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Commission Delegated Regulation (EU) 2015/1Show full title

Commission Delegated Regulation (EU) 2015/1 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the periodic reporting on fees charged by credit rating agencies for the purpose of ongoing supervision by the European Securities and Markets Authority (Text with EEA relevance)

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ANNEX IU.K.

Table 1

Reporting of pricing policies per rating class in force and subsequent material updates

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory
2CRA scopeIdentification of the CRAs applying the pricing policy.MandatoryISO 17442
3Pricing policy identifierUnique identifier of the pricing policy that shall be maintained. All changes other than the scope of the rating types covered by the pricing policy should maintain the same unique identifier. Changes in the scope require a new pricing policy identifier.MandatoryPricing policy identifier in format ‘PP_[internal pricing policy identifier]’
4Pricing policy validity dateThe date from which the pricing policy is valid.MandatoryISO 8601 date format (YYYY-MM-DD)
5Pricing policy end dateThe end validity date of the pricing policy.MandatoryISO 8601 date dormat (YYYY-MM-DD) or 9999-01-01
6Indication of modelIndication of whether the pricing policy relates to issuer-pays ratings or investor-pays or subscriber-pays model. ESMA understands that CRAs may operate services under more than one model and therefore it is possible that a pricing policy may be used for both types of models. In such cases I and S may both be chosen.Mandatory
  • ‘I’ for issuer-pays model, and/or

  • ‘S’ for investor-pays or subscriber-pays model

7Scope of the pricing policyDescription of the type of ratings or ancillary services included or covered by the pricing policy.Mandatory

Indication whether the pricing policy applies to one or more of:

  • ‘All’,

  • ‘C’ for corporate ratings (excluding covered bonds),

  • ‘S’ for sovereign and public finance ratings,

  • ‘T’ for structured finance ratings,

  • ‘B’ for covered bond ratings,

  • ‘O’ other types of ratings,

  • ‘A’ for ancillary services.

8Industry segment of the pricing policyWhen reporting corporate ratings indication whether the pricing policy applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.

Mandatory

Applicable only if ‘C’ in field 7 ‘Scope of the pricing policy’

Indication whether the pricing policy applies to one or more of:

  • ‘All’,

  • FI — for financial institutions including banks, brokers and dealers,

  • IN — for insurance rating type,

  • CO — for corporate issuers that do not belong to FI or IN classes.

9Asset class of the pricing policyWhen reporting structured finance ratings indication whether the pricing policy applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.

Mandatory

Applicable only if ‘T’ in field 7 ‘Scope of the pricing policy’

Indication whether the pricing policy applies to one or more of:

  • ‘All’,

  • ‘RMBS’ for RMBS ratings,

  • ‘ABS’ for ABS ratings,

  • ‘CMBS’ for CMBS ratings,

  • ‘CDO’ for CDO ratings,

  • ‘ABCP’ for ABCP ratings,

  • ‘OTH’ other.

10SectorWhen reporting sovereign and public finance ratings indication whether the pricing policy applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.

Mandatory

Applicable only if ‘S’ in field 7 ‘Scope of the pricing policy’

Indication whether the pricing policy applies to one or more of:

  • ‘All’,

  • ‘SV’ — State rating,

  • ‘SM’ — regional or local authority rating,

  • ‘SO’ — supranational organisations rating other than ‘IF’,

  • ‘PE’ — public entities rating,

  • ‘IF’ — international financial institutions.

11Previous pricing policyThe identification of the prior pricing policy which the current policy replaces.

