- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (01/10/2018)
- Gwreiddiol (Fel y’i mabwysiadwyd gan yr UE)
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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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
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
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
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
on a quarterly basis, quarterly security-by-security positions and, where requested by the relevant NCB, other changes in volume for the reference quarter.
Textual Amendments
[F2For each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), 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.]
data for fields 1 and 2 are reported;
data are reported in accordance with either point (i) or (ii) as follows:
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
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.
[F1The relevant NCB may also choose to require MFIs to report data for field 8.]
Field | Description |
---|---|
1 | ISIN code |
2 | Number of units or aggregated nominal value |
[F22b | Reporting 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 |
[F18 | Security issued by the holder] ] |
[F2Custodians report, for each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), which they hold in custody for resident non-financial clients and other financial clients that do not report their own holdings of securities, data for the fields in the table below.]
data for fields 1, 2, and 3 are reported;
data are reported in accordance with either point (i) or (ii) as follows:
if custodians report security-by-security financial transactions, data for fields 6 and, where requested by the relevant NCB, 7 are reported; or
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.
[F4Custodians reporting the holdings of ICs in accordance with Article 3(2a) shall also report data for field 9 or field 10.]
Textual Amendments
a [F2Where 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. | |
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).] ] | |
[F3Field | Description |
---|---|
1 | ISIN code |
2 | Number of units or aggregated nominal value |
[F22b | Reporting basis |
3 | Sector of the client:
|
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 |
[F29 | Client institution |
10 | Client institution is subject to direct reporting] |
[F2Custodians report for each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), which they hold in custody for non-financial clients resident in other euro area Member States, data for the fields in the table below.]
data for fields 1, 2, 3 and 4 are reported;
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 |
[F22b | Reporting basis |
3 | Sector of the client:
|
4 | Country of the client] |
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 |
[F2Custodians report for each security issued by euro area residents that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), which they hold in custody for clients resident in non-euro area Member States or outside the Union, data for the fields in the table below.]
data for fields 1, 2, 3, and 4 are reported;
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 [F2The sector classification contained in the System of National Accounts 2008 applies in this case as the ESA 2010 does not apply.] | |
Field | Description |
---|---|
1 | ISIN code |
2 | Number of units or aggregated nominal value |
[F22b | Reporting basis |
3 | Sector of the client a :
|
4 | Country of the client] |
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 |
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
For each security that has not been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), 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:
For investors reporting data on their holdings of securities, quarterly or monthly data may be reported as follows:
data for fields 1 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6 to 13, and either for field 14 or for fields 15 and 16, 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
aggregated data for fields 2 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6 to 13, and either data for field 14 or for fields 15 and 16, over the reference quarter or month.
The relevant NCB may request the MFIs to also report data in field 17.
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. | |
Field | Description |
---|---|
1 | Security identifier code (NCB identification number, CUSIP, SEDOL, other) |
2 | Number of units or aggregated nominal value a |
3 | Reporting 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 issuer:
|
9 | Portfolio investment or direct investment |
10 | Country breakdown of issuer |
11 | Security currency of denomination |
12 | Issue date |
13 | Maturity date |
14 | Financial transactions |
15 | Revaluation adjustments |
16 | Other changes in volume |
17 | Security issued by the holder |
For custodians reporting data on securities that they hold for resident financial clients not required to report their holdings of securities and for non-financial clients, quarterly or monthly data may be reported as follows:
data for fields 1 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6 to 14, and either for field 15 or for fields 16 and 17, 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
aggregated data for fields 2 to 4 (data for field 5 instead of fields 2 and 4 may be reported), for fields 6 to 14, and either data for field 15 or for fields 16 and 17, over the reference quarter or month.
Custodians reporting the holdings of ICs in accordance with Article 3(2a) must also report data for fields 18 or 19.
