COMMISSION IMPLEMENTING REGULATION (EU) No 926/2014
of 27 August 2014
laying down implementing technical standards with regard to standard forms, templates and procedures for notifications relating to the exercise of the right of establishment and the freedom to provide services according to Directive 2013/36/EU of the European Parliament and of the Council
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
Article 2
Definitions
Article 3
General requirements for passport notifications
CHAPTER II
PROCEDURES FOR BRANCH PASSPORT NOTIFICATION
Article 4
Submission of the branch passport notification
Article 5
Assessment of completeness and accuracy of the branch passport notification
Article 6
Communication of the branch passport notification
Article 7
Communication of conditions in the interest of the general good
CHAPTER III
PROCEDURES FOR A CHANGE IN BRANCH PARTICULARS NOTIFICATION
Article 8
Submission of a change in branch particulars notification
Article 9
Assessment of completeness and accuracy of the notification
Article 10
Communication of the decisions taken following the notification
CHAPTER IV
PROCEDURES FOR SERVICES PASSPORT NOTIFICATION
Article 11
Submission of the services passport notification
Article 12
Assessment of completeness and accuracy of the services passport notification
Article 13
Communication of the services passport notification
CHAPTER V
FINAL PROVISIONS
Article 14
Entry into force
ANNEX I
Form for the submission of a branch passport notification or a change in a branch particulars notification
1.
Contact information
Type of notification |
[Branch passport notification/change in branch particulars notification] |
Host Member State in which the branch is to be established: |
[to be completed by the credit institution] |
Name and reference number of the credit institution: |
[to be completed by the credit institution] |
Address of the credit institution in the host Member State from which documents may be obtained: |
[to be completed by the credit institution] |
Intended principal place of business of the branch in the host Member State: |
[to be completed by the credit institution] |
Date on which the branch intends to commence its activities: |
[to be completed by the credit institution] |
Name of contact person at the branch: |
[to be completed by the credit institution] |
Telephone number: |
[to be completed by the credit institution] |
E-mail: |
[to be completed by the credit institution] |
2.
Programme of operations
2.1.
Types of business envisaged
No |
Activity |
Activities that the credit institution intends to carry out |
Activities that will constitute the core business |
Intended start date for each core activity |
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1. |
Taking deposits and other repayable funds |
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2. |
Lending including, inter alia: consumer credit, credit agreements relating to immovable property, factoring, with or without recourse, financing of commercial transactions (including forfeiting) |
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3. |
Financial leasing |
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4. |
Payment services as defined in Article 4(3) of Directive 2007/64/EC of the European Parliament and of the Council(1) |
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4a. |
Services enabling cash to be placed on a payment account as well as all the operations required for operating a payment account |
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4b. |
Services enabling cash withdrawals from a payment account as well as all the operations required for operating a payment account |
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4c. |
Execution of payment transactions, including transfers of funds on a payment account with the user's payment service provider or with another payment service provider:
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4d. |
Execution of payment transactions where the funds are covered by a credit line for a payment service user:
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4e. |
Issuing and/or acquiring of payment instruments |
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4f. |
Money remittance |
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4g. |
Execution of payment transactions where the consent of the payer to execute a payment transaction is given by means of any telecommunication, digital or IT device and the payment is made to the telecommunication, IT system or network operator, acting only as an intermediary between the payment service user and the supplier of the goods and services(2) |
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5. |
Issuing and administering other means of payment (e.g. travellers' cheques and bankers' drafts) insofar as such activity is not covered by point 4 |
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6. |
Guarantees and commitments |
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7. |
Trading for own account or for account of customers in any of the following: |
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7a. |
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7b. |
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7c. |
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7d. |
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7e. |
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8. |
Participation in securities issues and the provision of services relating to such issues |
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9. |
Advice to undertakings on capital structure, industrial strategy and related questions and advice as well as services relating to mergers and the purchase of undertakings |
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10. |
Money broking |
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11. |
Portfolio management and advice |
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12. |
Safekeeping and administration of securities |
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13. |
Credit reference services |
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14. |
Safe custody services |
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15. |
Issuing electronic money |
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Financial Instruments |
Investment services and activities |
Ancillary services |
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A 1 |
A 2 |
A 3 |
A 4 |
A 5 |
A 6 |
A 7 |
A 8 |
B 1 |
B 2 |
B 3 |
B 4 |
B 5 |
B 6 |
B 7 |
C1 |
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C2 |
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C3 |
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C4 |
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C5 |
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C6 |
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C7 |
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C8 |
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C9 |
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C10 |
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Row and column headings are references to the relevant section and item number in Annex I to Directive 2004/39/EC (e.g. A1 refers to point 1 of Section A of Annex I) |
2.2.