Mandatory

Applicable if the current pricing policy changes the scope of application of a previous pricing policy

Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
12Pricing policy file namePricing policy file name. Shall be reported in a zip formatMandatory

Table 2

Reporting of fee schedules per rating class in force and subsequent material updates

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory
2CRA scopeIdentification of the CRAs applying the fee schedule.MandatoryISO 17442
3Fee schedule identifierUnique identifier of the fee schedule that shall be maintained over time. All changes other than the scope of the rating types covered by the fee schedule should maintain the same unique identifier. Changes in the scope require a new fee schedule identifier.MandatoryFee schedule identifier in format ‘FS_[internal fee schedule identifier]’
4Pricing policy identifierIdentification of the pricing policy which the fee schedule is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.MandatoryPricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5Fee schedule validity dateThe date from which the fee schedule is valid.MandatoryISO 8601 date format (YYYY-MM-DD)
6Fee schedule end dateThe end validity date of the fee schedule.MandatoryISO 8601 date format (YYYY-MM-DD) or 9999-01-01
7Indication of modelIndication of whether fee schedule relates to issuer-pays ratings or investor-pays model.Mandatory
  • ‘I’ for issuer-pays model,

  • ‘S’ for investor-pays or subscriber-pays model.

8Rating type scope of the fee scheduleDescription of the type of ratings or ancillary services included in the fee schedule.Mandatory

Indication whether the fee schedule applies to one or more of:

  • ‘All’,

  • ‘C’ for corporate ratings (excluding covered bonds),

  • ‘S’ for sovereign and public finance ratings,

  • ‘T’ for structured finance ratings,

  • ‘B’ for covered bond ratings,

  • ‘O’ other types of ratings,

  • ‘A’ for ancillary services.

9Industry segment of the fee scheduleWhen reporting corporate ratings indication whether the fee schedule applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.

Mandatory.

Applicable only if ‘C’ in field 8 ‘Rating type scope of the fee schedule’

Indication whether the fee schedule applies to one or more of:

  • ‘All’

  • ‘FI’ — for financial institutions including banks, brokers and dealers,

  • ‘IN’ — for insurance rating type,

  • ‘CO’ — for corporate issuers that do not belong to FI or IN classes.

10Asset class of the fee scheduleWhen reporting structured finance ratings indication whether the fee schedule applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.

Mandatory.

Applicable only if ‘T’ in field 8 ‘Rating type scope of the fee schedules’

Indication whether the fee schedule applies to one or more of:

  • ‘All’,

  • ‘RMBS’ for RMBS ratings,

  • ‘ABS’ for ABS ratings,

  • ‘CMBS’ for CMBS ratings,

  • ‘CDO’ for CDO ratings,

  • ‘ABCP’ for ABCP ratings,

  • ‘OTH’ other.

11Sector of the fee scheduleWhen reporting sovereign and public finance ratings indication whether the fee schedule applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.

Mandatory.

Applicable only if ‘S’ in field 8 ‘Rating type scope of the fee schedules’

Indication whether the fee schedule applies to one or more of:

  • ‘All’,

  • SV — State rating,

  • SM — regional or local authority rating,

  • SO — supranational organisations rating other than ‘IF’,

  • PE — public entities rating,

  • IF — international financial institutions.

12Sub-asset of the fee scheduleDefines the sub-asset classes for structured finance ratings.

Mandatory.

Applicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.

Indication whether the fee schedule applies to one or more of:

  • ‘All’,

  • CCS — if ABS: credit card receivable backed securities,

  • ALB — if ABS: auto loan backed securities,

  • CNS — if ABS: consumer loan backed security

  • SME — if ABS: small and medium-sized enterprises loan backed securities,

  • LES — if ABS: leases to individual or business backed security,

  • HEL — if RMBS: home equity loans,

  • PRR — if RMBS: prime RMBS,

  • NPR — if RMBS: non-prime RMBS,

  • CFH — if CDO: cash flow and hybrid CDOs/CLOs,

  • SDO — if CDO: synthetic CDOs/CLOs,

  • MVO — if CDO: Market value CDOs,

  • SIV — if OTH: structured investment vehicles,

  • ILS — if OTH: insurance-linked securities,

  • DPC — if OTH: derivative product companies,

  • SCB — if OTH: structured covered bonds,

  • OTH — other.

