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Regulation (EU) No 1011/2012 of the European Central BankDangos y teitl llawn
Regulation (EU) No 1011/2012 of the European Central Bank of 17 October 2012 concerning statistics on holdings of securities (ECB/2012/24)
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ANNEX IU.K. STATISTICAL REPORTING REQUIREMENTS
PART 1U.K. Financial transactions
1. [F1MFIs, IFs and custodians reporting data on own holdings of securities or on securities they hold in custody on behalf of resident investors must provide the statistical information in accordance with one of the following approaches:] U.K.
(a)
on a monthly or quarterly basis, monthly or quarterly security-by-security financial transactions and, where requested by the relevant NCB, other changes in volume for the reference month or quarter; or
(b)
on a monthly or quarterly basis, monthly security-by-security positions and, where requested by the relevant NCB, other changes in volume for the reference month or for the three months of the reference quarter.
Textual Amendments
2. [F1FVCs and ICs provide the statistical information in accordance with one of the following approaches:] U.K.
(a)
on a quarterly basis, quarterly security-by-security financial transactions and, where requested by the relevant NCB, other changes in volume for the reference quarter; or
(b)
on a monthly or quarterly basis, monthly security-by-security positions and, where requested by the relevant NCB, other changes in volume for the reference month or for the three months of the reference quarter; or
(c)
on a quarterly basis, quarterly security-by-security positions and, where requested by the relevant NCB, other changes in volume for the reference quarter.
3.Custodians reporting (i) securities they hold in custody on behalf of non-financial investors resident in other euro area Member States, and (ii) securities issued by euro area entities they hold in custody on behalf of investors resident in non-euro area Member States and of investors resident outside the Union, provide the statistical information in accordance with one of the approaches set out in paragraph 2.U.K.
[F1PART 2 U.K. Data on own holdings of securities with an ISIN code by MFIs, IFs, FVCs, ICs and custodians
For each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.3), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.52), data for the fields in the table below are reported by financial investors belonging to the MFIs, IFs, FVCs or ICs and by custodians with reference to own holdings of securities. They are reported in accordance with the following rules and in conformity with the definitions in Annex II:
(a)
data for fields 1 and 2 are reported;
(b)
data are reported in accordance with either point (i) or (ii) as follows:
(i)
if MFIs, IFs, FVCs, ICs and custodians report security-by-security financial transactions, data for fields 5 and, where requested by the relevant NCB, 6 are reported; or
(ii)
if MFIs, IFs, FVCs, ICs and custodians do not report security-by-security financial transactions, data for field 6, where requested by the relevant NCB, are reported.
The relevant NCB may choose to require financial investors belonging to the MFIs, IFs, FVCs, ICs and custodians to report data for fields 1 and 3 instead of data in accordance with point (a). In this case, instead of data in accordance with point (b), data for fields 5 and, where requested by the relevant NCB, 7 are also reported.
The relevant NCB may also choose to require financial investors belonging to the MFIs, IFs, FVCs, ICs and custodians to report data for fields 2b, 3 and 4.
| Field | Description |
|---|---|
| 1 | ISIN code |
| 2 | Number of units or aggregated nominal value |
| 2b | Quotation basis |
| 3 | Market value |
| 4 | Portfolio investment or direct investment |
| 5 | Financial transactions |
| 6 | Other changes in volume at nominal value |
| 7 | Other changes in volume at market value] |
PART 3U.K. Data on securities with an ISIN code held in custody on behalf of resident non-financial investors and other financial investors not required to report their own holdings of securities
Custodians report, for each security that has been assigned an ISIN code classified under the security category ‘debt securities’ (F.3), ‘listed shares’ (F.511) or ‘investment fund shares or units’ (F.52), which they hold in custody on behalf of resident non-financial investors and other financial investors that do not report their own holdings of securities, data for the fields in the table below. They report in accordance with the following rules and in conformity with the definitions in Annex II:
(a)
data for fields 1, 2, and 3 are reported;
(b)
data are reported in accordance with either point (i) or (ii) as follows:
(i)
if custodians report security-by-security financial transactions, data for fields 6 and, where requested by the relevant NCB, 7 are reported; or
(ii)
if custodians do not report security-by-security financial transactions, data for field 7, where requested by the relevant NCB, are reported.
