Chwilio Deddfwriaeth

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Commission Implementing Regulation (EU) No 680/2014Dangos y teitl llawn

Commission Implementing Regulation (EU) No 680/2014 of 16 April 2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council (Text with EEA relevance)

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5. LE1 template: Identification of the counterparty

5.1.Instructions concerning specific columns

ColumnLegal references and instructions
010-070
Counterparty Identification:

Institutions shall report the identification of any counterparty for which information is being submitted. It shall cover all codes as submitted according to column 010 in templates LE2 to LE5.

According to Article 394(1) point (a) of Regulation (EU) No 575/2013, institutions shall report the identification of the counterparty to which they have a large exposure as defined in Article 392 of Regulation (EU) No 575/2013.

According to Article 394(2) point (a) of Regulation (EU) No 575/2013, institutions shall report the identification of the counterparty to which they have the largest exposures (in the cases where the counterparty is an institution or an unregulated financial entity).

010
Code

The code shall correspond to the code of the group whenever a group of connected clients exists. In any other case, the code shall correspond to the individual counterparty.

The composition of the code depends on the national reporting system, unless a uniform codification is available in the EU.

For a group of connected clients, the code that shall be reported shall be the code of the parent company. When the group of connected clients does not have a parent, the code that shall be reported shall be the code of the individual entity which is considered by the institution as the most significant within the group of connected clients. This code shall be used in a consistent way across time.

020
Name

The name shall correspond to the name of the group whenever a group of connected clients exists. In any other case, the name shall correspond to the individual counterparty.

For a group of connected clients, the name that shall be reported shall be the name of the parent company or, when the group of connected clients does not have a parent, it shall be the group’s commercial name.

030
LEI Code

The legal entity identifier code of the counterparty.

For a group of connected clients, the legal identifier code that shall be reported shall be the code of the parent company. When the group of connected clients does not have a parent, the code that shall be reported shall be the code of the individual entity which is considered by the institution as the most significant within the group of connected clients. This code shall be used in a consistent way across time.

040
Residence of the counterparty

The ISO code 3166-1-alpha-2 of the country of incorporation of the counterparty shall be used (including pseudo-ISO codes for international organisations, available in the last edition of the Eurostat’s ‘Balance of Payments Vademecum’).

For groups of connected clients, no residence shall be reported.

050
Sector of the counterparty

One sector shall be allocated to every counterparty on the basis of FINREP economic sector classes:

(i) Central Banks; (ii) General Governments; (iii) Credit institutions; (iv) Other financial corporations; (v) Non-financial corporations; (vi) households.

For groups of connected clients, no sector shall be reported.

060
NACE code

For the economic sector, the NACE codes (Nomenclature statistique des activités économiques dans la Communauté européenne = Statistical Classification of Economic Activities of the EU) shall be used.

This column shall apply only for the counterparties ‘Other financial corporations’ and ‘Non-financial corporations’. NACE codes shall be used for ‘Non-financial corporations’ with one level detail (e.g. ‘F – Construction’) and for ‘Other financial corporations’ with a two level detail, which provides separate information on insurance activities (e.g. ‘K65 - Insurance, reinsurance and pension funding, except compulsory social security’).

The ‘Other financial corporations’ and ‘Non-financial corporations’ economic sectors shall be classified on the basis of FINREP counterparty breakdown.

For groups of connected clients, no NACE code shall be reported.

070
Type of counterparty

Article 394(2)

The type of the counterparty of the 10 largest exposures to institutions and the 10 largest exposures to unregulated financial entities shall be specified by using ‘I’ for institutions or ‘U’ for unregulated financial entities.

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