13Previous fee scheduleThe identification of the prior fee schedule which the current fee schedule replaces.Applicable if the current fee schedule changes the scope of application of a previous fee scheduleFee schedule identifier in format ‘FS_[internal fee schedule identifier]’
14Fee schedule file nameFee schedule file name. Shall be reported in a zip formatMandatory

Table 3

Reporting of fee programmes per rating class in force and subsequent material updates

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory
2CRA scopeIdentification of the CRAs applying the fee programme.MandatoryISO 17442
3Fee programme identifierUnique identifier of the fee programme that shall be maintained over time. All changes other than the scope of the rating types or type of programme covered by the fee programme should maintain the same unique identifier. Changes in the scope require a new fee programme identifier.MandatoryFee programme identifier in format ‘FP_[internal fee programme identifier]’
4Pricing policy identifierIdentification of the pricing policy which the fee programme is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.MandatoryPricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5Fee programme validity dateThe date from which the fee programme is valid.MandatoryISO 8601 date format (YYYY-MM-DD)
6Fee programme end dateThe end validity date of the fee programme.Mandatory

ISO 8601 date format (YYYY-MM-DD) or 9999-01-01

7Indication of modelIndication of whether fee programme relates to issuer-pays ratings or investor-pays or subscriber-pays model.Mandatory
  • ‘I’ for issuer-pays model, and/or

  • ‘S’ for investor-pays or subscriber-pays model.

8Rating type scope of the fee programmeDescription of the type of ratings or ancillary services included in the fee programme.Mandatory

Indication whether the fee programme applies to one or more of:

  • ‘All’,

  • ‘C’ for corporate ratings (excluding covered bonds),

  • ‘S’ for sovereign and public finance ratings,

  • ‘T’ for structured finance ratings,

  • ‘B’ for covered bond ratings,

  • ‘O’ other types of ratings,

  • ‘A’ for ancillary services.

9Industry segment of the fee programmeWhen reporting corporate ratings indication whether the fee programme applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.

Mandatory

Applicable only if ‘C’ in field 8 ‘Scope of the fee programme’

Indication whether the fee programme applies to one or more of:

  • ‘All’,

  • FI — for financial institutions including banks, brokers and dealers,

  • IN — for insurance rating type,

  • CO — for corporate issuers that do not belong to FI or IN classes.

10Asset class of the fee programmeWhen reporting structured finance ratings indication whether the fee programme applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.

Mandatory

Applicable only if ‘T’ in field 8 ‘Rating scope of the fee programme’

Indication whether the fee programme applies to one or more of:

  • ‘All’,

  • ‘RMBS’ for RMBS ratings,

  • ‘ABS’ for ABS ratings,

  • ‘CMBS’ for CMBS ratings,

  • ‘CDO’ for CDO ratings,

  • ‘ABCP’ for ABCP ratings,

  • ‘OTH’ other.

11Sector of the fee programmeWhen reporting sovereign and public finance ratings indication whether the fee programme applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.

Mandatory

Applicable only if ‘S’ in field 8 ‘Rating type scope of the fee programme’

Indication whether the fee programme applies to one or more of:

  • ‘All’,

  • SV — State rating,

  • SM — regional or local authority rating,

  • SO — supranational organisations rating other than ‘IF’,

  • PE — public entities rating,

  • IF — international financial institutions

12Sub-asset of the fee programmeDefines the sub-asset classes for structured finance ratings.

Mandatory.

Applicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.