The relevant NCB may choose to require custodians to report data for fields 1, 3 and 4 instead of data in accordance with point (a). In this case, instead of data in accordance with point (b), data for fields 6 and, where requested by the relevant NCB, 8 are also reported.
The relevant NCB may also choose to require custodians to report data for fields 2b, 4 and 5.
[F2Custodians reporting the holdings of ICs in accordance with Article 3(2a) shall also report data for field 9 or field 10.]
Textual Amendments
| a Where available, ‘ central government ’ (S.1311) ‘ state government ’ (S.1312), ‘ local government ’ (S.1313) and ‘ social security funds ’ (S.1314) sub-sectors are reported separately indentified. | |
| b The relevant NCB may require actual reporting agents to separately identify the sub-sectors ‘ households ’ (S.14) and ‘ non-profit institutions serving households ’ (S.15)] | |
| [F1Field | Description |
|---|---|
| 1 | ISIN code |
| 2 | Number of units or aggregated nominal value |
| 2b | Quotation basis |
| 3 | Sector of the holder:
|
| 4 | Market value |
| 5 | Portfolio investment or direct investment |
| 6 | Financial transactions |
| 7 | Other changes in volume at nominal value |
| 8 | Other changes in volume at market value |
| 9 | Holder institution |
| 10 | Holder institution is subject to direct reporting |
PART 4U.K. Data on securities with an ISIN code held in custody on behalf of investors resident in other euro area Member States
Custodians report for each security that has been assigned an ISIN code classified under the security category ‘debt securities’ (F.3), ‘listed shares’ (F.511) or ‘investment fund shares or units’ (F.52), which they hold in custody on behalf of non-financial investors resident in other euro area Member States, data for the fields in the table below. They report in accordance with the following rules and in conformity with the definitions in Annex II:
(a)
data for fields 1, 2, 3 and 4 are reported;
(b)
data for field 7, where requested by the relevant NCB, are reported.
The relevant NCB may choose to require custodians to report data for fields 1, 3, 4 and 5 instead of data in accordance with point (a). In this case, where requested by the relevant NCB, instead of data in accordance with point (b), data for field 8 are also reported.
The relevant NCB may also choose to require custodians to report data for fields 2b, 5, 6 and 9.
| Field | Description |
|---|---|
| 1 | ISIN code |
| 2 | Number of units or aggregated nominal value |
| 2b | Quotation basis |
| 3 | Sector of the holder:
|
| 4 | Country of the holder |
| 5 | Market value |
| 6 | Portfolio investment or direct investment |
| 7 | Other changes in volume at nominal value |
| 8 | Other changes in volume at market value |
| 9 | Financial transactions |
PART 5U.K. Data on securities with an ISIN code issued by euro area residents held in custody on behalf of investors resident in non-euro area Member States or outside the Union
Custodians report for each security issued by euro area residents that has been assigned an ISIN code classified under the security category ‘debt securities’ (F.3), ‘listed shares’ (F.511) or ‘investment fund shares or units’ (F.52), which they hold in custody on behalf of investors resident in non-euro area Member States or outside the Union, data for the fields in the table below. They report in accordance with the following rules and in conformity with the definitions in Annex II:
(a)
data for fields 1, 2, 3, and 4 are reported;
(b)
data for field 7, where requested by the relevant NCB, are reported.
The relevant NCB may choose to require custodians to report data for fields 1, 3, 4 and 5 instead of data in accordance with point (a). In this case, where requested by the relevant NCB, instead of data in accordance with point (b), data for field 8 are also reported.