Structural organisation of the branch
2.3.
Other information
ANNEX II
Form for the communication of branch passport notification
Competent authorities of the home Member State: |
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Name of the contact person: |
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Telephone number: |
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E-mail: |
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Address of the competent authorities of the host Member State: |
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[Date] |
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Ref: |
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Communication of branch passport notification |
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[The communication shall include at least the following information: |
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[Contact details] |
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ANNEX III
Form for the communication of the amount and composition of own funds and own funds requirements
1.
Amount and composition of own funds
Item All references are to the provisions of Regulation (EU) No 575/2013 of the European Parliament and of the Council(1) |
Amount (in million EUR) |
Own funds Articles 4(1)(118) and 72 |
[data as reported in row 010 in Template 1 of Annex 1 of Commission Implementing Regulation (EU) No 680/2014 (2) ] |
Tier 1 capital Article 25 |
[data as reported in row 015 in Template 1 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Common Equity Tier 1 capital Article 50 |
[data as reported in row 020 in Template 1 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Additional Tier 1 capital Article 61 |
[data as reported in row 530 in Template 1 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Tier 2 capital Article 71 |
[data as reported in row 750 in Template 1 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
2.
Own fund requirements
Item All references are to the provisions of Regulation (EU) No 575/2013 |
Amount (in million EUR) |
Total risk exposure amount Articles 92(3), 95, 96 and 98 |
[data as reported in row 010 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Risk weighted exposure amounts for credit, counterparty credit and dilution risks and free deliveries Points (a) and (f) of Article 92(3) |
[data as reported in row 040 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Total risk exposure amount for settlement/delivery Point (c) (ii) of Article 92(3) and point (b) of Article 92(4) |
[data as reported in row 490 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Total risk exposure amount for position, foreign exchange and commodities risks Points (b)(i), (c)(i) and (c)(iii) of Article 92(3) and point (b) of Article 92(4) |
[data as reported in row 520 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Total risk exposure amount for operational risk Point (e) of Article 92(3) and point (b) of Article 92(4) |
[data as reported in row 590 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Additional risk exposure amount due to fixed overheads Articles 95(2), 96(2), 97 and 98(1) point (a) |
[data as reported in row 630 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Total risk exposure amount for credit valuation adjustment Point (d) of Article 92(3) |
[data as reported in row 640 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Total risk exposure amount related to large exposures in the trading book Point (b)(ii) of Article 92(3) and Articles 395 to 401 |
[data as reported in row 680 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
Other risk exposure amounts Articles 3, 458, 459 and 500 and risk exposure amounts which cannot be assigned to one of the other items of this table |
[data as reported in row 690 in Template 2 of Annex 1 of Implementing Regulation (EU) No 680/2014] |
ANNEX IV
Form for the submission of a change in branch particulars notification which concerns a planned termination of the operation of a branch
Name of the contact person at the credit institution or branch: |
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Telephone number: |
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E-mail: |
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Address of the competent authorities of the home Member State: |
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Address of the competent authorities of the host Member State: |
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[Date] |
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[Ref:] |
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Submission of a change in branch particulars notification which concerns a planned termination of the operation of a branch |
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[The notification shall include at least the following information: |
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[Contact details] |
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ANNEX V
Form for the submission of services passport notification
1.