Indication whether the fee programme applies to one or more of:

  • ‘All’,

  • CCS — if ABS: credit card receivable backed securities,

  • ALB — if ABS: auto loan backed securities,

  • CNS — if ABS: Consumer loan backed security,

  • SME — if ABS: small and medium-sized enterprises loan backed securities,

  • LES — if ABS: leases to individual or business backed security,

  • HEL — if RMBS: home equity loans,

  • PRR — if RMBS: prime RMBS

  • NPR — if RMBS: non-prime RMBS,

  • CFH — if CDO: cash flow and hybrid CDOs/CLOs,

  • SDO — if CDO: synthetic CDOs/CLOs,

  • MVO — if CDO: market value CDOs,

  • SIV — if OTH: structured investment vehicles,

  • ILS — if OTH: insurance-linked securities,

  • DPC — if OTH: derivative product companies,

  • SCB — if OTH: structured covered bonds,

  • OTH — other.

13Type of programme includedDescription of the type of programme included in the fee programme, such as whether it relates to and/or includes a frequency of use programme, loyalty programme, multi-issuance programmes, purchase of a package of credit ratings or other types of programmes.

Indication whether the fee programme applies to one or more of:

  • ‘All’,

  • ‘F’ frequency of use,

  • ‘L’ loyalty programme,

  • ‘M’ multi-issuance programmes,

  • ‘B’ for package purchase of a preset number of credit ratings,

  • ‘OTH’ other types of fee programme.

14Previous fee programmeThe identification of the prior fee programme which the current fee programme replaces.

Mandatory

Applicable if the current fee programme changes the scope of application of a previous fee programme.

Fee programme identifier in format ‘FP_[internal fee programme identifier]’
15Fee schedule(s)Unique identification number of any fee schedule(s) applicable or linked to the fee programme. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I.

Mandatory

if applicable

Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
16Fee programme file nameFee programme policy file name. Shall be reported in a zip formatMandatory

Table 4

Reporting of pricing procedures in force and subsequent material updates

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory.
2CRA scopeIdentification of the CRAs applying the pricing procedure.Mandatory.ISO 17442
3Procedure identifierUnique identifier of the pricing procedure that shall be maintained over time.Mandatory.
4Pricing policy identifierIdentification of the pricing policy or policies which the pricing procedure is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 2 of Annex I.Mandatory.Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5Fee schedule identifierIdentification of the schedule(s) which the pricing procedure is meant to implement. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I.

Mandatory.

If applicable.

Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
6Fee programme identifierIdentification of the fee programme(s) which the pricing procedure is meant to implement. This fee programme identifier must correspond to the identifier(s) set out under Table 3 of Annex I.

Mandatory.

If applicable.

Fee programme identifier in format ‘FP_[internal fee programme identifier]’
7Pricing procedure validity dateThe date from which the pricing procedure is valid.Mandatory.ISO 8601 date format (YYYY-MM-DD)
8Pricing procedure end dateEnd date of validity of the pricing procedureMandatory.ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
9Pricing procedure file namePricing procedure file name. Shall be reported in a zip formatMandatory.

ANNEX IIU.K.

Table 1

Data to be reported to ESMA for each individual credit rating assigned under the issuer-pays model

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory.
2Reporting yearThe calendar year to which the reporting period refers.Mandatory.Format: YYYY
3Rating identifierUnique identifier of the rating. It shall be maintained unchanged over time and correspond to identifier reported under Delegated Regulation (EU) 2015/2.Mandatory.
4Contract rating start dateDate of the initial contract for the rating service. Typically would correspond to the date on which the fees for the credit rating service are set.Mandatory.ISO 8601 extended date time format: YYYY-MM-DD
5Fee schedule used

Unique identifier of the fee schedule under which the fees were set. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I. Where no fee schedule has been used to set the price, then the pricing policy identifier must be used. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.

If neither a pricing policy or fee schedule has been applied then ‘N’ should be used.

Mandatory.