The relevant NCB may also choose to require custodians to report data for fields 2b, 5, 6 and 9.
| a The sector classification contained in the System of National Accounts 1993 applies in this case as the ESA does not apply. | |
| Field | Description |
|---|---|
| 1 | ISIN code |
| 2 | Number of units or aggregated nominal value |
| 2b | Quotation basis |
| 3 | Sector of the holdera:
|
| 4 | Country of the holder |
| 5 | Market value |
| 6 | Portfolio investment or direct investment |
| 7 | Other changes in volume at nominal value |
| 8 | Other changes in volume at market value |
| 9 | Financial transactions |
PART 6U.K. Data on holdings of securities with an ISIN code by reporting groups
Heads of reporting groups provide the statistical information in accordance with one of the following reporting approaches:
(a)
holdings of securities for the group as a whole; or
(b)
holdings of securities by entities of the group resident in the country where the head is located separately from the holdings of securities by entities of the group non-resident in the country where the head is located; or
(c)
holdings of securities separately by each entity of the group.
Heads of reporting groups report for each security that has been assigned an ISIN code classified under the security category ‘debt securities’ (F.3), ‘listed shares’ (F.511) or ‘investment fund shares or units’ (F.52), which is held by the group, data for the fields in the table below. They report in accordance with the following rules and in conformity with the definitions in Annex II:
(a)
data for fields 1 and 2 are reported;
(b)
data under (a) are reported in accordance with one of the following options:
(i)
aggregated for the whole group; or
(ii)
separately for resident and for non-resident entities of the group. In this case data for field 4 are also reported; or
(iii)
separately by each entity of the group. In this case, data for field 5 are also reported.
[F1The relevant NCB may also choose to require heads of reporting groups to report data for fields 2b, 3 and 6.]
| [F1Field | Description | Alternative reporting options | ||
|---|---|---|---|---|
| 1 | ISIN code | (i) Group level | (ii) Resident entities and non-resident entities separately identified | (iii) By entity |
| 2 | Number of units or aggregated nominal value | |||
| 2b | Quotation basis | |||
| 3 | Market value | |||
| 4 | Resident entities/non-resident entities | |||
| 5 | Entity of the group | |||
| 6 | Issuer is part of the reporting group | ] | ||
PART 7U.K. Data on holdings of securities without an ISIN code
[F1For each security that has not been assigned an ISIN code classified under the security category ‘ short term debt securities ’ (F.31), ‘ long term debt securities ’ (F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.52), data for the fields in the table below may be reported by financial investors belonging to the MFIs, IFs and FVCs or ICs and by custodians. They report in accordance with the following rules and in conformity with the definitions in Annex II:]
(a)
For investors reporting data on their holdings of securities, quarterly or monthly data may be reported as follows:
(i)
[F1data for fields 1 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6, 7 and 9 to 15, and either for field 16 or for fields 17 and 18, over the reference quarter or month, on a security-by-security basis using an identification number such as CUSIP, SEDOL, an NCB identification number, etc; or
(ii)
aggregated data for fields 2 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6, 7, and 9 to 15, and either data for field 16 or for fields 17 and 18, over the reference quarter or month.]
(b)
[F1For custodians reporting data on securities they hold on behalf of resident financial investors not required to report their holdings of securities and on behalf of non-financial investors, quarterly or monthly data may be reported as follows:
(i)
data for fields 1 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6 and 8 to 15, and either for field 16 or for fields 17 and 18, over the reference quarter or month, on a security-by-security basis using an identification number such as CUSIP, SEDOL, an NCB identification number, etc; or
(ii)
aggregated data for fields 2 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6 and 8 to 15, and either data for field 16 or for fields 17 and 18, over the reference quarter or month.
Custodians reporting the holdings of ICs in accordance with Article 3(2a) shall also report data for fields 22 or 23.]