Contact information
Type of notification |
Services passport notification |
Host Member State in which the credit institution intends to carry out its activities: |
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Name and reference number of the credit institution: |
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Address of the head office of the credit institution: |
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Name of contact person at the credit institution: |
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Telephone number: |
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E-mail: |
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2.
List of the activities referred to in Annex I to Directive 2013/36/EU that the credit institution intends to carry out in the host Member State with the indication of the activities that will constitute the core business of the credit institution in the host Member State, including the intended commencement date for each core service activity
No |
Activity |
Activities that the credit institution intends to carry out |
Activities that will constitute the core business |
Intended start date for each core activity |
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1. |
Taking deposits and other repayable funds |
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2. |
Lending including, inter alia: consumer credit, credit agreements relating to immovable property, factoring, with or without recourse, financing of commercial transactions (including forfeiting) |
|
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|
||||||
3. |
Financial leasing |
|
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|
||||||
4. |
Payment services as defined in Article 4(3) of Directive 2007/64/EC |
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||||||
4a |
Services enabling cash to be placed on a payment account as well as all the operations required for operating a payment account |
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4b |
Services enabling cash withdrawals from a payment account as well as all the operations required for operating a payment account |
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4c |
Execution of payment transactions, including transfers of funds on a payment account with the user's payment service provider or with another payment service provider:
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4d |
Execution of payment transactions where the funds are covered by a credit line for a payment service user:
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4e |
Issuing and/or acquiring of payment instruments |
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||||||
4f |
Money remittance |
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4g |
Execution of payment transactions where the consent of the payer to execute a payment transaction is given by means of any telecommunication, digital or IT device and the payment is made to the telecommunication, IT system or network operator, acting only as an intermediary between the payment service user and the supplier of the goods and services(1) |
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5. |
Issuing and administering other means of payment (e.g. travellers' cheques and bankers' drafts) insofar as such activity is not covered by point 4 |
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|
||||||
6. |
Guarantees and commitments |
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||||||
7. |
Trading for own account or for account of customers in any of the following: |
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7a |
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7b |
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7c |
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7d |
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7e |
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8. |
Participation in securities issues and the provision of services related to such issues |
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||||||
9. |
Advice to undertakings on capital structure, industrial strategy, and related questions and advice as well as services relating to mergers and the purchase of undertakings |
|
|
|
||||||
10. |
Money broking |
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||||||
11. |
Portfolio management and advice |
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||||||
12. |
Safekeeping and administration of securities |
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||||||
13. |
Credit reference services |
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14. |
Safe custody services |
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15. |
Issuing electronic money |
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3.
List of the services and activities that the credit institution intends to carry out in the host Member State, and which are provided for in Sections A and B of Annex I to Directive 2004/39/EC, when referring to the financial instruments provided for in Section C of Annex I of that Directive
Financial Instruments |
Investment services and activities |
Ancillary services |
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A 1 |
A 2 |
A 3 |
A 4 |
A 5 |
A 6 |
A 7 |
A 8 |
B 1 |
B 2 |
B 3 |
B 4 |
B 5 |
B 6 |
B 7 |
C1 |
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C2 |
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C3 |
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C4 |
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C5 |
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C6 |
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C7 |
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C8 |
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C9 |
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C10 |
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Row and column headings are references to the relevant section and item number in Annex I to Directive 2004/39/EC (e.g. A1 refers to point 1 of Section A of Annex I). |
ANNEX VI
Form for the communication of services passport notification
Competent authorities of the home Member State: |
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Name of the contact person: |
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Telephone number: |
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E-mail: |
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Address of the competent authorities of the host Member State: |
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[Date] |
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Ref: |
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Communication of services passport notification |
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[The communication shall include at least the following information: |
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[Contact details] |
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