Fee schedule in format ‘FS_[internal fee schedule identifier]’ or pricing policy identifier in format ‘PP_[internal pricing policy identifier]’

‘N’ Non-applied

6Person(s) responsible for pricingInternal identifier assigned by the CRA to the person(s) responsible for setting the fees relating to the rating, either by applying the applicable fee schedule and/or fee programme or the person approving exceptions or discounts to the fee schedule and/or fee programme.Mandatory.The internal identifier of the person responsible
7Client IdentifierUnique code assigned by the CRA to identify the Client. Typically this should correspond to the issuer of the instrument or entity, however in no cases shall it be an SPV. For Structured Finance instruments the unique code should identify the originator or other entity that from an economic point of view (e.g. arranger), directly or indirectly via an SPV or SIV, effectively negotiates the fees with the credit rating agency. This shall correspond to one Client Identifier identified in Table 2 of Annex II.Mandatory.
8Indication of whether the individual rating benefited from fee exemption or reductionCertain credit ratings might not pay an individual direct fee/or might benefit from a reduction as the Client might have paid for a set of ratings, an annual (or other set period) nominal issuance amount, flat fee or be part of a ‘package’ of ratings (‘Group Fee’). This field identifies whether the individual rating is covered by such an arrangement with the Client.Mandatory.
  • ‘C’ — covered by Group Fee arrangement,

  • ‘N’ not covered by Group Fee arrangement.

9Total amount of fees chargedIdentifies the total amount of fees billed for the rating during the prior calendar reporting year. Where no fee was paid for the individual credit rating the amount should be 0 for all but one of the ratings benefitting from the Group Fee.Mandatory.Amount in EUR
10Amount of initial fees paidIdentifies the amount of up-front/initial fees billed during the prior calendar reporting year.Mandatory.Amount in EUR
11Surveillance fees paidIdentifies the annual surveillance/monitoring fees billed in prior calendar year.Mandatory.Amount in EUR
12Other fees charged for rating serviceIdentifies total of other fees or compensation billed in prior calendar year.If applicable.Amount in EUR
13Description of other feesIndication of whether the fees billed included any consideration or fees for a rapid turnaround request by the Client for the rating service.

Mandatory.

Applicable if ‘Other fees charged’ was filled in response to field ‘Other fees charged for rating service’ (field 12).

  • ‘Y’ — where rapidity fee applied,

  • ‘N’ — where no rapidity fee applied.

14Negotiation links with other ratingsIdentifies whether the rating fee negotiations was linked to other existing ratings of the Client and that led to variations in the final fees applied and paid for by the Client. This would include credit rating services provided in relation to vehicles set up to facilitate issuance, such as an MTN programme.Mandatory.
  • ‘Y’ for Yes,

  • ‘N’ for No.

15Identification of the linked rating(s)Unique identifier of the rating(s) linked to the rating being reported (e.g., in the case of structured finance a master trust structure and its series)

Mandatory.

Applicable if ‘Y’ was filled in response to field 14.

List of identifiers

16Fee programmeIndication of whether the Client benefits in lower individual fees from a frequency or other fee programme.Mandatory.
  • ‘Y’ for Yes,

  • ‘N’ for No.

17Identification of fee programmeIdentification of the fee programme under which the rating is priced. Should identify the fee programme which must match with the identifier set out in the applicable fee programme set out under Table 3 of Annex I.Mandatory if ‘Y’ was reported in field 16.

Fee programme identifier in format ‘FP_[internal fee programme identifier]’

Table 2

Data to be provided to ESMA for fees received on a per client basis for rating services and ancillary services