(c)
[F2For heads of banking groups reporting data on securities which are held by their group, including non-resident entities, quarterly data may be reported as follows:
(i)
data for fields 1 to 4 (data for field 5 instead of fields 2 and 4 may be reported), and for fields 6 and 9 to 15, over the reference quarter, on a security-by-security basis using an identification number such as CUSIP, SEDOL, an NCB identification number, etc.; or
(ii)
aggregated data for fields 2 to 4 (data for field 5 instead of fields 2 and 4 may be reported), and for fields 6 and 9 to 15, over the reference quarter.
Data under (i) and (ii) are reported in accordance with one of the following options:
(i)
aggregated for the whole group; or
(ii)
separately for resident and for non-resident entities of the group. In this case data for field 19 are also reported; or
(iii)
separately by each entity of the group. In this case, data for field 20 are also reported.
The relevant NCB may require heads of reporting groups to also report data for field 21.]
| a For aggregated data: number of units or aggregated nominal value having the same price value (see field 4). | |
| b Where available, ‘ central government ’ (S.1311), ‘ state government ’ (S.1312), ‘ local government ’ (S.1313) and ‘ social security funds ’ (S.1314) sub-sectors are reported separately identified. | |
| c Where available, ‘ households ’ (S.14) and ‘ non-profit institutions serving households ’ (S.15) sub-sectors are reported separately identified. | |
| d Where available, ‘ insurance corporations ’ (S.128) and ‘ pension funds ’ (S.129) sectors are reported separately identified. | |
| e The relevant NCB may require actual reporting agents to separately identify the sub-sectors ‘ households ’ (S.14) and ‘ non-profit institutions serving households ’ (S.15).] | |
| [F1Field | Description |
|---|---|
| 1 | Security identifier code (NCB identification number, CUSIP, SEDOL, other) |
| 2 | Number of units or aggregated nominal value a |
| 3 | Quotation basis |
| 4 | Price value |
| 5 | Market value |
| 6 | Instrument:
|
| 7 | Sector or sub-sector of investors reporting data on own holdings of securities:
|
| 8 | Sector or sub-sector of the investors reported by custodians:
|
| 9 | Sector or sub-sector of the issuer:
|
| 10 | Portfolio investment or direct investment |
| 11 | Country breakdown of investor |
| 12 | Country breakdown of issuer |
| 13 | Security currency of denomination |
| 14 | Issue date |
| 15 | Maturity date |
| 16 | Financial transactions |
| 17 | Revaluation adjustments |
| 18 | Other changes in volume |
| 19 | Resident entities/non-resident entities |
| 20 | Entity of the group |
| 21 | Issuer is part of the reporting group |
| 22 | Holder institution |
| 23 | Holder institution is subject to direct reporting |
[F2PART 8 U.K. Annual reporting of own holdings of securities with an ISIN code by ICs
For each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.3), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.52), data for the fields in the table below are reported by ICs with reference to own holdings of securities, on an annual basis. They are reported in accordance with the following rules and in conformity with the definitions in Annex II:
(a)
if ICs report security-by-security data, data for fields 1, 2 and 4 are reported;
(b)
the relevant NCB may require financial investors belonging to the ICs to also report data for fields 2b and 3;
(c)
if ICs report aggregated data, data for fields 3 and 4 to 8 are reported.
| a Where available, ‘ insurance corporations ’ (S.128) and ‘ pension funds ’ (S.129) sectors are reported separately identified. | |
| b The relevant NCB may require actual reporting agents to separately identify the sub-sectors ‘ households ’ (S.14) and ‘ non-profit institutions serving households ’ (S.15).] | |
| Field | Description |
|---|---|
| 1 | ISIN code |
| 2 | Number of units or aggregated nominal value |
| 2b | Quotation basis |
| 3 | Market value |
| 4 | Geographical breakdown of the holder (individual EEA countries, non-EEA countries) |
| 5 | Instrument:
|
| 6 | Sector or sub-sector of the issuer:
|
| 7 | Country breakdown of issuer |
| 8 | Security currency of denomination |
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