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Commission Implementing Regulation (EU) No 945/2014Dangos y teitl llawn

Commission Implementing Regulation (EU) No 945/2014 of 4 September 2014 laying down implementing technical standards with regard to relevant appropriately diversified indices according to Regulation (EU) No 575/2013 of the European Parliament and of the Council (Text with EEA relevance)

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Commission Implementing Regulation (EU) No 945/2014

of 4 September 2014

laying down implementing technical standards with regard to relevant appropriately diversified indices according to Regulation (EU) No 575/2013 of the European Parliament and of the Council

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012(1) and in particular the third subparagraph of Article 344(1) thereof,

Whereas:

(1) Pursuant to Article 344(4) of Regulation (EU) No 575/2013, the specific risk of a stock-index future which would be treated as an individual equity in accordance with that Article can be ignored where the relevant stock-index is exchange traded and represents a relevant appropriately diversified index.

(2) Where an exchange traded stock-index future is appropriately diversified, it can be assumed that such stock-index represents no specific risk. This is considered to be the case where the index contains at least 20 equities, no single entity contained within them represents more than 25 % of the total index and 10 % of the largest equities (rounding up the number of equities to the superior natural number) represent less than 60 % of the total index. In addition, the index must encompass equities from at least a national market, and they must comprise equities from at least four industries amongst oil and gas, basic materials, industrials, consumer goods, health care, consumer services, telecommunications, utilities, financials and technology.

(3) Given that Article 344(4) of Regulation (EU) No 575/2013 refers to ‘relevant’ eligible indices, only those stock indices which are relevant for financial institutions in the Union have been assessed against the criteria for identifying eligible stock indices.

(4) This Regulation is based on the draft implementing technical standards submitted by the European Banking Authority to the Commission.

(5) The European Banking Authority has conducted open public consultations on the draft implementing technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Banking Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council(2),

HAS ADOPTED THIS REGULATION:

Modifications etc. (not altering text)

C1The “appropriate regulator” has power to make such provision as they consider appropriate by means of an instrument in writing to prevent, remedy or mitigate any failure of the provisions of this Regulation to operate effectively or any other deficiency arising from the withdrawal of the United Kingdom from the EU, see The Financial Regulators' Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1115), regs. 2, 3, Sch. Pt. 4 (with saving on IP completion day by S.I. 2019/680, regs. 1(2), 11; 2020 c. 1, Sch. 5 para. 1(1))

C2Regulation: power to modify conferred (11.7.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 3, 86(3), Sch. 1 Pts. 1, 3; S.I. 2023/779, reg. 2(d)

Article 1U.K.Stock indices for the purposes of Article 344 of Regulation (EU) No 575/2013

The list of stock indices, for which the treatments set out in the second sentence of Article 344(4) of Regulation (EU) No 575/2013 is available, are provided in the Annex.

Article 2U.K.Entry into Force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

[F1ANNEX U.K. Stock indices meeting the requirements of Article 344 of Regulation (EU) No 575/2013

Textual Amendments

Index Country\Area
1. STOXX Asia/Pacific 600 Asia/Pacific
2. ASX100 Australia
3. ASX200 Australia
4. S&P All Ords Australia
5. ATX Austria
6. ATX Prime Austria
7. BEL20 Belgium
8. SaoPaulo – Bovespa Brazil
9. TSX60 Canada
10. CETOP20 Index Central Europe
11. CSI 100 Index China
12. CSI 300 Index China
13. FTSE China A50 Index China
14. Hang Seng Mainland 100 China China
15. PX Global Prague Czech Republic
16. OMX Copenhagen 20 CAP Denmark
17. OMX Copenhagen 25 Denmark
18. OMX Copenhagen Benchmark Denmark
19. FTSE RAFI Developed 1000 Developed Markets
20. CECE Composite Index EUR Eastern Europe
21. FTSE RAFI Emerging Markets Emerging Markets
22. MSCI Emerging Markets 50 Emerging Markets
23. Bloomberg European 500 Europe
24. DJ Euro STOXX 50 Europe
25. FTSE Euro 100 Europe
26. FTSE Eurofirst 100 Europe
27. FTSE Eurofirst 300 Europe
28. FTSE Eurofirst 80 Europe
29. FTSE EuroMid Europe
30. FTSE Eurotop 100 Europe
31. MSCI Euro Europe
32. MSCI Europe Europe
33. MSCI Pan-Euro Europe
34. NTX New Europe Blue Chip Europe
35. S&P Euro Europe
36. S&P Europe 350 Europe
37. STOXX All Europe 100 Europe
38. STOXX All Europe 800 Europe
39. STOXX Europe 50 Europe
40. STOXX Europe 600 Europe
41. STOXX Europe 600 Equal Weight Europe
42. STOXX Europe Enlarged TMI Europe
43. STOXX Europe Lrg 200 Europe
44. STOXX Europe Mid 200 Europe
45. STOXX Europe Small 200 Europe
46. STOXX Select Dividend 30 Europe
47. OMXH25 Finland
48. CAC40 France
49. SBF 120 France
50. DAX Germany
51. HDAX Germany
52. MDAX Germany
53. SDAX Germany
54. FTSE RAFI All World Global
55. MSCI World Index Global
56. Athens General Greece
57. FT ASE Large Cap Greece
58. Hang Seng Hong Kong
59. Hang Seng China Enterprises Hong Kong
60. NIFTY 50 India
61. ISEQ 20 Ireland
62. FTSE MIB Italy
63. Nikkei225 Japan
64. Nikkei300 Japan
65. TOPIX 400 Japan
66. TOPIX Core 30 Japan
67. S&P Latin America 40 Latin America
68. FTSE Bursa Malaysia KLCI Malaysia
69. FTSE Bursa Malaysia Top100 Malaysia
70. MSE Share Index Malta
71. INMEX Index Mexico
72. IPC Index Mexico
73. AMX Netherlands
74. AEX Netherlands
75. NZSE50 New Zealand
76. OBX Norway
77. OBXP Norway
78. mWIG40 Poland
79. WIG20 Poland
80. MOEX Russia
81. MSCI Russia Index Russia
82. MSCI Singapore Free Index Singapore
83. Straits Times Index Singapore
84. FTSE JSE Top 40 South Africa
85. IBEX35 Spain
86. OMX Stockholm 30 Sweden
87. SMI Switzerland
88. SMI MID Switzerland
89. FTSE NASDAQ Dubai 20 UAE
90. FTSE 100 UK
91. FTSE AIM 100 UK
92. FTSE AIM UK 50 UK
93. FTSE Fledgling UK
94. FTSE mid-250 UK
95. FTSE Small Cap UK
96. Dow Jones Ind. Av. USA
97. NASDAQ 100 USA
98. S&P 500 USA]

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