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory.
2Client identifierUnique code assigned by the CRA to identify the Client. Clients may be issuers, rated entities and/or originators, and/or include entities that from an economic point of view, directly or indirectly via an SPV or SIV, negotiates the fees with the credit rating agency in the context of credit rating arrangements. For clarification purposes it should be noted that in no instances shall a Client be an SPV or SIV. The Client shall retain the same unique identifier in all these cases.Mandatory.
3Legal entitiesList of legal entities that are included in the Client Identifier field.Mandatory.List of names of legal entities
4Total overall fees billedTotal fees billed from the Client in the prior calendar year for issuer-pays rating services.Mandatory.Amount in EUR
5Client ratingsIdentifies how many credit ratings the Client has with the credit rating agency at 31 December of the prior calendar year.Mandatory.Number of ratings
6Total fees for programmesTotal fees billed from the Client in the prior calendar year for rating services not derived from an individual rating but from a frequency issuance, relationship or other type of flat fee programme and excess issuance fees, which may cover one or more ratings.Mandatory.Amount in EUR
7Identification of ratingsIdentification of ratings issued under or covered by fees programmes in the prior calendar year.Mandatory.List of ratings identifier
8Fees received for ancillary servicesTotal fees billed by the CRA group of companies from the Client for ancillary services in the previous calendar year.Mandatory.Amount in EUR
9Main ancillary servicesIdentification of the three main services provided by the CRA group to the Client in the prior calendar year, in revenue terms.Mandatory. If more than 0 answered to field 8 ‘fees received for ancillary services’.List of ancillary services
10Ranking of ancillary servicesRanking of the ancillary services for the top three main services identified in field 9 ‘main ancillary services’, in revenue terms.Mandatory. If more than 0 answered to field 8 ‘fees received for ancillary services’Ranking of ancillary services
11Other servicesIndication of whether account was taken for the setting of fees for the credit rating services provided to the Client of any services provided by any entities belonging to the credit rating agency’s group within the meaning of Articles 1 and 2 of Directive 83/349/EEC as well as any entity linked to the credit rating agency or other company of the credit rating agency’s group by a relationship within the meaning of Article 12(1) of Directive 83/349/EEC.Mandatory.
  • ‘Y’ for Yes,

  • ‘N’ for No.

ANNEX IIIU.K.

Table 1 Data to be provided to ESMA for fees received for subscription or investor-pays based rating services U.K.

This is to be provided on a per client basis for:

(i)

the top 100 Clients in revenue terms for this type of credit rating service;

(ii)

as well as all other Clients who are subscribers or pay for ratings as an investor and are also rated by the credit rating agency group.

No.Field nameDescriptionTypeStandard
1CRA identifierCode used to identify the reporting credit rating agency. It is provided by ESMA upon registration.Mandatory.
2Client identifierCode used internally by the system to identify the client who is paying, being invoiced or otherwise negotiating rates with the credit rating agency to receive the credit rating service.Mandatory.
3Fees per clientTotal fees billed from the Client for subscription based rating services provided in prior calendar year.Mandatory.Amount in EUR
4Identification of pricing policyIdentification of the pricing policy under which the CRA charged its Client. The pricing policy identifier must match with the identifier set out in the applicable pricing policy set out under Table 1 of Annex I to this RTS.

Mandatory.

If applicable.

Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5Identification of fee scheduleIdentification of the three main fee schedules under which the CRA charged its Client. The fee schedule identifier must match with the identifier set out in the applicable fee schedule part of the pricing policy set out under Table 3 of Annex I to this RTS.

Mandatory.

If applicable.

Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
6Identification of fee programmeIdentification of the three main fee programmes under which the CRA charged its Client. The fee programme identifier must match with the identifier set out in the applicable fee programme part of the pricing policy set out under Table 4 of Annex I to this RTS.

Mandatory.

If applicable.

Fee programme identifier in format ‘FP_[internal fee programme identifier]’
7Issuer or rated entityIndication of whether the Client is also an issuer, rated entity, or otherwise a Client under Table 2 of Annex II.Mandatory.
  • ‘Y’ for Yes,

  • ‘N’ for No.

8Top client indicationIndication of whether the Client was one of top 100 subscription clients in revenue terms in the prior calendar year.Mandatory.
  • ‘Y’ for Yes,

  • ‘N’ for No.

9Fees received for ancillary servicesTotal fees billed by the CRA group of companies from the client for ancillary services in the prior calendar year.Mandatory.Amount in EUR

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