waivers from capital requirements)? (Y/N) |
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Competent authority / Other authority |
Member State |
Institution / Financial sector entity |
Legal Identifier Code, where such a code exists (pre-Legal Entity Identifiers or Global Legal Entity Identifier System) |
Is the institution / financial sector entity identified as O-SII? |
Immediate parent of the institution / financial sector entity |
Legal Identifier Code, where such a code exists (pre-Legal Entity Identifiers or Global Legal Entity Identifier System) |
Is the immediate parent identified as O-SII? |
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Resolution college: |
Member and observers countries: |
Member and observers authorities: |
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Crisis Management Group (CMG): |
Member countries: |
Member authorities: |
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Name of the consolidating supervisor or competent authority of the home Member State: |
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Address of the consolidating supervisor or competent authority of the home Member State: |
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Contact person (name, email address, phone number) of the consolidating supervisor or competent authority of the home Member State: |
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Has a waiver been granted pursuant to Article 8 or Article 10 of Regulation (EU) No 575/2013 (waivers from liquidity requirements)? (Y/N) |
Is the relevant authority a member or an observer of the college? If yes and part of a specific-college substructure, please specify. |
Branches established in a Member State |
Is the branch important for the group? (Y/N) |
Criteria used for determining the importance, as applicable |
Is the branch important for the Member State as pursuant to Article 51 of Directive 2013/36/EU? (Y/N) |
Is the relevant authority a member or an observer of the college? If yes and part of a specific-college substructure, please specify. |
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Competent authority / Other authority |
Member State |
Branch |
Institution under which the branch is established |
Legal Identifier Code of the institution under which the branch is established, where such a code exists (pre-Legal Entity Identifiers or Global Legal Entity Identifier System) |
Is the institution under which the branch is established identified as O-SII? (Y/N) |
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Institutions authorised and branches established in a third country |
Is the institution / branch important for the group? (Y/N) |
Criteria used for determining the importance, as applicable |
Are the confidentiality and professional secrecy requirements applicable to the third country supervisory authority assessed as equivalent by all college members? (Y/N) |
Is the third country supervisory authority an observer of the college? If yes and part of a specific college substructure, please specify. |
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Third country supervisory authority |
Third country |
Institution / branch |
Legal Identifier Code of the institution, where such a code exists (pre-Legal Entity Identifiers or Global Legal Entity Identifier System) |
Immediate parent of the institution |
Legal Identifier Code of the immediate parent, where such a code exists(pre-Legal Entity Identifiers or Global Legal Entity Identifier System) |
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Is there another non-European college structure? (Y/N) (if yes, please specify the name of the college and hosting supervisor): |
Member countries: |
Member authorities: |
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Name of college |
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