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.] | |
Field | Description |
---|---|
1 | Security identifier code (NCB identification number, CUSIP, SEDOL, other) |
2 | Number of units or aggregated nominal value a |
3 | Reporting basis |
4 | Price value |
5 | Market value |
6 | Instrument:
|
7 | Sector or sub-sector of the clients reported by custodians:
|
8 | Sector or sub-sector of the issuer:
|
9 | Portfolio investment or direct investment |
10 | Country breakdown of investor |
11 | Country breakdown of issuer |
12 | Security currency of denomination |
13 | Issue date |
14 | Maturity date |
15 | Financial transactions |
16 | Revaluation adjustments |
17 | Other changes in volume |
18 | Client institution |
19 | Client institution is subject to direct reporting |
[F2For each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), data for the fields in the table below are reported by ICs with reference to own holdings of securities, on an annual basis.]
if ICs report security-by-security data, data for fields 1, 2 and 4 are reported;
the relevant NCB may require financial investors belonging to the ICs to also report data for fields 2b and 3;
if ICs report aggregated data, data for fields 3 and 4 to 8 are reported.
[F2Field | Description |
---|---|
1 | ISIN code |
2 | Number of units or aggregated nominal value |
2b | Reporting 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] ] |
Textual Amendments
Group data reporting agents report for each security that has been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), 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:
data for fields 1 to 8 and 12 to 30 are reported;
data for fields 31 to 33 and 35 to 37 are reported, if the Internal Ratings Based (IRB) approach for regulatory capital calculation is applied or if the data is available by other means;
data for fields 34 to 37 are reported, if the IRB approach for regulatory capital calculation is not applied or if the data is available by other means;
[F6The relevant NCB or, where group data is reported to the ECB pursuant to Article 3a(5), the ECB may also choose to require group data reporting agents to report data for fields 9 to 11 and, if not already covered under points (b) or (c), 31 to 37.]
Textual Amendments
a [F6Where the derogation set out in Article 4a(3) is applied, the data fields referring to the entity-by-entity reporting should be reported in accordance with the respective rules as established by the relevant NCB which granted the derogation or, where group data is reported to the ECB pursuant to Article 3a(5), the ECB, ensuring that the data is homogenous with respect to the mandatory breakdowns.] | ||
Field | Description | Level of reporting a (G = Group/E = Entity) |
---|---|---|
1. Holder related information | ||
1 | Holder identifier code | E |
2 | Legal Entity Identifier (LEI) of the holder | E |
3 | Name of the holder | E |
4 | Country of the holder | E |
5 | Sector of the holder | E |
6 | Identifier code of the immediate parent of the holder | E |
2. Instrument related information | ||
7 | ISIN code | E |
8 | Number of units or aggregated nominal value | E |
9 | Reporting basis | E |
10 | Market value | E |
11 | Issuer is part of the reporting group (prudential scope) | G |
12 | Issuer is part of the reporting group (accounting scope) | G |
3. Accounting and risk related information | ||
13 | Status of forbearance and renegotiation | G |
14 | Date of the forbearance and renegotiation status | G |
15 | Performing status of the instrument | G |
16 | Date of the performing status of the instrument | G |
17 | Default status of the issuer | G |
18 | Date of default status of the issuer | G |
19 | Default status of the instrument | G |
20 | Date of default status of the instrument | G |
21 | Accounting standard | G and E |
22 | Carrying amount | E |
23 | Type of Impairment | E |
24 | Impairment assessment method | E |
25 | Accumulated impairment amount | E |
26 | Sources of encumbrance | E |
27 | Accounting classification of instruments | E |
28 | Prudential portfolio | E |
29 | Accumulated changes in fair value due to credit risk | E |
30 | Cumulative recoveries since default | E |
31 | Probability of default (PD) of the issuer | G |
32 | Loss given default (LGD) in downturns | G |
33 | LGD in normal economic times | G |
34 | Risk-weight | G |
35 | Exposure Value (also referred to as Exposure at default) | E |
36 | Capital calculation approach for prudential purposes | E |
37 | Exposure class | E |
Group data reporting agents report for each security that has not been assigned an ISIN code classified under the security category ‘ debt securities ’ (F.31 and F.32), ‘ listed shares ’ (F.511) or ‘ investment fund shares or units ’ (F.521 and F.522), which is held by the group, data for the fields laid down in the table below. They report in accordance with the following rules and in conformity with the definitions set out in Annex II:
data for fields 1 to 7, 11 and 13 to 52 are reported on a security-by-security basis using an identification number such as CUSIP, SEDOL, an NCB identification number, etc.;
data for fields 53 to 55 and 57 to 59 are reported, if the IRB approach for regulatory capital calculation is applied or if the data is available by other means;
data for fields 56 to 59 are reported, if the IRB approach for regulatory capital calculation is not applied or if the data is available by other means.
[F6The relevant NCB or, where group data is reported to the ECB pursuant to Article 3a(5), the ECB may require group data reporting agents to also report data for fields 8 to 10, 12 and, if not already covered under points (b) or (c), 53 to 59.]
a [F6Where the derogation set out in Article 4a(3) is applied, the data fields referring to the entity-by-entity reporting should be reported in accordance with the respective rules as established by the relevant NCB which granted the derogation, or, where group data is reported to the ECB pursuant to Article 3a(5), the ECB, ensuring that the data is homogenous with respect to the mandatory breakdowns.] | ||
b Alternative approximations (such as carrying amounts) may be used on a ‘ best-efforts ’ basis if the market value is not available. | ||
c 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.] | ||
Field | Description | Level of reporting a (G = Group/E = Entity) |
---|---|---|
1. Holder related information | ||
1 | Holder identifier code | E |
2 | LEI of the holder | E |
3 | Name of the holder | E |
4 | Country of the holder | E |
5 | Sector of the holder | E |
6 | Identifier code of the immediate parent of the holder | E |
2. Instrument related information | ||
7 | Security identifier code (NCB identification number, CUSIP, SEDOL, other) | E |
8 | Number of units or aggregated nominal value | E |
9 | Reporting basis | E |
10 | Price value | E |
11 | Market value b | E |
12 | Issuer is part of the reporting group (prudential scope) | G |
13 | Issuer is part of the reporting group (accounting scope) | G |
14 | Instrument:
| E |
15 | Security currency of denomination | E |
16 | Issue date | E |
17 | Maturity date | E |
18 | Primary asset classification | E |
19 | Asset securitisation type | E |
20 | Security status | E |
21 | Security status date | E |
22 | Arrears for the instrument | E |
23 | Date of arrears for the instrument | E |
24 | Instrument seniority type | E |
25 | Collateral geographical location | E |
26 | Guarantor identifier code | E |
27 | Issuer identifier code | E |
28 | LEI of the issuer | E |
29 | Name of the issuer | E |
30 | Country breakdown of the issuer | E |
31 | Sector or sub-sector of the issuer:
| E |
32 | NACE sector of the issuer | E |
33 | Entity status | E |
34 | Entity status date | E |
3. Accounting and risk related information | ||
35 | Status of forbearance and renegotiation | G |
36 | Date of the forbearance and renegotiation status | G |
37 | Performing status of the instrument | G |
38 | Date of the performing status of the instrument | G |
39 | Default status of the issuer | G |
40 | Date of default status of the issuer | G |
41 | Default status of the instrument | G |
42 | Date of default status of the instrument | G |
43 | Accounting standard | G and E |
44 | Carrying amount | E |
45 | Type of Impairment | E |
46 | Impairment assessment method | E |
47 | Accumulated impairment amount | E |
48 | Sources of encumbrance | E |
49 | Accounting classification of instruments | E |
50 | Prudential portfolio | E |
51 | Accumulated changes in fair value due to credit risk | E |
52 | Cumulative recoveries since default | E |
53 | PD of the issuer | G |
54 | LGD in downturns | G |
55 | LGD in normal economic times | G |
56 | Risk-weight | G |
57 | Exposure Value (also referred to as Exposure at default) | E |
58 | Capital calculation approach for prudential purposes | E |
59 | Exposure class | E |
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